College View of OBR Audit

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College View of OBR Audit
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Introduction

• One college perspective of the OBR audit.
• Wendy Wiseman, Registrar from Marion Technical
  College

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Topics of Discussion

• What information was received from OBR for the
  audit
• What MRTC (Marion Technical College) did to
  prepare the information for the audit
• What dialog occurred between OBR and MRTC to help
  with the audit

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Audit Materials from OBRvia email

• Pre-Audit Survey A
• Notification letter
• Pre-Audit Survey B
• Sample materials
• Course Inventory Sample
• Flexibly Scheduled Course Sample
• Degree student sample
• Student sample

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Steps Used to Prepare the Audit Material for OBR

• Prepared the Pre-audit Survey A
• Preliminary information about record information,
  method of storage and retention
• Preference for month of audit
• Returned survey via email

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Steps Used to Prepare the Audit Material for OBR

• Received notification of audit month along with
  samples
• Created a folder on my desktop for filing all
  audit materials

MRTC Audit
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Steps Used to Prepare the Audit Material for OBR

• Reviewed the Pre-audit Survey B
• Sent copy of the survey to all departments where
  input was required
• Gave background information for preparing the
  survey
• Provided a deadline date
• Using collected data prepared the survey

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Steps Used to Prepare the Audit Material for OBR

• Sample materials
• Course Inventory Sample
• I reviewed what courses OBR was
• auditing. There was no need to provide
  information because OBR used HEI course
  information for this part of the audit.

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Steps Used to Prepare the Audit Material for OBR

• Sample materials
• Flexibly Scheduled Course Sample
• OBR sent an EXCEL spreadsheet of courses for the
  audit.
• MRTC provided the beginning and ending dates for
  the courses.
• OBR then provided a listing of courses for review
  (less than 11 days)
• MRTC provided the documentation required.

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Steps Used to Prepare the Audit Material for OBR

• Sample materials
• Degree student sample
• Student sample
• For both samples, OBR provided an EXCEL
  spreadsheet with the student social security
  numbers, the quarter and year being audited and
  other additional information.

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Steps Used to Prepare the Audit Material for OBR

• Sample materials
• Degree student sample
• Student sample
• For both samples, OBR requested sample materials
  that MRTC would use to provide the required
  documentation for the audit.
• I suggest follow-up conversation with auditors to
  make sure you are on the same page with this. It
  will save you steps later on in the audit process.

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Steps Used to Prepare the Audit Material for OBR

• Sample materials
• Degree student sample
• Student sample
• Using download features, EXCEL, and ACCESS, MRTC
  matched the OBR files with MRTC databases to get
  an alphabetical listing of students being audited.

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Steps Used to Prepare the Audit Material for OBR

• Sample materials
• Degree student sample
• Student sample
• Pulled file folders for students being audited.
• Notified other departments for forms needed for
  the audit.
• Copied required forms or printed online
  information

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Steps Used to Prepare the Audit Material for OBR

• Deadline Day
• Packed up audit materials and took a field trip
  to OBR.
• Went to lunch to celebrate completion of phase
  one of audit.

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MRTC Audit Review Session

• OBR visits campus and provides audit feedback
• OBR tours facilities to view where student
  information is stored on campus.
• OBR reviews the audit with MRTC and explains the
  possible errors and summary error report.
• OBR provides opportunity for MRTC to provide
  additional forms and documentation to correct
  errors.

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MRTC Audit Review Session

• Feedback Information of Possible Errors
• MRTC received feedback by issue in social
  security order.
• To get a good listing of the audit material still
  required
• MRTC created an EXCEL spreadsheet with the social
  security numbers
• Matched this file with the previous database
  files used in the audit to create a new file
  sorted alphabetically.

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MRTC Audit Review Session

• Feedback Information of Possible Errors
• MRTC copied required forms and/or printed online
  data documentation.
• MRTC mailed information to OBR for review.

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Dialog between MRTC and OBR

• Email and Phone calls
• Email was the primary means of correspondence for
  the audit with following up phone calls as
  needed.
• Clarification of what material to provide.
• Clarification of what the material was
  documenting.
• Hindsight Dont hesitate to ask what audit
  information the forms being requested is
  verifying. Dont assume that you are on the same
  page as OBR.
• Pre HEI documentation may be different for you
  than post HEI.

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What OBR and MRTC learned from audit

• Some HEI information was not accurate for MRTC.
• Some HEI elements were being interpreted
  differently by OBR and MRTC.
• Some audit information is cumbersome to work with
  for colleges (examplefeedback organized by
  issue)

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The End