Auditing for Compliance – Tips and Techniques for University Auditors

Authored by Mike Cullen, Ashley Deihr and Colleen Lewis

Baker Tilly compliance experts presented an understanding of effective compliance programs within a higher education setting and the knowledge to conduct internal audits of many key federal regulatory compliance areas. The presenters covered a variety of topics, including:

  • Compliance programs
  • Financial aid
  • Human resources
  • Information technology and cybersecurity
  • NCAA
  • Title IX
  • Sponsored Research

Each topic covered the governing rules, common risks, typical controls, audit approaches, and common findings. They discussed real-life examples of compliance audits performed, as well as lead discussions among attendees related to challenges or suggestions learned from audits at institutions with which the faculty have worked.

Key takeaways included:

  • Recognizing the relevant standards governing higher education institutions and understanding various compliance program designs.
  • Identifying institutional risks within key compliance focus areas.
  • Developing an approach for auditing compliance with various laws and regulations.

Below are resources providing additional detail on the topics above. 

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