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Governance Audit Checklist

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Federal Governance Documents
    ___Copy of Articles of Incorporation State:_____________Date:_______________
    ___IRS Determination letter: Date:_________
    ___501(c)3 ___; 501(c)6 ____; Other _______
    ___Tax returns for last three years
    ___Related entities:_________________________________________________________

State Governance Documents
    ___Business license / registration State(s):____________________Date:___________________
    ___State Tax Filing for latest year end
    ___Most recent state annual report

Financial Documents
    ___Bank Statements for last 12 months
    ___Asset Depreciation Schedule
    ___Financial Statements for last three years (__audited, __reviewed, __compiled)
    ___Copies of all insurance policies:
           ___workers comp
           ___liability
           ___directors & officers insurance

Association Documents
    ___Current bylaws
    ___Board policy manual (i.e.):
           ___Nominations process
           ___Conflict of Interest Statement
           ___Whistleblower policy
           ___Code of Conduct/Ethics Policy
           ___Document retention policy
    ___Staff procedures manual (i.e.):
           ___Social media policy
           ___Credit card usage policy
    ___Staff personnel manual (i.e.):
           ___sick leave, vacation
           ___employee status definitions
           ___disciplinary policy
    ___Board minutes from last 3 years
    ___User name and password for website, emails, database, QB, etc.
    ___Data backup / “disaster preparedness” plan

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