The Audit Process

There are five phases of our audit process:  Selection, Planning, Execution, Reporting, and Follow-Up.

Selection Phase

Internal Audit conducts a University-wide risk assessment near the end of each calendar year.  We develop the audit plan for the subsequent year based on the results of this assessment and the department’s available resources.  The Chancellor and the Fiscal Affairs and Audit Committee of the Kansas Board of Regents review the audit plan before it is executed.

Planning Phase

During the planning phase of each project, the Internal Audit staff gather relevant background information and initiate contact with the client.  Auditors meet with University leadership and clients to identify risks and determine the objectives and scope of the audit as well as the timing of fieldwork and the report distribution.

Execution Phase

Once the audit is planned, fieldwork is executed by the Internal Audit staff.  Clients are kept informed of the audit process through regular status meetings.  We discuss audit observations, potential findings, and recommendations with the client as they are identified.

Reporting Phase

A summary of the audit findings, conclusions, and specific recommendations are officially communicated to the client through a draft report.  Clients have the opportunity to respond to the report and submit an action plan and time frame.  These responses become part of the final report which is distributed to the appropriate level of administration.


Internal Audit follows up on all audit findings within one year of when the report was issued.

University of Kansas Hotline

The University of Kansas recognizes its obligation to employees and constituents to maintain the highest ethical standards. The University has established a hotline, administered by Lighthouse, to facilitate anonymous reporting of activities that may involve suspected fraud or other wrongdoing. You may use either of the following two methods to submit a report.

1) Select the "Make a Report" link under the "Hotline" menu option of this web page or navigate to

2) Dial toll-free, within the United States, Guam, Puerto Rico and Canada: 844-420-9065

After you complete your report you will be assigned a unique code called a "report key."  Write down your report key and password and keep them in a safe place. After 5-6 business days, use your report key and password to check your report for feedback or questions.

Lighthouse is NOT a 911 or Emergency Service. Do not use this site to report events presenting an immediate threat to life or property. Reports submitted through this service may not receive an immediate response. If you require emergency assistance, please contact your local authorities.

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