THE HSWAGATA BUDDHA TOOTH RELIC PRESERVATION MUSEUM
FOR INTERNAL USE ONLY
Template No.: T171
Template Title: External Audit / Inspection Preparation Checklist
Related Research Case IDs / Cluster: Cluster C (Institution-Building & MoUs), Cases 21–35 (add E/F/G if science, conflict, or loss-prevention is involved)
Linked Templates / Policies: T159 (Legal & Registration Documents Checklist), T153 (Board Minutes), T165 (Internal Memo), T170 (Policy Compliance Self-Check), T163 (Risk Register Entry), Visitor Safety & Fire Plan
Date of form: ____ / ____ / ______
Prepared by / Role: _______________________
Office / Unit: ____________________________
Country / Location: _______________________
Confidentiality Level:
Internal only [ ] Restricted [ ] Sacred-Restricted / Sensitive [ ]
Use of this form (tick):
New case / action [ ] Follow-up [ ] Annual review [ ] Archive only [ ]
1) Purpose (why we use this checklist)
This checklist helps us prepare for an external audit or inspection.
It makes sure documents are ready, staff are briefed, and the site is safe and orderly.
2) Audit / inspection details
Audit/inspection type (tick): Government [ ] Donor/Grant [ ] Museum/heritage authority [ ] Fire safety [ ] Finance/Tax [ ] Partner review [ ] Other: ______
Auditor/inspector organisation: _______________________________________
Audit reference / letter date: ____ / ____ / ______
Audit date(s): ____ / ____ / ______ to ____ / ____ / ______
Time: __________ to __________
Location(s) / areas to be visited: ____________________________________
Scope (what they will check): _______________________________________
Main requested documents (if listed): ________________________________
Language needed / interpreter: Yes [ ] No [ ] If Yes: ________________
3) Contact persons (who will manage the audit)
A. Main audit coordinator (single point of contact)
Name/role: _______________________________________________
Phone/email: _____________________________________________
B. Backup coordinator
Name/role: _______________________________________________
Phone/email: _____________________________________________
C. Department contacts (fill as needed)
Finance contact (name/role): _______________________________
HR/admin contact (name/role): ______________________________
Security contact (name/role): _______________________________
Conservation/maintenance contact (name/role): _______________
Visitor services contact (name/role): ________________________
IT/records contact (name/role): _____________________________
D. Who greets auditors at arrival? _________________________________
E. Meeting room prepared by (name/role): __________________________
4) Documents checklist (prepare before the visit)
Tick and record location. Add rows as needed.
A) Core governance and registration
Registration certificates / legal status docs
Ready [ ] Not ready [ ] Date checked: //____ Location: __________ Owner: ________Constitution / bylaws
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________Board/committee register (T152) and key minutes (T153)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________Delegation of authority / signing list (T161)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________
B) Policies and SOPs
Policy list + latest versions (include review dates)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________SOP list + SOP cover sheets (T162)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________Compliance self-check results (T170)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________
C) Finance and donations (if in scope)
Approved annual budget and workplans (T164)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________Finance reports, receipts system, bank signatories
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________Donation records and controls (if applicable)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________
D) Safety, security, and site controls
Fire safety plan, drill records, extinguisher checks
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________Visitor safety rules, incident log (if used)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________Security overview documents (avoid sensitive details in open areas)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________
E) Partnerships and projects (if in scope)
Active MoUs / agreements list (T24/T156)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________Project reports and steering minutes (T168)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________
F) Records and data (if in scope)
Document control rules + filing index
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________Data/privacy notices and access rules (if applicable)
Ready [ ] Not ready [ ] Date: //____ Location: __________ Owner: ________
Sensitive handling note:
Any Sacred-Restricted documents must be shown only to approved auditors, in a controlled room.
Sensitive pack needed? Yes [ ] No [ ] Prepared by: ___________________
5) Staff briefing plan (before the audit)
A) Who must be briefed (tick)
Board/Directors [ ] Managers [ ] Front desk/visitor staff [ ] Security [ ] Finance [ ] Conservation [ ] Volunteers [ ] Contractors [ ]
B) Briefing topics (tick)
Audit purpose and scope [ ]
How to answer questions (truthful, short, only what you know) [ ]
Where documents are kept and who speaks for each topic [ ]
Visitor safety and fire procedures [ ]
Confidentiality (do not share restricted details) [ ]
Behaviour (calm, respectful, no arguments) [ ]
C) Briefing record
Briefing 1: Date //____ Group: ______________ Trainer: __________ Done [ ]
Briefing 2: Date //____ Group: ______________ Trainer: __________ Done [ ]
6) Site readiness check (walk-through)
Do a walk-through 1–3 days before the visit.
A) Public areas
Cleanliness and order (floors, toilets, signage)
OK [ ] Fix needed [ ] Notes: __________________________ Owner: ______ Deadline: //____Visitor information and rules visible
OK [ ] Fix needed [ ] Notes: __________________________ Owner: ______ Deadline: //____
B) Safety and fire
Exits clear, lights working, assembly point known
OK [ ] Fix needed [ ] Notes: __________________________ Owner: ______ Deadline: //____Fire equipment in place and not blocked
OK [ ] Fix needed [ ] Notes: __________________________ Owner: ______ Deadline: //____
C) Offices and records areas
Files organised and easy to find (no loose documents)
OK [ ] Fix needed [ ] Notes: __________________________ Owner: ______ Deadline: //____Meeting room prepared (chairs, water, projector if needed)
OK [ ] Fix needed [ ] Notes: __________________________ Owner: ______ Deadline: //____
D) Restricted areas (only if auditors are allowed)
Access control working (keys, logs, escorts)
OK [ ] Fix needed [ ] Notes: __________________________ Owner: ______ Deadline: //____Restricted information protected (no open displays of sensitive data)
OK [ ] Fix needed [ ] Notes: __________________________ Owner: ______ Deadline: //____
7) Audit day plan (simple schedule)
Arrival time expected: __________
Welcome and ID check method: _________________________________
Opening meeting time/place: __________________________________
Site tour order: _____________________________________________
Document review time/place: __________________________________
Staff interview list (if known): _______________________________
Closing meeting time/place: __________________________________
8) Issues list (gaps found before the audit)
Issue 1: ______________________________________________
Type: Document [ ] Site [ ] Staff [ ] System [ ] Other: ____
Priority: High [ ] Medium [ ] Low [ ]
Fix action: ______________________________________________
Owner: __________________________ Deadline: //____
Status: Open [ ] In progress [ ] Done [ ]
(Add more as needed.)
9) Final readiness confirmation
All key documents ready? Yes [ ] No [ ]
Staff briefings done? Yes [ ] No [ ]
Site walk-through done? Yes [ ] No [ ]
Sensitive handling plan ready (if needed)? Yes [ ] No [ ]
10) Sign-off and filing
Prepared by (name/role): _______________________ Signature: __________ Date: //____
Reviewed by (Director/Governance): _____________ Signature: __________ Date: //____
File location (cabinet/folder + digital path): __________________________
Checklist version / code: ____________________ Effective date: //____
