Governance Evidence Checklist

Educational guidance: what governance evidence is expected

This checklist summarises documentary and operational evidence commonly required to show that an institution operates with transparent, accountable and effective governance. Evidence helps assessors, external reviewers and students understand whether governance systems are coherent, implemented and monitored.

• Governing instrument — Constitution, trust deed, articles of association or equivalent showing legal status, objects, powers and board composition.
• Board records — Minutes of board/committee meetings for the last 12–36 months, attendance records and conflict-of-interest registers.
• Leadership appointments — Role descriptions, appointment processes, terms of office and CVs for principal officers (chair, principal/president, academic lead, finance lead).
• Strategic planning — Current strategic plan, evidence of implementation (annual plans, KPIs) and recent review notes.
• Risk management — Organisational risk register, mitigation actions and insurance coverage summaries.
• Financial governance — Most recent audited accounts or financial statements, budget approvals, financial policies and delegation of financial authority.
• Academic oversight — Academic board terms of reference, programme approval and review minutes, assessment moderation and external examiner reports where available.
• Policies and procedures — Key institutional policies: admissions, assessment, academic integrity, appeals and complaints, refunds, safeguarding and data protection.
• Quality assurance — QA manual or framework, internal audit reports, student feedback mechanisms and action plans resulting from reviews.
• Public information — Accurate, current website or prospectus statements about awards, entry requirements, fees, governance and accreditation status.

Assemble documents in clear folders and annotate where actions were taken. Evidence should demonstrate whether policies are actively applied, not only whether they exist.

Using the checklist for reviews and applications

Use this checklist when preparing an accreditation self-evaluation, an internal governance review, or a due-diligence request from partners or funders. Provide succinct cover notes for each document explaining what it shows and the dates of enactment or review.

1. Map each document to the relevant ITAA standard or institutional objective.
2. Flag any gaps and an action plan with completion dates.
3. Where local law requires specific licences or registrations, include certified evidence of compliance.

Institutions remain responsible for complying with all applicable national, state/provincial and local laws and for ensuring their public statements are accurate at all times. ITAA does not replace or override local legal requirements.

Minimum documentary set for a governance desk review

For a focused desk review, supply at minimum:

• Governing instrument (current)
• Two years of board minutes
• Latest audited or management accounts and current year budget
• Strategic plan and recent progress report
• Academic governance terms of reference and one programme review report
• Key policies: admissions, assessment, complaints, safeguarding
• Public information extract (website or prospectus)

If any item is unavailable, provide an explanation and an improvement timetable.

Red flags and common weaknesses to address

• No or outdated governing instrument.
• Missing conflict-of-interest records or irregular board attendance.
• Unaudited finances with no explanatory notes or cashflow plan.
• Lack of academic oversight for awards or assessments.
• Policies that are not published or not applied in practice.

Where such weaknesses exist, document remedial actions and evidence of progress before external assessment.