Umich Audit Checklist
University governance and compliance require rigorous oversight across academic affairs, research, student services, and operations. This UM-focused checklist addresses board governance, academic program quality, sponsored research administration, and auxiliary services. It covers strategic planning, risk management, federal compliance, and financial controls. Major universities manage 500+ compliance requirements spanning 20+ regulatory agencies. Use this for executive-level reviews, board audits, or comprehensive institutional assessments. It ensures accountability from the president’s office through department operations while supporting UM’s mission of academic excellence and research innovation.
Governance & Leadership
□ Board oversight effectiveness
□ Presidential authorities
□ Delegation of authority
□ Policy development process
□ Strategic planning alignment
□ Risk management framework
□ Ethics and compliance program
□ Conflict of interest management
□ Transparency and accountability
□ Shared governance structure
□ Committee effectiveness
□ Decision-making processes
Academic Affairs
□ Academic program quality
□ Faculty appointment procedures
□ Tenure review processes
□ Sabbatical leave management
□ Course load standards
□ Academic freedom policies
□ Curriculum development
□ Program assessment
□ Accreditation maintenance
□ Academic integrity
□ Grade appeals process
□ Degree audit accuracy
Student Affairs & Services
□ Enrollment management
□ Admissions integrity
□ Financial aid administration
□ Student conduct procedures
□ Residence life operations
□ Student health services
□ Counseling center operations
□ Recreation services
□ Student union management
□ Greek life oversight
□ International student services
□ Veterans affairs
Research Administration
□ Sponsored research compliance
□ Research misconduct procedures
□ Laboratory safety
□ Biosafety protocols
□ Radiation safety
□ Chemical safety
□ IRB operations
□ IACUC compliance
□ Clinical trials management
□ Technology transfer
□ Research data management
□ Subrecipient monitoring
Financial Management
□ Budget development process
□ Financial reporting accuracy
□ Internal control environment
□ Cash management
□ Investment oversight
□ Debt management
□ Capital planning
□ Cost allocation methods
□ Indirect cost recovery
□ Auxiliary operations
□ Foundation relationships
□ Financial system controls
Information Technology
□ IT governance structure
□ Cybersecurity program
□ Data privacy protection
□ System development lifecycle
□ IT asset management
□ License compliance
□ Disaster recovery planning
□ Help desk operations
□ Network management
□ Application controls
□ User access management
□ IT training programs
Human Resources
□ Recruitment processes
□ Onboarding procedures
□ Compensation administration
□ Benefits management
□ Performance evaluation
□ Professional development
□ Succession planning
□ Labor relations
□ Workplace safety
□ Leave administration
□ Separation procedures
□ HR information systems
Facilities & Operations
□ Campus master planning
□ Construction management
□ Deferred maintenance
□ Space management
□ Utilities management
□ Transportation services
□ Parking operations
□ Environmental health safety
□ Emergency management
□ Sustainability initiatives
□ Accessibility compliance
□ Property management
Compliance & Risk
□ Federal compliance
□ State compliance
□ Clery Act compliance
□ Title IX compliance
□ ADA compliance
□ HIPAA compliance
□ FERPA compliance
□ NCAA compliance
□ Environmental compliance
□ Export controls
□ Minors on campus
□ International activities
Development & Alumni
□ Gift acceptance policies
□ Donor stewardship
□ Campaign management
□ Alumni engagement
□ Foundation governance
□ Endowment management
□ Fundraising ethics
□ Gift processing
□ Pledge management
□ Recognition programs
□ Database integrity
□ Advancement services
Public Relations
□ Brand management
□ Crisis communication
□ Media relations
□ Social media governance
□ Website management
□ Publications standards
□ Marketing compliance
□ Event management
□ Community relations
□ Government relations
□ Internal communications
□ Public records requests
How the Umich Audit Checklist works
Begin with governance review examining board meeting minutes, presidential decisions, and delegation of authority documentation. Audit academic affairs by reviewing 10-15 program assessments, faculty credentials for 200+ instructors, and accreditation reports. Check research compliance across 50+ active grants totaling $100 million+. Review student services covering 47,000 enrollment records and financial aid for 25,000 recipients. Verify IT security controls protecting 500,000+ records. Examine facilities management for 35 million square feet of space. Assign audit sections to teams of 3-5 specialists.
Institutional audit failures at major universities risk $1+ billion in federal funding and jeopardize accreditation for 40,000+ students. Research compliance issues can suspend entire research programs affecting hundreds of faculty and graduate students. Financial aid errors impact thousands of students and trigger federal investigations costing $2+ million. Governance failures damage donor confidence affecting $500+ million in annual giving. Systematic audits identify risks early, maintain institutional credibility, and protect the university’s $17 billion economic impact on the state.
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