Jill,
It seems like many of the findings in this area are tied to timeliness of processing. Do you have a procedure to ensure that students are withdrawn timely to ensure you have adequate time to process the R2T4?
Traci Lee
We are on a yearly audit on our campus. The auditors review our A&P labs, nursing labs, chemistry labs, pharmacy labs and other medical labs to make sure the products are being stored and used in the proper manner so not to endanger the public. We check the labs all the time, but before we have the "big" visit, we do a dry run through the labs. We will check for the MSDS sheets, check the lab refrigerators to make sure none of the staff has decided to stash their lunch in there, check for expiration dates and so on. We refer to previous audits to see where we were lax before and make sure it is corrected. There have been checklists created to maintain the refrigeration of the samples. The checklist has to be monitored everyday doing a temperature check, logging the temp and then signing the form. This came about from a previous audit where the refrigerator was on its way out and the compressor was starting to fail. All in all this practice has helped our scores to come up and the checklists have helped procedures in the lab to be more regulated.
I would first make the school catalog policies are inplimented, all the files are in place
This is an area we are working to improve. Currently, we have a notification sent to all departments when a withdrawal happens. We also meet weekly to discuss attendance issues and determine if anyone is on the brink of withdrawal.
Sheri,
The facility audit items you mention are a great addition to other audit checklists I have seen. Thanks for sharing.
Traci Lee
Jill,
The multiple departments are often the challenge when they are each impacted and need to take action accordingly.
Traci Lee
I agree Kathleen continuing to review files is the best way to stay compliant for an audit.
We believe in being organized and compliant. We achieve this by having the proper documentation on file to ensure that the audit is met properly.
First, I would always be prepared for an audit. This is something you should be practicing on a daily basis and should be no surprise. Using the checklist would always be helpful in preparing to make sure the organization is in compliance.
Brandy,
Organization makes it easier to validate compliance - both internally and for external auditors. It also inspires general confidence that a school has things "in order".
Traci Lee
I would prepare myself as much as possible. I would make myself aware of any and all rules and regulations required for the particular audit. I would make sure all paper work was in order. I would try to eliminate as much as possible, areas of the audit that are often over looked.
I would take all material that have been used in past audits and make sure it is updated and available. Like making sure out catalog is updated to the point of all current informations and with all rules and regulations from all different accrediting bodies.
The most important element in preparing for an audit is to know the criteria by which the school will be audited. The work begins after knowing the guidelines, and everyone involved can begin to ensure compliance at the highest level possible. Another huge consideration is collection of data. Not only is it important for compliance to 'happen' on a daily basis, proof of it must be collected and readily available. This, in the end, makes reviewing criteria and putting the proof in writing most effective for an official audit.
Rita,
Well stated - understanding the myriad of guidelines and regulations is critical to success. You also make a good point on data collection. Having the data and understanding how the data is selected for a report can aid in providing such details during an audit.
Traci Lee
I am thankful that we are a higher learning institution who has a finical aid department who is equipped and trained to deal with all legal aspects as well as accreditation issues and I can refer to their expertise.
Becky,
I like to hear your recognition for the importance of a well trained Financial Aid department. These individuals are often overlooked.
Traci Lee
The best way to prepare or be proactive in preparing for an audit is to have established processes which are followed as consistently as possible throughout the year. I have been in circumstances when an audit or review is coming up and I was notified at the last minute to get everything in order and organized. A reactive approach is not a good approach. I would make sure to create checklists for the biggest problems areas and ensure that the issues brought up from the last audit were addressed and corrected. I would then move on to the other areas included in the audit.
Susan,
Well said on being proactive. It's much more difficult to obtain and organize needed items in a pre-audit crunch!
Traci Lee
I would review the requirements of the audit and what documentation is being requested. I would check my schools policies and prepare a small sample of files internally to review before the audit took place. My biggest area of concern is always Return to Title IV calculations and late refunds. I have seen that Return to Title IV calculations are errors that are found during a lot of audits.
Linda, I agree with you. We have the same system in our schools.
