Texas Higher Education Coordinating Board Compliance Monitoring Texas

Texas Higher Education Coordinating Board

Compliance Monitoring Texas Administrators of Continuing Education (TACE) April 20, 2016 Texas Higher Education Coordinating Board

Compliance Monitoring ØCB Compliance Monitoring has statutory definition in SB 215, 83 rd Legislative Session ØTwo areas of Compliance Monitoring Emphasis: üFunds allocated by the CB to institutions of higher education – grants, scholarships, loans, work study – used in accordance with laws and rules üData reported by institutions of higher education to the CB, used for funding or policymaking decisions – reported in accordance with laws and rules

CB Compliance Monitoring ØAudit processes follow professional auditing standards, with wellqualified/trained staff performing Compliance Monitoring Audits at your institution ØAudit processes emphasize a risk-based, planning, communication, and disruption-minimizing approach to work ØAudit reporting process is multi-staged and inclusive, and results in final report issued to the institution’s President and applicable oversight bodies, that includes the institution’s response to any noted recommendations

Compliance Monitoring Process 1. Areas and Selection 6. Audit Findings 2. Notification and Planning 7. Draft Audit Report 3. Entrance Conference 8. Exit Conference 4. Fieldwork 9. Responses and Plans of Action 5. Preliminary Issues Meeting 10. Distribution of Report

Desk Reviews ØThe desk review process steps are similar to a site visit but will be performed at the Coordinating Board auditor’s offices rather than on-site. ØThe scope of the review is narrower than a site visit with a smaller sample size. The results of a desk review could result in a site visit.

Issues Noted in Previous Audits/Reviews ØLack of documentation and/or process ØInstructor Qualifications ØContact hours for non-traditional courses ØIT Controls – User access and permissions ØTuition not paid by census date ØContinuing Education - High School students

Discussion & Questions? Mark Poehl – 512 -427 -6161 David Mahoney – 512 -427 -6493 Paul Maeyaert – 512 -427 -6482 Texas Higher Education Coordinating Board mark. poehl@thecb. state. tx. us david. mahoney@thecb. state. tx. us paul. maeyaert@thecb. state. tx. us