I would focus on making sure all SAP documentation is in order. That way, I would also know that grades, attendnace and student status was also in order. Other areas of focus might include required enrollment documentation, and looking through records to make sure withdrawal policies have been enforced.
Agreed - if things are not generally in order, it is really too late to change that last minute.
Better the last minute scrambling time is used just double checking that everything is where it needs to be. If a school is trying to change policy and procedure last minute, they are in for a tough audit.
Excellent point, Jeannette - while a scheduled audit provides the opportunity for review and validation, some audits are unannounced. Proactively maintaining files and records is part of a compliant campus culture.
I would compile current student files, withdrawn
student files, facility files and be sure that
all documents of compliance are in the files.
Have everything prepared prior to their arrival
if possible, sometimes audits are not scheduled so it is very important to keep all files up to date.
Thank you,
Jeannette
When I am preparing for an audit I will take our audit check list and internally audit my files and processes just like the auditor would. If I find any discrepancies we then take immediate corrective active to change our process to meet the auditors requirments.
We generally strive for constant compliance in our everyday work, but an upcoming audit always presents us with an opportunity to review our procedures for compliance issues. In my department, I would begin to prepare for an audit by cross-checking my procedures with the student handbook and collecting documentation that proves compliance.
I would first refer to the standards (or regulations) provided by whom ever the organization might be who is performing the audit. Then, I would also refer to past audits perform by this agency (and other agencies). With this information, I would assemble materials necessary to perform my own internal audit. Hopefully, if we have a policy of being compliant everyday, the dicrepancies should be few. I would repair areas of concern prior to the external audit.
reference to the previous yrs audit as a guide and work on not having repeat findings.
Great items for preparation, Ashley. I would add that in addition to being scheduled and conducted, meetings notes/minutes or other documentation is available to provide evidence of any meetings that are required for compliance or accreditation approvals.
To prepare, I would confirm we are compliant with everything we say we are doing. I would check the annual calendar to make sure all meetings have been scheduled and conducted and I would be sure to have exhibits across all functional areas for easy access.
This sounds like a great approach.
We're currently preparing for our re-accreditation with our accrediting body. Our accreditation and compliance person went through the accreditation manual looking for areas of improvement. We then convened a working group that included high-level officers. We went through the manual and the areas of improvement and developed an action plan to address each area. We had several months to prepare, so we've reconvened the group every other week to update progress on the action items and add new ones if appropriate. Also, as a group we eventually went through the manual together to make sure we agreed with the compliance officer on the areas where he didn't see a need for improvement.
To prepare for an audit, I would first conduct an internal audit that focuses on problems areas from past audits and other critical areas. Hopefully, any of these issues would have the proper procedures in place to ensure compliance. I would also begin to compile all materials that will be required by the official audit team.
Vanessa - Training is certainly important as you noted. Holding staff accountable for day-to-day activities is an ideal way to ensure ongoing compliance.
The best way to prepare for an audit would be to follow policies and procedures in each department everyday. Department Heads need to ensure that staff have proper training on policies and procedures and are held accountable.
I would ask for a list of requirements from the auditing agency and I would go through each individual requirement and ensure that all requirements are met.
Depending on the type of audit that was to take place; draw a short list of key areas to focus on, have supporting documentation pulled and review/mach audit all that documentation.
Excellent insight, Michael. Communication is the answer to so many issues - including creating a compliant culture.
Three great ways to prepare for an audit is to maintain a core value of Integrity, be organized and maintain great Communication skills. Having a good knowledge of corporate/regulatory policies and doing the right thing is a message that should come from the top of every organization. Good organization skills will ensure that information is stored properly and easily accessible at audit time. Having a good communication system ensures that department personnel follow proper protocols and know who to contact when they are unsure of how to handle a situation.
