Higher Education Audit Checklist Form
Review key institutional practices and record completed audit checks.
Governance and Institutional Policies
Confirm governing board roles, responsibilities, and meeting records are documented.
Review institutional policies for approval, ownership, and scheduled review dates.
Verify policy updates are communicated to relevant campus groups.
Check that delegated authorities and oversight responsibilities are clearly defined.
Academic Programs and Curriculum
Verify programs and courses have current approvals and documented ownership.
Review curriculum maps for alignment with program learning outcomes.
Confirm required academic reviews and accreditation follow-up are documented.
Check that course changes follow established approval procedures.
Admissions and Enrollment
Review published admissions criteria for clarity and consistency with approved policy.
Confirm application review steps and decision approvals are documented.
Check enrollment reporting procedures for completeness and reconciliation.
Verify exceptions to standard admissions processes are recorded and approved.
Student Records and Academic Progress
Review procedures for accurate, timely maintenance of student academic records.
Confirm access to student records is role-based and periodically reviewed.
Check that academic progress monitoring and intervention processes are documented.
Verify record corrections and retention practices follow institutional requirements.
Financial Controls and Budgeting
Review budget approval, allocation, and monitoring procedures.
Confirm financial duties are appropriately separated and assigned.
Check that account reconciliations are completed and reviewed on schedule.
Verify financial reports are reviewed, supported, and escalated when needed.
Purchasing and Expense Controls
Confirm purchasing approvals follow documented authority limits.
Review competitive purchasing and exception documentation procedures.
Check that expense claims are supported, reviewed, and approved before reimbursement.
Verify receipt of goods and services is documented before invoices are processed.
Human Resources and Employee Records
Review hiring and appointment approvals against established procedures.
Confirm employee records are maintained securely with access limited by role.
Check that required onboarding, training, and policy acknowledgments are tracked.
Verify changes to employee status and compensation are authorized and recorded.
Research and Sponsored Programs
Confirm sponsored activities have documented approvals and assigned oversight.
Review award terms and compliance responsibilities with relevant teams.
Check that project spending is monitored against approved budgets and periods.
Verify required progress reports and closeout steps are tracked and completed.
Campus Facilities, Information Technology, and Data Practices
Review facilities inspection, maintenance, and safety issue tracking procedures.
Confirm IT access provisioning and removal are documented and reviewed.
Check that backup, recovery, and service continuity processes are tested.
Verify data handling, retention, and sharing practices follow institutional policies.
Audit Findings, Remediation, and Follow-Up
Document each finding with clear criteria, evidence, and impact.
Assign an accountable owner and target completion date for each corrective action.
Track remediation progress and retain evidence of completed actions.
Confirm follow-up reviews assess whether corrective actions resolved the issue.
Submit Checklist
Should be Empty: