Legal Compliance Audit Checklist

A legal compliance checklist is used to determine if an organization has met all regulatory requirements in order to legally operate and avoid litigation. Use this digitized legal compliance checklist to assess if an organization is operating in accordance with applicable laws.

×

Free Legal Compliance Audit Checklist Checklist

Go digital today!

Convert your paper checklists into digital forms

Scan this QR code to use this paper checklist on your smartphone or tablet or visit https://safetyculture.com/

Client / Site

Legal Compliance Audit

Form of Organization

• If a form of organization has not been selected, review and discuss advantages/disadvantages of
  various forms of organization (e.g., corporation, limited liability company)

Corporations and Governance

• Review Articles/Certificate of Incorporation and Bylaws

Federal Tax Law Compliance

• Tax-exempt status, including IRS determination letter

Other Federal Regulatory Compliance

• Foreign Corrupt Practices Act

State and Local Tax

• State tax-exempt determination letter and tax filings

Fundraising and Access to Capital

• State fundraising registration and reporting

Website and Internet

• Review website; review procedures for content monitoring

Intellectual Property

• Verify status of trademarks, trade names, domain names, and copyrights

Document Retention Policies

• Should the organization have a retention policy?

Communications

• Review policies re public statements and speaking to the media

Human Resources and Employee Benefits

• Review employee manuals, handbooks and policies

Leases

• If organization planning to lease space, guidance on key issues

Contracts

• Review significant contracts and schedule notification of contract renewal dates

Financial

• Review internal/external audit procedures

Lawsuits

• Existing or threatened lawsuits

Legal Barriers

• Legal barriers that affect day-to-day operations

Completion

• Comments/Recommendations
• Full Name and Signature of Auditor Sign

Legal Compliance Audit Checklist

A legal compliance checklist is used to determine if an organization has met all regulatory requirements in order to legally operate and avoid litigation. Use this digitized legal compliance checklist to assess if an organization is operating in accordance with applicable laws.

The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.