How often
In your professional opinion, how often should an internal audit be conducted?
Barbara - There are many variables to consider. First is the size of the institution/organization. I have seen large operations attempt to cover each campus at least once annually but not always reach them all. Others target certain schools or certain topics on a rotational basis. Smaller schools or small groups of schools may be covered either more frequently or, still just annually but with more depth. Organization structure should also be considered. If campuses are staffed with compliance-specific positions, or, if registrars, Academic management and FA management positions all require significant background experience and ongoing training, they really serve as "ongoing auditors" at their campus(es). My personal thinking is that no campus should go completely "unchecked" for more than a year. That way, if an issue is identified, if can hopefully be resolved before impacting another reporting year. Others out there probably have thoughts on this - I hope to see some other responses.
Hi Barbara,
I believe at least twice a year for the institution as a whole. It has been beneficial for larger institutions to do a department per month. After that conduct a meeting of finding and then institut more policies to prevent any problems in the future. Use this as a tool to improve the institution.
For smaller institutions once a year would be fine. If problems exist in a specific area then the audit team should review the department at least quarterly until the team has eliminated all areas of concern.
For larger institutions it may be necessary to hire a compliance officer, to review each department quarterly. The compliance officer can assist with departmentalized catalogs and handbooks.
I believe that twice a year is sufficient as it largely depends on the amount of starts and students per year. We have four starts a year and we often review the files of students for accuracy purposes. Staff seem to embrace the fact that we will be watching the files so that they are able to focus on making them right the first time. Other times when reviews have not been quite as frequent have resulted in less than stellar record keeping.
Troy - your comments certainly support the old adage that people perform to what you INspect vs. what you EXpect.
I beleive an internal audit should be conducted for every term. This will allow you to make sure everyone is at task through out the year. It allows you to make corrections early and see where you are having consistant problems.
Barbara,
The concensus seems to be once or twice a year is useful for internal management purposes. However, you also have to know what is required in order to receive accreditation. I believe that once a year is a common requirement.
INTERNAL AUDITS SHOULD BE A DAILY EVENT IN OUR LIFES TO BE PREPARED FOR THE "AUDIT".
ONCE A YEAR MANAGEMENT PURPOSE AUDIT SHOULD BE USEFUL.
I have to agree with you on this one. Yes, the size of the organization must be taken into account. If you only have 3 campuses, I would say that twice a year for an internal audit is fine. If you have over 100 locations, at least once a year is a must.
I agree with Blanca....if we all continuously operate within the compliance guidelines,we can remain in compliance rather than struggling to achieve compliance prior to an accreditation visit. I also think one of the hardest things to do is to get the staff to view best practices as something positive and a way to make ourselves better rather than to just maintain compliance. If we incorporate "daily audits" into our schools, it will become a way of life.
I agree with Blanca and Marjorie. Usually, we are notified of the date that the Audit Team will be visiting. This normally allows a "heads up" with getting everything clean and in compliance. If we weren't informed of these dates, I believe that we as a School would stay ready-- always on our P's and Q's, if you will. Therefore, we would be well-prepared for any surprise audit on any date.
Internal Audits should be a learning experience for the College, not an inquisition. A hand in hand approach is the best practice.
In my opinion an internal audit should be conducted twice a year. Provided this is done every 6 months will prepare the team and ensure compliance. This will also help ensure accuracy in paperwork and prepare the team for the annual or bi-annual compliance visits.
I think internal audits should fall in line with other major reporting periods. For example, if your management team conducts performance reviews on a monthly, quarterly or bi-annually bassis, then it would make sense to conduct your internal audits concurrently.
I, too agree with Blanca, Marjorie, and Ono. If you know what the policies & procedures are in your school or what your catalog states, then following them on a daily operational process and have a director/manager do mini-audits of their departments even once a month, then you will always be ready for any type of audit, instead of spending days or even weeks getting things ready for "the audit."
Thanks for your response, Lito. I think the challenge is that, although schools can identify a process to do mini-audits, if management isn't enforcing these as priorities to do each month, they may fall thru the cracks. I think schools often have good intentions but, unless it is a true focus, supported by the "top", it's easy to get distracted with other daily needs.
I would agree two time a year. However if you have the man power every quarter you can pick a department and do an internal audit. Its finding reviewing and identify any issues before you have an accreditation visit.
In my opinion I believe an aduit shouls be conducted on a quaterly basis.Each department head should conduct the audit in each particular department.
I agree, we should work with an 'audit' mindset. In my department, I approach every decision I make with "how would this look in an audit" I train my staff to do the same. Each time they work with a student file, they review it prior to refiling to make sure everything else is OK.
