Charity Compliance Checklist Form
Track key organizational practices and identify items that may need follow-up.
Governance and Organizational Standing
Governance documents and organizational policies are current and accessible
Governing documents are current
Policies are reviewed regularly
Current documents are accessible to relevant people
Document versions and review dates are tracked
Other
Board or governing-body roles, meetings, and decisions are documented
Roles and responsibilities are documented
Membership and appointments are recorded
Meetings and attendance are documented
Decisions and actions are recorded and tracked
Other
Registration status and required organizational reporting dates are monitored
Registration status is reviewed periodically
Reporting obligations are identified and tracked
Key reporting dates are recorded in a calendar or tracker
Responsibility for monitoring dates is assigned
Other
Fundraising, Finance, and Records
Fundraising activities and donor communications reviewed
Fundraising materials reviewed for accuracy
Donation requests clearly explain how contributions will be used
Donor communications are transparent and up to date
Fundraising claims are supported by current information
Other
Financial activity, donations, and expenditures recorded and reviewed
Donations are recorded promptly and accurately
Income and expenditures are documented
Financial records are reviewed regularly
Appropriate approval and oversight controls are followed
Other
Organizational records organized, retained, and accessible
Records are organized and easy to locate
Retention practices are followed
Records are accessible to authorized personnel
Access to confidential records is appropriately limited
Other
People, Information, and Follow-Up
Conflicts of Interest — Applicable Practices
Disclosure procedure is in place
Relevant disclosures are collected
Potential conflicts are reviewed
Management actions are documented
Not applicable
Staff and Volunteer Roles — Applicable Practices
Roles and responsibilities are defined
Onboarding process is maintained
Relevant internal guidance is available
Guidance is reviewed and updated
Not applicable
Personal Information — Applicable Safeguards
Access is limited to appropriate personnel
Safeguards are in place
Handling practices are documented
Safeguards are reviewed periodically
Not applicable
Compliance Follow-Up — Applicable Practices
Concerns or incomplete items are reviewed
Follow-up actions are assigned
Progress is tracked
Items are revisited for resolution
Not applicable
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