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Enrollment Audits Jay Johnson, Assistant Director, HEI Chris Crump, Enrollment Auditor Mary Martin, Enrollment Audi

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Enrollment Audits Jay Johnson, Assistant Director, HEI Chris Crump, Enrollment Auditor Mary Martin, Enrollment Audi

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    1. 1 Enrollment Audits Jay Johnson, Assistant Director, HEI Chris Crump, Enrollment Auditor Mary Martin, Enrollment Audit Assistant Each year the Board of Regents is required by statue to conduct enrollment audits of state supported institutions of Higher Education. The state of Ohio distributes over 2 billion per year to colleges and universities via enrollment based formulas. Furthermore, the Board of Regents has the responsibility of ensuring that data used to distribute these funds are accurately reported across the campuses.Each year the Board of Regents is required by statue to conduct enrollment audits of state supported institutions of Higher Education. The state of Ohio distributes over 2 billion per year to colleges and universities via enrollment based formulas. Furthermore, the Board of Regents has the responsibility of ensuring that data used to distribute these funds are accurately reported across the campuses.

    2. 2 Enrollment audits Our goal is to audit approximately 17 campuses per year. The re-design of the audit process for the new millennium is driven by a few critical factors: 1. The biggest reason being the transition from UIS to HEI. Audits in the past were based on Academic Period Enrollment report that campuses submitted to BOR in Fall--now audits will be based on all terms HEI data that campus submit. The analytical capabilities in HEI also allows us to identify anomalies audit changes overtime 3. There are new policy changes that we must audit 4. New software technologies --old audit software in Paradox--now we have a fully automated and dynamic software system. We will demo this when we are done. Our goal is conduct audits on nine campuses for the year 2000 The next slide is one that we will not present at the consultation but we included into this presentation to add some levity. The re-design of the audit process for the new millennium is driven by a few critical factors: 1. The biggest reason being the transition from UIS to HEI. Audits in the past were based on Academic Period Enrollment report that campuses submitted to BOR in Fall--now audits will be based on all terms HEI data that campus submit. The analytical capabilities in HEI also allows us to identify anomalies audit changes overtime 3. There are new policy changes that we must audit 4. New software technologies --old audit software in Paradox--now we have a fully automated and dynamic software system. We will demo this when we are done. Our goal is conduct audits on nine campuses for the year 2000 The next slide is one that we will not present at the consultation but we included into this presentation to add some levity.

    3. 3 Who we audit for year 2005 Hocking College Southern State Community College (Central, North, South & Fayette Campuses) University of Toledo Sinclair Community College University of Cincinnati (Main, Clermont & Raymond Walters Campuses) Cincinnati State Technical & Community College Cuyahoga Community College (Metropolitan, Eastern & Western Campuses) University of Akron (Main & Wayne Campuses) Zane State College The months represents when the audit will be conducted at OBR. Hocking= Jan/Feb Southern State= Feb/March University of Toledo= Mar/Apr. Sinclair Community College= April/May University of Cincinnati= May/June Cincinnati State= June/July Cuyahoga Community College= July/Aug. University of Akron= August/Sept. Zane State College= Oct/Nov.The months represents when the audit will be conducted at OBR. Hocking= Jan/Feb Southern State= Feb/March University of Toledo= Mar/Apr. Sinclair Community College= April/May University of Cincinnati= May/June Cincinnati State= June/July Cuyahoga Community College= July/Aug. University of Akron= August/Sept. Zane State College= Oct/Nov.

    4. 4 Why we must audit... Legislative Mandate to determine compliance with state policy related to subsidy. To assure integrity of subsidy distribution formula.

    5. 5 Why we must audit... To improve data integrity of the HEI System. To enhance communication with campuses.

    6. 6 What we audit... 1. Institutional procedures and data related to Subsidy Eligibility Course Enrollment/FTE; student fees; student ranks; graduate student credit hour limits (OAC 3333-1-02);

    7. 7 What we audit... Subsidy Eligibility Continued Residency (OAC 3333-1-10); Selective Service (OAC 3333-1-19); PSEOP Eligibility

    8. 8 What we audit Subsidy Eligibility Continued Documents to be reviewed: Admission application High School and College Transcript Add/Drop Forms/Course Enrollment Confirmation Confirmation of Fees Paid or Promissory Note PSEOP Application (if applicable)

    9. 9 What we audit... 2. Degree Certificate File... Data Integrity Degrees Earned Credit Hours Earned Majors, admission area Institutional procedures and data related to Success Challenge (4-year Institutions Only) First Term of Enrollment Extended Programs (EP)/Extended Students (ES)

    10. 10 What we audit... 2. Degree Certificate File Continued Documents to be reviewed: College Academic Transcripts Extended Program Justifications (4-year institutions Only)

    11. 11 What we audit... 3. Institutional procedures & data related to Course Inventories Subset of courses using CI Expert System www.regents.state.oh.us/hei/ci/STAGE_1/index.htm

    12. 12 What we audit... 3. Course Inventories Continued Documents to be reviewed: Course Catalog Program Summaries for Tech courses

    13. 13 What we audit... 4. Institutional procedures and data related to Flexibly Scheduled Course Sections Courses meeting less than 11 days (per Matt Filipics memo dated June 23, 1998) Course sections mtg less than 11 days and for which there is a regularly scheduled course analog must have documented approval of Chief academic officer Course sections mtg less than 11 days and for which there is NOT a regularly scheduled course analog must have approval of Chief academic officer and course description or syllabus which was used as the basis for approval of the course Course sections mtg less than 11 days and for which there is a regularly scheduled course analog must have documented approval of Chief academic officer Course sections mtg less than 11 days and for which there is NOT a regularly scheduled course analog must have approval of Chief academic officer and course description or syllabus which was used as the basis for approval of the course

    14. 14 What we audit... 4. Flexibly Scheduled Course Continued... Documents to be reviewed: Approval by CAO of flex courses meeting less than 11 days Course sections mtg less than 11 days and for which there is a regularly scheduled course analog must have documented approval of Chief academic officer Course sections mug less than 11 days and for which there is NOT a regularly scheduled course analog must have approval of Chief academic officer and course description or syllabus which was used as the basis for approval of the course Course sections mtg less than 11 days and for which there is a regularly scheduled course analog must have documented approval of Chief academic officer Course sections mug less than 11 days and for which there is NOT a regularly scheduled course analog must have approval of Chief academic officer and course description or syllabus which was used as the basis for approval of the course

    15. 15 What we audit... Other items as warranted such as data anomalies or trends through the use of HEI queries, new policies, policy changes, other institution specific issues, etc.

    16. 16 The enrollment audit process... 1. Notify selected institutions: Email letter to Presidents and contacts Pre-Audit Survey Part-A

    17. 17 2. Selected institutions return Pre-Audit Survey Part-A (one survey per campus) 3. Enrollment Audits begin The enrollment audit process...

    18. 18 4. Email notification of audit 6-8 weeks in advance: a. Pre-Audit Meeting scheduled (only upon request) b. Pre-Audit Survey Form Part B distributed (email) The enrollment audit process...

    19. 19 The enrollment audit process... c. Audit Samples distributed (Email) Student Sample: 10% or 200 (whichever is less) of total enrollment proportionate to rank Selected data elements from SE, SN, and CN files All terms of prior FY

    20. 20 The enrollment audit process... Degree/Certificate Samples 5% or 50 (whichever is less) of total bachelors degrees granted All data elements from DC file Success Challenge (4-yr. Inst. Only) 10 OIG Eligible/Timely Degree 5 Extended Programs (EP) 5 Extended Students (ES)

    21. 21 The enrollment audit process... Course Inventory Sample: 25 Courses stratified by course level for use with CI Expert System Flexibly Scheduled Course Sample: 10% or 10 (whichever is less) of Flexibly Scheduled courses meeting less than 11 days Course Inventory: Verifying the course levels & subject codes. Flex Courses Meeting Less than 11 Days: Course sections mtg less than 11 days and for which there is a regularly scheduled course analog must have documented approval of Chief academic officer Course sections mtg less than 11 days and for which there is NOT a regularly scheduled course analog must have approval of Chief academic officer and course description or syllabus which was used as the basis for approval of the course Course Inventory: Verifying the course levels & subject codes. Flex Courses Meeting Less than 11 Days: Course sections mtg less than 11 days and for which there is a regularly scheduled course analog must have documented approval of Chief academic officer Course sections mtg less than 11 days and for which there is NOT a regularly scheduled course analog must have approval of Chief academic officer and course description or syllabus which was used as the basis for approval of the course

    22. 22 The enrollment audit process... 5. Two weeks prior to scheduled audit institution returns: Pre-Audit Survey Form Part B Documents required for audit

    23. 23 The enrollment audit process... 6. Audit of records begins at OBR 7. Feedback Sessions (To be held at the institution) Review the audit process Demonstrate the audit software Results of the audit (anomalies & errors) If conditions warrant, a complete audit of all records may be requested at OBRs discretion. 8. Campus responds to possible anomalies that were discussed in the feedback session two weeks after. Feedback sessions: problem resolutiondiscussion of any observed inconsistencies in data or procedures Complete Audit of Records: if the incidence of reporting errors exceed 5%, OBR may request a complete enrollment audit by a certified public acct. Final Report- documentation audit results recc to enhance record maint or reporting proceduresFeedback sessions: problem resolutiondiscussion of any observed inconsistencies in data or procedures Complete Audit of Records: if the incidence of reporting errors exceed 5%, OBR may request a complete enrollment audit by a certified public acct. Final Report- documentation audit results recc to enhance record maint or reporting procedures

    24. 24 The enrollment audit process... 9. Final Report (30 days after the visit, this is depended upon the results from the audit) Its not over until you say its over! Final Report: A Draft of the Final Report and Summary of Errors is sent to the University President and the Enrollment & Financial Aid Audit contacts.Final Report: A Draft of the Final Report and Summary of Errors is sent to the University President and the Enrollment & Financial Aid Audit contacts.

    25. 25 Findings from past audits Admissions Applications (verification of residency) Missing forms (billing statements, admissions apps & registration forms) Award of Academic Credit One question that often arises from the campuses is what are the most problematic areas found in past audits. Relating to subsidy those areas are: Admissions Applications: (Residency Question) Have you been a res. Of Oh. For the past 12 months? Records retention: Following OACRAOs guidelines on retention. Award of academic credit: Being reported incorrectly into HEI. The transcript submitted, reads differently from what was reported.One question that often arises from the campuses is what are the most problematic areas found in past audits. Relating to subsidy those areas are: Admissions Applications: (Residency Question) Have you been a res. Of Oh. For the past 12 months? Records retention: Following OACRAOs guidelines on retention. Award of academic credit: Being reported incorrectly into HEI. The transcript submitted, reads differently from what was reported.

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