I would take all material that have been used in past audits and make sure it is updated and available. Like making sure out catalog is updated to the point of all current informations and with all rules and regulations from all different accrediting bodies.
I would prepare myself as much as possible. I would make myself aware of any and all rules and regulations required for the particular audit. I would make sure all paper work was in order. I would try to eliminate as much as possible, areas of the audit that are often over looked.
Brandy,
Organization makes it easier to validate compliance - both internally and for external auditors. It also inspires general confidence that a school has things "in order".
Traci Lee
First, I would always be prepared for an audit. This is something you should be practicing on a daily basis and should be no surprise. Using the checklist would always be helpful in preparing to make sure the organization is in compliance.
We believe in being organized and compliant. We achieve this by having the proper documentation on file to ensure that the audit is met properly.
I agree Kathleen continuing to review files is the best way to stay compliant for an audit.
Jill,
The multiple departments are often the challenge when they are each impacted and need to take action accordingly.
Traci Lee
Sheri,
The facility audit items you mention are a great addition to other audit checklists I have seen. Thanks for sharing.
Traci Lee
This is an area we are working to improve. Currently, we have a notification sent to all departments when a withdrawal happens. We also meet weekly to discuss attendance issues and determine if anyone is on the brink of withdrawal.
I would first make the school catalog policies are inplimented, all the files are in place
We are on a yearly audit on our campus. The auditors review our A&P labs, nursing labs, chemistry labs, pharmacy labs and other medical labs to make sure the products are being stored and used in the proper manner so not to endanger the public. We check the labs all the time, but before we have the "big" visit, we do a dry run through the labs. We will check for the MSDS sheets, check the lab refrigerators to make sure none of the staff has decided to stash their lunch in there, check for expiration dates and so on. We refer to previous audits to see where we were lax before and make sure it is corrected. There have been checklists created to maintain the refrigeration of the samples. The checklist has to be monitored everyday doing a temperature check, logging the temp and then signing the form. This came about from a previous audit where the refrigerator was on its way out and the compressor was starting to fail. All in all this practice has helped our scores to come up and the checklists have helped procedures in the lab to be more regulated.
Jill,
It seems like many of the findings in this area are tied to timeliness of processing. Do you have a procedure to ensure that students are withdrawn timely to ensure you have adequate time to process the R2T4?
Traci Lee
I close out all financial aid files for withdrawn students. Because R2T4 is a common audit finding area, I personally look through every file of withdrawn students to ensure documentation is complete. I also perform all R2T4 calculations personally. It is helpful when being audited to know each situation individually and be able to explain it to an auditor.
Using the guidelines for the audit or review as a checklist is a good way to prepare. We have a superb team effort in that we have a "special projects" manager who helps with accreditation applications and audits. Each department chair knows that she has priority--we answer her requests for info or documents stat. She carefully supplies us with info as to what she really needs--format, dates of the audit period, info being requested. I know that if she requests info in a certain format, that I should annually update and maintain that report so I can give it to her quickly the next time she asks. It is a real luxury to have someone coordinating us. She also explains how our work is inter-connected so I can know when I really need to coordinate a change with the registrar or financial aid director. Communication and daily attention to compliance keep us ready to assemble audit info quickly.
Stephanie ,
You are already a step ahead by recognizing the multiple departments involved. Your efforts to make it easy on them should further improve your success.
Traci Lee
I would work with the program director and actually complete the Key Control cklist and then likely have another program director either do it also, or review the one I had done. Any problem or vague areas can be addressed. I would probably focus more on academics and career services right now because we have had a recent accreditation review and our business systems are solid. However, I would like to really do the same process with the compliance potential testing areas list as well.
If you were on the receiving end of an audit, what would you do to prepare for a known audit or be proactive in preparing for any potential review? Pick a specific functional area of focus if desired.
This is the scariest part of the accreditation that I can think of! Working at a public community college means I do not have access to lots of the required information. I will have to pre-plan what is needed and contact several other departments to ask them to prepare the documents I will need. My thoughts are that I need to make this as easy as possible for the other departments so they will be able to process my requests. So many here on campus are overloaded with work and demands that I would not want to put added stress on the people I will need help from!
Financial Aid is an area that is continuing to evolve with all the new rules and regulations. I know that department is buried with the work load of students and the limited staff we have. Making sure I am specific in my requests and that I give the staff ample time to comply would be kind and considerate on my part.
Periodic reviews of all areas and a policy of always being in compliance should make an upcoming audit go smoothly.
We also like the checklist method of "auditing" our files. For example, Admissions and Financial Aid files are internally audited after start dates and before graduation. Additionally, for a known audit, I agree that having all materials requested by the auditors ready in advance, in an organized fashion, and in one room makes the visit much smoother.
I would review each specific area using our internal check list along with our accrediting/state auditing procedures check list. I would sample at least 30% of each specific areas to ensure that we are meeting standards prior to signing any documentation.
