Enrollment Audits

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

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Enrollment audits

• Our goal is to audit approximately 17 campuses
  per year.

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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

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Why we must audit...

• Legislative Mandate
• to determine compliance
• with state policy
• related to subsidy.
• To assure integrity of subsidy distribution
  formula.

ORC-Sec. 3333.04
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Why we must audit...

• To improve data integrity of the HEI System.
• To enhance communication with campuses.

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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)

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What we audit...

• Subsidy Eligibility Continued
• Residency (OAC 3333-1-10)
• Selective Service (OAC 3333-1-19)
• PSEOP Eligibility

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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)

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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)

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What we audit...

• 2. Degree Certificate File Continued
• Documents to be reviewed
• College Academic Transcripts
• Extended Program Justifications (4-year
  institutions Only)

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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

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What we audit...

• 3. Course Inventories Continued
• Documents to be reviewed
• Course Catalog
• Program Summaries for Tech courses

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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)

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What we audit...

• 4. Flexibly Scheduled Course Continued...
• Documents to be reviewed
• Approval by CAO of flex courses meeting less than
  11 days

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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.

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The enrollment audit process...

• 1. Notify selected institutions
• Email letter to Presidents and contacts
• Pre-Audit Survey Part-A

• Inquiry of records required for audit
• physical location of records,
• format for storage,
• records retention schedule,
• preference date for audit

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The enrollment audit process...

• 2. Selected institutions
• return Pre-Audit Survey Part-A (one survey
  per campus)
• 3. Enrollment Audits begin

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The enrollment audit process...

• 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)

Inquiry of institutional procedures Admissions,
Fees, Financial Aid, Registration, Fed/State Regs
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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

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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)

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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

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The enrollment audit process...

• 5. Two weeks prior to scheduled audit institution
  returns
• Pre-Audit Survey Form Part B
• Documents required for audit

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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.

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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!

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Findingsfrom past audits

• Admissions Applications (verification of
  residency)
• Missing forms (billing statements, admissions
  apps registration forms)
• Award of Academic Credit