Peter - do you maintain a "checklist" type process for processing files? And, how would you handle the follow up on missing paperwork - in particular, what kind of deadlines would you set for obtaining missing documents and, if these are required to come from students, what would be the consequences of not receiving the documents? (i.e. would the students have to be dropped or any other "penalty"?)
For an audit in the Admissions Department, I would focus on two areas.
The first area of focus would be file based. I would take a sample of currently enrolled, graduated, and withdrawn/dropped students and make sure the proper Admissions related paperwork could be found in each file.
Secondly, I would conduct interviews with each Admissions representative to insure that they were aware of all Admissions related guidelines and paperwork.
For example if I were preparing for an external audit, I would begin by reviewing the accreditor's guidelines for the area under my purview. Once that was determined, I would do my best to either meet with or speak with someone from the accreditation agency to clarify any questions I might have. Once I completed those two steps - I would conduct my own internal audit to determine my department's/area's existing level of compliance. Lastly, I'd formulate a plan based upon my research, conversations with accreditors and existing compliance. This plan would include timelines and deadlines - quantifiable data.
For example, we're preparing for an internal audit of our student records being conducted by one of our consultants in preparatioin for future visits. I first conducted an assessment of the files. Next, I read through our accreditor's guidelines. Third, my supervisor attended a compliance conference hosted by our accrediting agency. This conference allowed us to get clarity as well as provided more than enough information for us to be successful in organizing our records. Lastly, a plan of action with timelines and deadlines was established in addition to periodic meetings being held. The meetings were held to report our progress as well as get the support one needed if necessary.
always sought to ensure my employees that we did good work everyday and that we needed to view any audit findings as a challenge simply to do better work.
Darlene - thanks for detailing your response. You hit some key areas that are very pertinent to all! I have seen many schools think they are doing good by making a policy stricter than the requirements, thinking it gives them leeway. To your point, a stricter policy still must be enforced. I hope others learn from your feedback instead of the hard way - thru a bad audit!
Because of past audits I have found that it takes continual monitoring of records to keep in compliance. For the high school diploma/GED compliance our admission rep. gets the copies of diplomas if possible and has the student fill out requests forms to send to the HS. I have to double check after a new start to be sure which files are complete and which still need attention. I then set them aside until I can get with the student to get a copy of the diploma or request a transcript when needed. If I file them away it can be forgotten and then an auditor will pull that file for sure. The other thing I have found is an auditor will call your catalog your bible and what you say in the catalog you must comply with. I've been told if you don't want to do a policy don't write it in the catalog. It seems to take just one audit going badly to realize what is necessary to be in compliance. I suggest double checking your calculations for the R2T4 calculation. Be sure to count the student's days of attendance correctly and also the days in the calendar month because there's where auditors usually find errors.
I agree with you, Annie. Faculty files are critical. Some regulatory agencies review other staff files as well so, be sure to include those in your matrix!
In the admission area, I would make sure all of the files are complete. I would start with the admission reps and make sure they are well trained on the enrollment process and paperwork.
First is to make sure your faculty file is in order. Everyone should have a matrix on what needs to be in the file. The school should do an audit first to see what areas need to be addressed before the actual internal audit.
Working in the area of Financial Aid, I have found that auditing and maintaining each student file as if it is going to be an audit file keeps you prepared. Simple, but it works.
Therron - you are correct that consistency is important. In addition to the catalog and system grade scales, I would suggest adding to your checklist a match with the transcript itself. Some schools have pre-printed transcript paper that contains a grade scale that can become obsolete. Or, in some cases, even though the system generates it properly, settings that drive the rendering to the transcript can be incorrect. Grade scales are key since they impact the official student records and drive satisfactory academic progress and other eligibility matters. This is a great topic to point out.
If I knew that I was going to be on the receiving end of an audit, I would conduct a proactive internal audit first. In the case of grades. I would ensure that the grading procedure that was listed in the catalog was in alignment with electronic grade tracking systems.
We strive to always operate in compliance and DOCUMENT everything. We feel that if you can backup what you say, you will always be prepared for the audit.
Good point - hopefully, it's the double/triple check but, I have seen occasions when the scramble includes more than that...
So what steps do you take to ensure that this is done?
In the past, I have implemented self audits of all functional areas on a regular basis. This allows for us to be able to spot check at any time and make sure we are well prepared for any audit at any time.
Are you sure it is a last minute scramble to have things in order or a last minute scramble to double (triple) check everything one last time before the audit?
Well stated, James. I have seen many of these plans that are in a beautiful binder, perfectly labeled and indexed, and sadly collecting dust. Or, managers know about it but, the employees responsible for performing certain items are unaware of such plan when asked.
Most accrediting agencies will announce their schedule to the school if they are up for a visit. This allows the school to review their Institutional Assessment Plan to ensure that compliance measures are enforced. All to common though, schools develop Institutional Assessment Plans for their scheduled visit and never look back. The Institutional Assessment Plan should be a living document which allows the school to monitor their compliance on a daily, weekly or monthly basis
Greg - Lessons learned typically lead to better planning. Hopefully, thru these discussions, we get to learn from each others' lessons as well as our own.
He who fails to plan , plans to fail. We have been audited on several occasions and our experience tells us that we must forever be vigilent. We have internal requirements mandated by policy that helps us to be prepared no matter who may walk in our door unexpectedly.
