Preparing for an Audit
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.
Michaela,
Great idea to keep it going throughout the year so you don't have a lot to do all at once before a review or visit.
Traci Lee
Our school just went through reaccreditation. We pulled all the files and did the audits then to make sure all the paperwork was present. To be proactive and moving forward, I would like to use the internal audit and do it at he same time we review our IAIP quarterly. This way all things would be current and up-to-date.
Dr. Dennis,
I am glad to see the reference to the catalog. It is often overlooked as the value it has in setting the base for reviews and audits.
Traci Lee
Traci,
I would first review the school catalog and make sure I have an understanding of what we say we are doing. I would also incorporate the checklist provided to us by this training. I would then review the last audit and make sure that we have corrected any deficiency.
Stephanie,
Compliance definitely involves all departments. It may be thought of as specific to certain areas but, every department has an impact.
Traci Lee
It's very important to be prepared in all departments. Internal audits are critical to keep your school in order.
Doanne,
Accuracy and documents in check is key. Another thing schools sometimes struggle with is missing an entire file. Tracking to ensure that all student files are available is also important.
Traci Lee
Part of preparing for an audit is making sure all required documents are in file and accurate. Because it is important that a documentation supports the test results.
Amber,
Glad to hear you are already doing a quarterly internal audit.
Traci Lee
In preparing for an audit, I would review all the requirements that are published for that audit and, if possible review student records as a pre-audit. I have always done internal audits on a quarterly basis for the major areas that would be audited by an external party. Areas include - admissions, financial aid, career services/placement, and academic/curriculum.
Stephanie,
That's great to have a standing, updated binder at all time with the items needed. This also helps in case an unannounced visit occurs when any "key" people are out of the office.
Traci Lee
As a school director, we receive audits annually unannounced from the state. Though they are general around the time every year, give or take a few weeks. This really helps us maintain a compliant set of records on a regular basis.
What we do to prepare is every student's folder will have a list and once information or documents are added the list can be checked off in the moment. Once all items are present, it will have a final check for all items. At the same time there is a binder we are required to give our auditor once they arrive. We keep the same binder and format every year so updating it becomes very simple and nothing is forgotten. A clear understanding of the requirements is really essential to be in compliance and be prepared for audits. Even though we strive to have all items updated on a daily basis, we will still do a final sweep of all documents once we know our audit time might be close.
Donald,
I completely agree with the benefits of being proactive! I know of a school that continuously maintains electronic files to be ready for a Dept of Ed Audit if an unannounced visit were to occur. It's impressive to see this kind of proactive efforts but, it is a major effort to maintain "just in case".
Traci Lee
It's best to have internal audit where someone from your department review and audit your files prior a regularly scheduled audit.
I completely agree with this statement. If everything is in compliance from the beginning, once audit arrives, there is much to stress about.
If I knew I was about to be audited I would prepare by doing a few things.
1. I would try to get a copy of the audit criteria ahead of time.
2. I would them conduct an internal audit following those criteria to see where I was at that time.
3.Take corrective action in areas that I felt were non-compliant to ensure they were corrected, or in the process of being corrected, before the audit team arrived.
I feel that a lot of people then to be reactive instead of proactive when it comes to audits. It seems the best course of action would be to conduct internal audits on a regular basis. This could also reduce the stress associated with an external audit, because you know where you stand before the audit.
Brian,
Great recommendation to review the previous year's audit report! I also concur with your approach to make things as organized for the auditor which demonstrates understanding of the process and helps in establishing the control. Excellent comments!
Traci Lee
I usually always look at a previous years audit to get a grasp of what was done and not done before. I then review the checklist and make sure that all the documents are ready to be submitted. Having everything in categories for the auditor will not only expedite the process, but also gives the company a lot more control over the process.
Chana,
The required disclosures is a good area to focus on - they have changed over time and there are many different items required. Note that some of the items require annual notification to students so, depending on program length, it may require an additional "push" of information to the student, beyond the initial notice during orientation. It sounds like you are doing a great job preparing - good luck with your accreditation!
Traci Lee
