With regards to Career Services, I would make sure all student files are complete, all verifications are in order and that all communication has been properly documented. I would also make sure that all activities/events are documented with exact timeframes and details and that every process and procedure have been followed properly.
Check lists are certainly useful. I prefer some means of "electronic" checklists to identify what is missing without having to open a file to review the checklist. I'm not sure if you are referring to a physical checklist in a file or an electronic tracking mechanism. Regardless, both have value as long as the files are complete prior to any audit.
We also use a « check list » for Admissions, Academic Affairs and Financial Aid Departments. It helps us to make sure that no documentation is missing from files and, at the same time, it gives us a way of tracking missing documents. We can make sure that, before an Audit, everything is in place in order to avoid observations and/or findings.
I would prepare by using a presite visit outline offered by the accredidation department.
I believe that always being prepared for an audit is the best way to be proactive. If you are doing the things you need to be doing all along, there should be no issues.
Cathy - I think this is a great example of using the daily processes to do the "cross checks" as each department can "audit" the file to ensure the prior department completed the necessary documents/processes with these checklists.
With respect to stuent files, we use detailed checklists that address Admissions and Financial Aid. These checklists are in place to ensure all necessary documentation is included. The checklists are reviewed as the file moves from department to department.
My answer to this is similar to my post in Forum 1. I'm a financial aid director so audits are very common place for me. As I mentioned in the first forum, I continually work in an 'audit' mindset. I make the all the Title IV deadlines a priority and run my reports accordingly. This daily due diligence makes for less hectic audits, whether internal or external. As far as actual preparation once an audit is announced...there really isn't much we can do as we aren't given a lot of time. We pull the necessary files, scan through them to make sure they are clean and then ship them to our home office.
I think in addition to always being prepared for that audit especially if it is known, one proactive measure would be to improve on strong areas and work extra harder on areas of weekness and especially repeat findings. I say from one audit to the next one must learn something that can help prepare for the next time someone ask to review our files.
Brian - I am glad to hear I am not the only one who actually enjoys this stuff! I think the challenge these days on keeping up to speed on regulatory changes is the many entities that a college may have to monitor for such changes. For example, online colleges are sometimes subject to regulations for the states in which their students reside, depending on how they handle their recruitment and operations. With a lot of changes occurring at a state level, in addition to the federal and accrediting body updates, it can be a lot to stay current on. Since more and more colleges are beginning to expand to providing online opportunities, I am sure many are having to expand their compliance monitoring to take this into account.
Many people cringe at the word "audit." I love going through audits as it is a way to validate what you are doing correctly and also where you might need to focus your attention to ensure accuracy.
Proactive is really the only way to go. I learned early on in my career to inspect what you expect. Staying focused on constant review while ensuring that you are up to speed on all regulatory changes helps.
You bring up good items, Lisa. In addition to meeting with the management team, it's also good to communicate with all staff on how to address/direct questions as certain external regulators will ask questions of any staff they encounter.
1)Meet with the management team to prepare them for the visit to make sure they had the support and tools needed before the visit
2)Review materials (policy and procedures,audit random files)
3)Have a mini internal audit (spot check before the visit)
4)set up a room with all the supporting docmentation needed for the auditor, it would help make the visit go as smoothly as possible.
I totally agree with you Traci. Consistent application of internal policies & procedures and diligent monitoring of the process will put any school in a much better level of readiness for any audit. It could also eliminate the stress caused by looking for certain documents that should have been filed immediately but were not for whatever reason the person responsible might have at the time. It only takes a minute and not a whole lot of effort to follow certain procedures to completion, compared to the chaos it creates when some people "cut corners" or think they can do it later, and then forget to.
I would assume that every aspect will be included in an audit, and this is the direction that should go out to each department.
All departments should review prior audits, check-lists and requirements from regulatory agencies, as well as school/departmental regulations and policies.
Admissions, for example, should carefully review the enrollment policies and procedures detailed in the catalog: (1) are they followed; (2) are they consistent with DOE and other regulatory agencies; and (3) collection of all pertinent documentation.
Treat every day and every decision as if in an audit. If it is standard practice then you never have to panic when being actually audited and you remain always in compliance. Any decisions being made against compliance need to have written authorization or documentation.
I think each audit becomes a "lessons learned" opportunity to continually improve for subsequent reviews. I applaud your commitment to have this ready for your next audit, Kathleen! As for other areas, I think the same diligent review in advance is advisable. Finding and resolving discrepancies prior to, vs. following, an audit can save a lot of time, effort and headaches. Even in a young institution, you may have some individuals with some insight to what areas to look for during a review. Various accreditors and federal websites may also have good checklists to review based on typical audit findings. I also recommend attending conferences within the industry to see various presentations and meet others who can give valuable insight based on their experiences. Good luck!
We use a Check list on right side of the manilla file as Admissions, with highlight of mandatory items such as H/S,GED/ATB. Then on the left side we use as financial such as reciepts, invoices and Purchase orders as mandated by our catlog.
We are a young institution and just had our first financial audit. I felt so naive during the process. Before our next one in February 2010, I will review our financial system, our records, files, and correct any descrepencies. Researching a questionable invoice, payment, late charge by myself without an accountant breathing down my back will be refreshing. The four accountants that will conduct the audit will love me! Now how to do this in the other departments- that is the question.
Excellent question. I do maintain a checklist for each student file and I work closely with my Financial Aid and Education department to make sure files are up to date and complete.
Using a specific example, if a student failed to submit proof of vaccinations, necessary for the phlebotomy portion of our Medical Assistant program, by the time they started classes I would meet with the DOE to determine when that student was scheduled to take the course. At that point the student would be notified of the specific date that they would be required to have the proof of vaccinations by.
It is essential to limit the number of obstacles a student may encounter before and during their education. Internal auditing plays an important role in that function.
