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Management Audit Checklist

Use this Maintenance Audit Checklist to assure that management systems and processes are adequately directing the goals and objectives of the business/company. Compliance teams or audit managers can use this template to document and communicate any act of non-conformances or misconduct. The template has been created to guide the inspector to do the following:
– Speak to managers and assess the effectiveness of the regulatory controls in place
– Take note of any fault or abnormalities in the processes being done
– Indicate actions to qualified teams concerning urgent matters that may arise throughout the audit
– End the inspection with a digital signature and timestamp to verify audit
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Does the company have standard policies and procedures?
Are members informed of the policies and procedures?
Have these policies and procedures been stated specifically by the company?
Does the constitution cover the following information:
- Membership termination:
- Banking:
- Finances:
- Sustainance:
- Members data:
- Affiliation:
- Meetings:
- Mission report:
- Management committee:
Is inward and outward communication observed by the committee?
Are management committee meetings held at periods prescribed by the organisation? Is the yearly report given to the members?
Is access to information concerning members limited to individual committee members?
Has a sufficient mass of information been collected to generate a membership database?
Are there sections of the constitution that are known to need revision or amendment?
Are the computer files backed up frequently (i.e. weekly/monthly) and the backup is saved in a separate location to the main computer?
Are all transactions documented?
Is a financial report provided for the management board and general meetings?
Is the banking done on a weekly basis?
Is a process followed for recommending expenditure?
Are multiple signatures needed for money transactions?
Does the organisation have a yearly operating budget?
Does the company get a government grant and do you have a copy of the resource agreement?
Does the company have insurance include the following:
- Contingency insurance?
- Public responsibility insurance?
- Directors and officers insurance?
- Event liability insurance?
- Amateur accident insurance?
Is the insurance renewed yearly?
Are the members informed of the insurance coverage policies?
Does the company have recorded policies?
Are these policies communicated to/shared with all workers?
Are the policies reviewed and controlled annually?
Are there policies on the following matters:
- Child protection
- Harassment
- Coaching ethics
- Disabilities
- Alcohol
- Drugs
Does the business have a strategic plan or improvement plan?
Does the business have a risk management plan?
Does the business have a marketing plan?
Are the members informed of these plans?
Are the plans investigated annually?
Are the jobs fulfilled in the time frame stated in the plans?
Are there enough resources to perform the plans?
Does the organisation have an operational plan?
Does the organisation have an emergency evacuation plan?
Personnel Management
Are the job descriptions available to the members?
Has the company established proper codes of conduct?
Do the committee members share duties equally?
Is there a method to handle feedback and complaints?
Is the company involved in any of the following:
- Sponsorship?
- Employment?
- Lease?
- Membership?
Are the above agreements met?
Are the workers informed of the following contracts and who they appeal to?
Hazard Identification and Control
Are work health and safety examinations carried out on the following:
- Equipment?
- Buildings?
- Grounds?
Are the work health and safety examinations carried out by qualified staff?
Is any maintenance needed from the WHS examination carried out within the time frame?
Does the organisation have a maintenance schedule?
Is there a method for reporting maintenance requirements?
Does the company carry out internal safety tests regularly?
Are risk evaluations created for events?
Is there a method for reporting accidents, injuries, and comparable events?
Event Management
Are all the dangers identified?
Has a contingency plan been recorded?
Have proper steps been taken to decrease risks?
Are risk evaluations conducted when organising an event?
Are risk management methods sustained and updated?
Are permissions sought to hold certain events?
Is the manager in charge of permitting the incident?
Does the organisation take charge of the participant’s actions?
Are there proper first aid staff on-site during events?
Is the feasibility and risk the high priority during an event?
Is a budget prepared for all events?
Has a “ Code of Behavior” been set?
Are players, member’s etc. informed of that “ Code of Behavior”?
Legislation and Industry standards
Does the organisation comply with the government rule set?
Is the company informed of the government standard?
Are the workers aware of “ Duty of Care”?
Name and signature of inspector/manager:
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Please note that this checklist template is a hypothetical appuses-hero example and provides only standard information. The template does not aim to replace, among other things, workplace, health and safety advice, medical advice, diagnosis or treatment, or any other applicable law. You should seek your professional advice to determine whether the use of such a checklist is appropriate in your workplace or jurisdiction.
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