COMPLIANCE CHECKLIST

Regulatory Compliance Checklist for Non-profits: California

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California

1. The non-profit organization has the status of tax-exempt under the IRS form 990, 990-EZ, 990-PF, or Form 990-N.
Yes .
No .
NA .
Remarks:
2. The organization files 501(c)(3) once per tax year and complies with all the requirements.
Yes .
No .
NA .
Remarks:
3. The organization files “Funding Disclosure Report” under 503(c)(3).
Yes .
No .
NA .
Remarks:
4. The organization does not endorse candidates, contribute to political campaigns or participate in any activity deemed political as per the Johnson Amendment to the tax code of 1954.
Yes .
No .
NA .
Remarks:
5. Financial bookkeeping is practiced in the organization.
Yes .
No .
NA .
Remarks:
6. Proper documentation of all the funds and donations is kept and reviewed periodically.
Yes .
No .
NA .
Remarks:
7. Employees are appropriately classified based on the Fair Labor Standards Act of 1938.
Yes .
No .
NA .
Remarks:
8. Employee safety is maintained as per the Occupational Health and Safety Administration (OSHA) requirements and/or the National Institute for Occupational Safety and Health (NIOSH) regulations.
Yes .
No .
NA .
Remarks:
9. The organization is compliant with the Fair Labor Standards Act (FLSA) imposed by the US Labor Department.
Yes .
No .
NA .
Remarks:
10. The non-profit is eligible to comply with information security standards like ISO 27001, PCI DSS, GDPR, and CCPA (these are the suggested regulations and are not restricted).
Yes .
No .
NA .
Remarks:
11. The organization has a compliance program aligned to the US Department of Justice compliance program.
Yes .
No .
NA .
Remarks:
12. The organization complies with the Environmental Protection Agency guideline for purchasing supplies, equipment, and services under EPA Grants
Yes .
No .
NA .
Remarks:
1. The non-profit has a registered agent who has an office address in California.
Yes .
No .
NA .
Remarks:
2. As a non-profit functioning in California, the Statement of Information (Form SI-100) is filed every two years.
Yes .
No .
NA .
Remarks:
3. The Annual Registration Renewal Fee Report ( RRF-1 Form) is filed no later than four months and 15 days after the close of the organization’s calendar or fiscal year [applicable for all 501(c)(3) non-profits].
Yes .
No .
NA .
Remarks:
4. The organization is eligible for and files the Annual Treasurer’s Report (CT-TR-1 Form) along with Form RRF-1 while renewal of the registration with the Attorney General’s office.
Yes .
No .
NA .
Remarks:
5. The organization is eligible and files the Exempt Organization Annual Information Return (FTB Form 199) with the California state government.
Yes .
No .
NA .
Remarks:
6. The organization is eligible and files the Political or Legislative Activities by Section 23701d Organizations Form (Form 3509) to declare political or legislative activities.
Yes .
No .
NA .
Remarks:
7. The organization is eligible and files Exempt Organization Business Income Tax Return (FTB Form 109).
Yes .
No .
NA .
Remarks:
8. The organization is compliant with the regulations related to the raffle framed by the California Department of Justice.
Yes .
No .
NA .
Remarks:
9. The non-profit is eligible and files Form UA-100 with the California Secretary of State office every five years.
Yes .
No .
NA .
Remarks:
10. The organization complies with the regulations framed by the Employment Development Department, State of California.
Yes .
No .
NA .
Remarks:
11. The non-profit is eligible and files Form 267-A annually to the California Board of Equalization for seeking a welfare exemption from property taxes.
Yes .
No .
NA .
Remarks:
1. The non-profit has well documented its bylaws for smooth operations.
Yes .
No .
NA .
Remarks:
2. Non-profit board members are fiduciaries of the organization, and they adhere to their duties all the time.
Yes .
No .
NA .
Remarks:
3. Board meetings are conducted regularly.
Yes .
No .
NA .
Remarks:
4. The organization has a consolidated list of all the laws, regulations, and compliance requirements that it needs to comply with.
Yes .
No .
NA .
Remarks:
5. All the internal bylaws are well documented and communicated across the organization.
Yes .
No .
NA .
Remarks:
6. Non-profit affiliates are well communicated with the compliance requirements.
Yes .
No .
NA .
Remarks:
7. Affiliates are monitored periodically and controlled for financial and operational compliance.
Yes .
No .
NA .
Remarks:
8. Financial transactions are well documented and checked regularly for any fraudulent activities.
Yes .
No .
NA .
Remarks:
9. The Organization is compliant with the required norms and regulations specific to its industry. For example, compliant with FDA regulations in the case of the food industry, a healthcare non-profit must be compliant with HIPAA and other laws.
Yes .
No .
NA .
Remarks:
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