The plan should cite the problem and then provide information on how the issue will be resolved. If it is information on student records.
What will be implemented to get the info, place a time-line on when it will be completed. Updating student records with data for contacting the student - much needed corrective plan - how often should the demographic info be updated,what process will be used to make sure the school can contact the student, ex; correct phone numbers, addresses, emergency contacts.
It's very frustrating when a student can not be contacted because new demographic info is not on file ( new phone number or address )
The cause of the issue and the solution, then how to measure progress.
The things that should be included in a corrective action plan are checklist, initials, monthly or quarterly checkups.
Checklist- this list will have all the paperwork that should be in the folder to have a complete folder once the student starts.
Initials- after each department if necessary to initial their department requirements to have a complete folder
Monthly/Quarterly Audits- Instead of waiting until the big audit lets set a date to go over 50 files to so if they would pass an audit.
If this plan of action is set in place than it would make auditing time less stressful .
Mala,
I have frequently had to refer to the electronic contact history. It is a useful "double-hitter" approach, as you mention.
Traci Lee
I think it should include the full scope of the finding, what caused the situation that resulted in a finding (for instance, why the POG wasn't on file), the department(s) involved, immediate corrective action if possible, and a corrective action procedure to assist with avoiding the problem going forward.
Knowing what caused the situation, that led to the finding, can in some cases indicate that it was not an indication of faulty record-keeping.
We have a double-hitter approach to documentation. First there is a Student Advisement form which details an interaction between a staff member and a student, which both people sign and date and ultimately goes into the student's file. Then the staff person puts notes into the student's electronic contact history, where this information will be accessible to other staff members.
The correction action plan should include a description of the specific improvement actions to be taken by the school or department, and a timeframe for implementation
Aranzu,
I applaud your commitment to these prompt corrections!
Traci Lee
My school went though its first audit not too long ago, pretty much whatever the finding was if we could fix it right there and then we did. Most of the findings were about the calculation of refund, bursar exit letter had to be really specific, we had to go over the school catalog and enrollment agreement and rephrase several paragraphs to make sure we were in compliance with the state.
Hlee,
Best of luck - I hope it goes well!
Traci Lee
Traci,
Those are really great ideas. I will be going through my very first audit next month. I hope it all goes well!
I completely agree with you John, as an accounting major I was told (in my auditing class) that documentation was the most important aspect during an audit. Another important part would be an audit plan/procedure.
Each finding should have it's own response plan and time for implementation.
In a corrective plan, there should be a list of the findings,explanation of where the department fell short, the action plan to rectify and the timeframe of completion.
This should include a detailed plan by the specific department of how each findings will be corrected, implemented and the steps that will be taken to guarantee this will not become future occurrence.
I will use the records department to discuss this corrective action plan.
For each problem that is found resulting from the audit I will want to see a plan of action for how to correct the problem. For example, a notification to our employees in the records department informing of them of the documents that need to be included in a student's file etc. I would also put in place a double check system informing the records department of what forms they need to receive and who to notify if they do not receive it. The party responsible for those forms also needs to be notified to have the forms complete and who to send them to. It is then a higher level person to continually audit both departments and make sure both parties are being held accountable for their work. Internal audits are very important. We cannot expect that once an audit is complete, employees will magically get it right. They have to monitored for some time. A corrective action plan must also have a timeline and deadlines for when the steps involved.
The corrective action plan submitted by a campus or department in response to audit findings should include remediation steps to ensure an action plan is in place. For example, steps should be outlined that address potential graduates received proper counseling of field related courses each term. This step would require continuous monitoring of students classes and noting their final grades to ensure the students have satisfied the course requirement with satisfactory grades.
Saradjeen,
Agreed that in addition to fixing the findings, it's important to ensure process modifications to ensure such findings won't occur again.
Traci Lee
A corrective action plan should include the individuals that will be working on the audit findings. They would have to be very detailed as in which files and topics they each would be addressing. I do think a timeframe would have to be given for re-evaluation of the corrections and actions that need to to be made. They can also include how the audit findings will not come up as a factor again.
Barbara,
You couldn't be more right with the "explanation showing an understanding of the finding; i.e. what might have caused it." point. This prevents going off on tangents that lead to more and more questions. Last thing I want to do is explain and give background to the audit findings that the auditor should already be aware of. A lingering audit does not reflect well on the department(s).
