Governance & Board Policy - Checklist v3

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Corporate Governance

• Corporate Governance Standards (Board Charter)

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Strategic Planning - Business Plans & Budget

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Risk Management

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Policy Approval & Review

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Director Appointment & Elections

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Board Composition (Competence, Independence)

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Board & Director Functions, Role & Duties

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Board Structure & Board Committees

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Delegation & Authorities

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Director Induction

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Meetings Processes & Procedures

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Record of Board Deliberarions

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Audit Committee

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Executive Committee

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• External Auditor

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Director Remuneration & Benefits

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Director Deelopment

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Conference & Forum Attendance

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Board & Director Performance Assessment

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Financial Management & Reporting

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Compliance Management & Reporting

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Conflict of Interest

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• CEO and Executive Appointment & Review

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Organisation Structure & Culture

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Access to Documents by Current & Former Directors

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Security.and Building / Property Access

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Mergers & Alliances

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Sponsorships & Donations

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Independent Advice & Use of Consultants

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Board Communication

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Supplier & Service Contracts

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Confidentiality & Privacy

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Insurance

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Director Expenses (Including Travel)

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Recognition of Director Service

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Spokesperson & Representation

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Stakeholder Consultation & Reporting

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Communication & Involvement of Former Directors

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Political Activity

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Memberships & Affiliations

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Code of Conduct & Values

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

• Complaints & Disputes

  Select Have Policy Review Policy Established Practice Compliant Need Policy Not Applicable

  • Have Policy
  • Review Policy
  • Established Practice
  • Compliant
  • Need Policy
  • Not Applicable

Consultant Recommendations & Comments

• Consultants Notes

Consultant Sign Off

• Please Sign Off & Provide a Copy to Client for Discussion

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