Good Practice Templates

Good Practice Templates

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The Auditors within IAS visit a wide variety of departments and areas within the University during the course of their work. As such we are in a unique position to see how departments operate. We see a number of departments operating good practice and in this section we aim to share some of these best practices under the following headings:


Key Controls Checklist

The Key Controls Checklist has been developed by the Internal Audit Service. Its purpose is to:

  • Assist the Head of Department/Operational Unit by highlighting key controls which are requiredto be in place within their Department and signpost these to the relevant University policies andprocedures.
  • Provide a self-assessment document, to be completed annually by each Head of Department,which confirms the Department’s compliance with key University policies and procedures, orhighlight areas for development.
  • Allow Statements of Assurance to be provided to Deans and thereafter to the Principal andTreasurer.
  • Provide a robust framework of assurance across the Universitye. Reduce the number of on-site internal audit visits and thereby reduce the amount of time thatfront line staff are required to contribute to these reviews.

The findings of previous audit reviews have been incorporated into this Checklist. The Checklist encompasses the four areas on which IAS must report to the Principal and Court through the AuditCommittee:

  • Governance;
  • Internal Control;
  • Risk Management;
  • Value for Money.

The contextual information provided in the Checklist is supported by control expectations and will assistHeads of Department in assessing whether appropriate systems and controls are in place.

In order to self-assess compliance with University guidance, each control expectation requires a simpleyes/no response. Where this is not applicable, the comments section allows staff to describe thealternative arrangements in place. 

There are two checklists - Faculty; and Professional Services.  Links to these Checklists are below.