I would test samples in each deparment, in particular the areas of "high performance expectations" to ensure conformity to school catalog and regulatory policies.
Alexander ,
Good follow up suggestion to do another sample after resolution.
Traci Lee
Mary,
I like your practice of continuous staff activities at each meeting. What a great way to train and establish proper practices!
Traci Lee
In preparation for an upcoming audit, I would review the prior findings plan of actions. This would provide a great starting point to make sure whatever plan of actions was implemented is being utilized to prevent repeat findings. After the review, I would take a new sample of the previous finding to ensure there are no longer any issues.
Typically when we are due for an audit, we recieved a list of items needing reviewed from our accrediation. We prepare the items on that list and provide any updated documentation to the auditing team for their on-site visit. In addition, we have a continuous staff activity where we complete accrediation tidbits at every staff meeting. The idea of the activity is to prepare and teach the faculty and staff about our accrediting body and it's standards that we must live by.
Our schools are constantly keeping compiance at the forefront because of the internal audits that are done at least 2 times a year. Surprise visits from accreditations and not knowing when they may occur can also keep compliance at the forefront.
I agree with this. Our office strives for 100% compliance everyday. When we know an audit is about to take place, we do gather all materials and have them in an accessible place. We also do a spot check of those items to ensure that we have stuck with our 100% daily compliance.
Amanda,
I agree with the need to focus on the more complicated processes but have also seen that some of what would seem "simple" can be the most problematic for schools.
Traci Lee
Internal audits should be constantly administered for various areas of the college throughout the year.
Based on those internal reviews, I would focus on the areas with the most complicated processes, or which have been having the most issues per the internal reviews, to focus on prior to the formal audit.
Have a checklist by department within the school and assign the most appropriate indivduals to review the requirements ahead of time, as well as on a regularly scheduled basis.
It is much easier to continualy maintain information than to have to pull it all together quickly because of an audit requirement.
Ceola,
I completely agree with your suggestions. Staying on top of things and conducting internal "surprise audits" ensures that there in constant attention on at-risk areas.
Traci Lee
Preparing for an audit should be 24/7. Stay on top of things. You can get the audit guidlines .and have an idea of what areas are audited and know what documentation is needed. . Have surprise audits of departments and actually have the list of info the auditors might be looking for. This will keep your staff alert and proactive since they will not know what's coming.
Financial Aid should have regular meetings, at least once week to make sure things are in order and to go over files and reports on drops or withdrawals, Sap and other areas pertaining to the students financial aid things can easily be missed in these areas.
Establish processes that are bullet proof with no holes and implement. Do not allow exceptions. For example if the admission requirement is not fully met, student cannot start.
Preparing for an audit we should have mini audits before a big audit just to make sure we are on top of each department.
Proactive approach: Have a self-auditing policy, whereby each department periodically checks a number of files for accuracy and completeness. Perhaps start with A and work through the alphabet, assuring that all the files meet your standards.
Janelle,
Great suggestion to have an accountability owner for each department.
Traci Lee
Having been on the receiving end of an audit a number of times, the method I used was to list all names in the time-frame under examination, and scan to ensure there were no financial red-flags. This was an ongoing process, a form of double-checking work. At the same time, the registrar was evaluating the names included in the audit time-frame. And, if possible, having someone outside the dept proofing the work is always valuable.
Each department should have a dedicated leader to hold all accountable in weekly meeting. If this is done on a weekly basis then compliance will be maintained.
I too make it a point to do things correctly the first time. Trying to prepare for a coming audit is difficult if you haven't been doing things correctly from the start. On the flipside, your preparation is very easy if you've always done things correctly from the outset.
Aranzu,
Sounds like you have an effective process in place!
Traci Lee
