State Regulator Inspection Process

Assigned To: Sarah Dungan, Dan Tietz, Karen Morgan, Jessica Myers

Category: Student Life Cycle

Department: Academic Advisor, Business Development, Compliance, Program Manager

SOP Rule: Trigger

Status: Approved and Implemented

Purpose

Outlines the process for preparing and managing state regulatory inspections to ensure compliance with licensing requirements and accurate documentation.

Scope

Applies to all licensed schools subject to state inspections, including both file reviews and on-site visits depending on state requirements.

Trigger

• Upcoming or scheduled state inspection
• Regulatory requirement or compliance monitoring

Process Overview

1. Monitor Inspection Schedules (Compliance)

• Track inspections using Compliance Tracking Sheet
• Monitor State and Fire Tracking Sheet
• Identify upcoming or potential inspections
• Follow state-specific inspection procedures

2. Prepare Documentation (Compliance)

• Compile required inspection documents
• Ensure student files are complete and accurate
• Prepare state-specific documentation requirements
• Submit required documents before deadlines

3. Maintain Required Documents (Program Managers)

• Upload and maintain survey documents in required folders
• Ensure all required documentation is updated
• Prepare materials for inspection review

4. Ensure Student File Accuracy (Academic Advisors)

• Maintain complete student records in HubSpot
• Ensure admission requirements are met
• Close out classes based on program timelines
• Finalize student statuses (graduated or dropped)

5. Manage Fire Inspections (Business Development)

• Track and schedule fire inspections
• Upload inspection reports to documentation folders
• Communicate delays or issues to Compliance

6. Communication and Tracking

• Use tracking sheets for visibility and monitoring
• Coordinate through Slack channels for inspection updates
• Maintain documentation in shared drive folders

Key Rules

• All required documents must be complete and accurate
• Inspection deadlines must be met
• Student files must be audit-ready at all times
• State-specific requirements must be followed

Completion Criteria

• All required documents submitted
• Student files verified and complete
• Inspection completed successfully
• Tracking systems updated

Tools and Systems

• Smartsheet (Compliance Tracking Sheet)
• Smartsheet (State and Fire Tracking Sheet)
• Google Drive (Documentation folders)
• HubSpot (Student records)
• Slack (Communication)

Revision History

• Version 1: 03/21/2025
• Version 2: TBD
• Version 3: TBD