No is not time consuming at all. Each department handles their own folder. For example, the blue one for admissions is all admissions paperwork : enrollment agreement, application for admission, hg diploma or ged, copy of id, contact emergency form, etc. So admissions reps are in charge to make sure all the paperwork is filed there and uploaded into our system. The registrars have their own folder, but documents only go there when the student requests an LOA or ITR, or they got an award for perfect attendance or student of the module.
Its actually a really effective system to make sure we comply with the state regulations and we keep the students organized.
Aranzu,
It sounds like you have a thorough approach to managing records. Is it time consuming to manage these multiple folders or are they each handled by a separate department?
Traci Lee
As the Director of compliance and Administration at my school, I have to make sure we are complying with all the regulations.
Part of doing this, we created 5 folders for each student that is enrolled in the campus. We have one for admissions, bursar, registrar, career services, deficiency logs (part 147 FAA school) and each folder has its own check list attached so we make sure everything is in their file.
We also receive help fom our corporate offices to edit/modify our enrollment agreement, school catalog, VA Benefits, etc.
Spencer,
Good point - another benefit of documented processes is for training of new employees!
Traci Lee
I completely agree. I think the best way to be prepared for an audit is to have a set standard operating procedures that are outlined specifically. This will allow for any new hires to easily understand every process and become familiar with how the school operates. I also believe that a consistent and daily measure of control is effective.
I believe the best way to be prepared for an audit is to already have an audit checklist system in place. That way, if you need to make any adjustments or corrections or double-check anything, it won't be time consuming or it wont be a rush job.
We have weekly meeting amongst all staff about this, to make certain that all staff are being complaint. Plus I do spot reviews of student files, my personal perview, to make certain that they are compliant. Basically, always review, discuss and perform thorough spot checks.
Renee,
Great idea to have things ready for a visit. Sometimes, keeping the items in such a box current is the challenge for schools but, I applaud you for taking this step toward being prepared.
Traci Lee
We were just recently audited by CIE to renew our license. We have a CIE box which is updated every year in case CIE drops in unexpectedly which they can and have done in the past. This box has all the initial information that they may want to look at. Since that is already complete we would then look at what exactly it is they want to audit and organize for that. This recent visit was an audit of two new programs which we added last year. So we collected information and documents from each department as it related to those two specific programs and organized so it could be easily reviewed by our visitor. While collecting and organized we double checked that we were remained in compliance with our own policies as well as policies established by our regulatory agency. We also advised all the employees of the time and date of the visit so that each person could be be prepared and contribute if needed.
If I were on the receiving end of an audit, focusing on "Graduates," I would prepare a checklist of all required items, such as making sure that students is on track as outlined in the course curriculum/catalog. I would check to ensure he/she has taken all required courses. Also, I would check to ensure that student has received satisfactory grades for the courses taken. Additionally, my checklist would include, checking for outstanding balances owned to the college, outstanding books that may have been check-out from the library and not returned.
Cherie,
Well said. It truly is easier to stay on top of things daily but, I have seen many times when schools or departments set something aside to "fix later" which is definitely risky.
Traci Lee
Knowing that you could be audited at anytime, you should strive for 100% compliance everyday. That being said, it is easier to do the job the right way everyday and stay on top of things in order to be compliant. Being on top of things everyday is being proactive as there is nothing worse than waiting until the eleventh hour before an audit or review. We use the term "trust but verify", if you are using someone else to do things. If you verify frequently that it is being done correctly it will make your life easier.
In preparing for an Audit i would focus on my student files. I would account for all Active, Grads & Drop files. Do a little audit check to make sure that all documents that are required to be in the file are there.
If an audit finds fault or question with the results of its testing it should be the procedure and not the execution of said procedure that needs adjustment. I agree 100% compliance should be an everyday goal.
I would first identfy the checklists I would need to meet the standards set forth by our accrediting agency as well as FLDOE/CIE.
This checklist would act as "roadmap to success". An internal audit administered by Directors of other departments would serve as a start point our current strengths and weakness. This internal audit should be unannounced and through in order to discover any and all our shortcomings.
This exercise would greatly improve our ability to overcome and succeed.
Annette,
I like your approach to the realities of an audit aligning with the life cycle of a student thru the college. It keeps the focus on the purpose of our institutions rather than on the regulations themselves. Thanks for sharing!
Traci Lee
Preparing for an audit is done everyday, from the time the potential student walks in the door, through their enrollment process, financial aid process, while they are active students in the school through graduation and placement. To prepare for the actual audit each department reviews their files to check and make sure everything is in order.
When it is a planned audit from an outside agency, it is nice to have a quiet room set up for them to work in with access to the internet and anything else they may need.
All department managers are instructed to be in attendance while the auditors are here to field any questions the auditors may have.
Kara,
Good summary of areas to review in preparation for an audit.
Traci Lee
Sara,
I think it's important to communicate any known inadequacies to management. For the areas one may be unfamiliar with, I suggest staying current with relevant information from trusted sources including associations that the school belongs to and networking with colleagues thru state, accreditation, and other respected organizations.
Traci Lee
In regards to preparing for a known audit, I would run through any internal audit checklists available and do "spot- checks" in key areas, such as admissions, finance, records, etc. I would also assemble a small team of one person in each key area to review and pull some preliminary information/reports to assist in the spot checks.
I would be sure to review any findings and responses from previous audits and ensure the actions had been fully implemented or corrected. I would also review any Self-Evaluation reports and or any Improvement/goal plans to be sure they were updated.
All these items would be key to have on an internal audit cycle to ensure that compliance is business as usual and not a "ramp-up" for an audit activity.
