If I knew that I was going to be on the receiving end of an audit, I would conduct a proactive internal audit first. In the case of grades. I would ensure that the grading procedure that was listed in the catalog was in alignment with electronic grade tracking systems.
Therron - you are correct that consistency is important. In addition to the catalog and system grade scales, I would suggest adding to your checklist a match with the transcript itself. Some schools have pre-printed transcript paper that contains a grade scale that can become obsolete. Or, in some cases, even though the system generates it properly, settings that drive the rendering to the transcript can be incorrect. Grade scales are key since they impact the official student records and drive satisfactory academic progress and other eligibility matters. This is a great topic to point out.
Working in the area of Financial Aid, I have found that auditing and maintaining each student file as if it is going to be an audit file keeps you prepared. Simple, but it works.
First is to make sure your faculty file is in order. Everyone should have a matrix on what needs to be in the file. The school should do an audit first to see what areas need to be addressed before the actual internal audit.
In the admission area, I would make sure all of the files are complete. I would start with the admission reps and make sure they are well trained on the enrollment process and paperwork.
I agree with you, Annie. Faculty files are critical. Some regulatory agencies review other staff files as well so, be sure to include those in your matrix!
Because of past audits I have found that it takes continual monitoring of records to keep in compliance. For the high school diploma/GED compliance our admission rep. gets the copies of diplomas if possible and has the student fill out requests forms to send to the HS. I have to double check after a new start to be sure which files are complete and which still need attention. I then set them aside until I can get with the student to get a copy of the diploma or request a transcript when needed. If I file them away it can be forgotten and then an auditor will pull that file for sure. The other thing I have found is an auditor will call your catalog your bible and what you say in the catalog you must comply with. I've been told if you don't want to do a policy don't write it in the catalog. It seems to take just one audit going badly to realize what is necessary to be in compliance. I suggest double checking your calculations for the R2T4 calculation. Be sure to count the student's days of attendance correctly and also the days in the calendar month because there's where auditors usually find errors.
Darlene - thanks for detailing your response. You hit some key areas that are very pertinent to all! I have seen many schools think they are doing good by making a policy stricter than the requirements, thinking it gives them leeway. To your point, a stricter policy still must be enforced. I hope others learn from your feedback instead of the hard way - thru a bad audit!
always sought to ensure my employees that we did good work everyday and that we needed to view any audit findings as a challenge simply to do better work.
For example if I were preparing for an external audit, I would begin by reviewing the accreditor's guidelines for the area under my purview. Once that was determined, I would do my best to either meet with or speak with someone from the accreditation agency to clarify any questions I might have. Once I completed those two steps - I would conduct my own internal audit to determine my department's/area's existing level of compliance. Lastly, I'd formulate a plan based upon my research, conversations with accreditors and existing compliance. This plan would include timelines and deadlines - quantifiable data.
For example, we're preparing for an internal audit of our student records being conducted by one of our consultants in preparatioin for future visits. I first conducted an assessment of the files. Next, I read through our accreditor's guidelines. Third, my supervisor attended a compliance conference hosted by our accrediting agency. This conference allowed us to get clarity as well as provided more than enough information for us to be successful in organizing our records. Lastly, a plan of action with timelines and deadlines was established in addition to periodic meetings being held. The meetings were held to report our progress as well as get the support one needed if necessary.
For an audit in the Admissions Department, I would focus on two areas.
The first area of focus would be file based. I would take a sample of currently enrolled, graduated, and withdrawn/dropped students and make sure the proper Admissions related paperwork could be found in each file.
Secondly, I would conduct interviews with each Admissions representative to insure that they were aware of all Admissions related guidelines and paperwork.
Peter - do you maintain a "checklist" type process for processing files? And, how would you handle the follow up on missing paperwork - in particular, what kind of deadlines would you set for obtaining missing documents and, if these are required to come from students, what would be the consequences of not receiving the documents? (i.e. would the students have to be dropped or any other "penalty"?)
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.
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.
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.
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!
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 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.
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.
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.
