10/13/2016. Unveiling Pathways to Compliance: Conducting a Fifth-Year Report Readiness Audit

Transcription

1 Unveiling Pathways to Compliance: Conducting a Fifth-Year Report Readiness Audit Dr. Christine Robinson & Ms. Shantya Plater How to conduct a compliance audit? to prepare for the Fifth-Year Interim Report Identify appropriate team members and assigning responsibilities Communicate the process and timeline Develop resources and guidelines for preparing narratives and documentation Institute a progress tracking tool Learning Outcomes Identify the rationale for a readiness audit Identify structures and resources for a readiness audit process Identify methods to communicate with and engage participants in an audit process 1

2 Why a Compliance Readiness Audit? Stop the flurry of activity immediately before the compliance certification is due Make the accreditation requirements a part of conducting business as usual Identify issues of compliance early Allow time for the institution to implement solutions Process for Compliance Certification Two-step Process Compliance Readiness Audit Compliance Certification Two years out One year out Due date Start Writing the Document Report Components 2

3 Pathway to Compliance Early Preparation Create a strong plan of action Address the Standard Pace the data collection, writing, and review processes to finish before the due date Monitor the progress regularly Conduct a readiness audit to find any gaps in evidence and act on areas of immediate need Be informed of any changes or updates to The Principles Use the Resource Manual!!!! Don t be afraid to ask questions Team members and responsibilities Example Responsibilities Review the Principles of Accreditation Identify and evaluate evidence to support compliance with the above Lead working groups on particular standards and work with subject matter experts in those areas Prepare draft narrative of compliance Work collaboratively to identify, develop, communicate, implement, and assess policies and procedures needed for compliance Conduct the analysis of compliance to ascertain the extent of compliance Certify the quality and integrity of data and information 3

4 Identifying Committees and Subgroups How did we select participants? Mapped the standards to units that had direct access to documentation Or who could identify its location and get access Unit heads who had authority and influence Example Functional Committee Structure VC for Student Affairs VC for Business Affairs Student Affairs & Services Institutional Effectiveness Financial Resources Institutional Effectiveness Physical Resources Director of Athletics VC for University Advancement Institutional Effectiveness Governance and Administration Institutional Effectiveness Governance and Administration SACSCOC Organization Overview Assessment Office Oversight of compliance certification, QEP, off-site and on-site visits Ongoing review of SACSCOC Standards & changes SACSCOC Advisory Committee Final review & approval Provide written narrative & documentation Analyze compliance & close the gaps Review Team Accreditation Workgroups QEP Technical Support Institutional Reporting Faculty Credentialing Accreditation Editors 4

5 Process and Timeline Audit Team Meeting Overview Purpose of Audit Team Member Responsibilities Audit Process and Timeline Resources Shared access to: Charge Assigned Standards Common issues and tips Prior narratives and documentation Preparing Responses Gathering Documentation SACSCOC Templates Writing Guidelines Resource Manual Audit Process Overview Stage1 Review supporting documentation Stage2 Data and Documentation Collection Stage3 Recommendati ons (Complete Audit Form) Stage4 Gap Analysis Stage5 Implementation of Solutions (if necessary) Stage6 Documentation Refining 5

6 Create Fifth-Year Review Committees / Conduct Committee Orientation September 2015 Prepare layout template in Affirm Load SACSCOC standards (initial 17 standards and additional 3.13 A, B, &C) Template for QEP Impact Report Conduct Affirm user training October 2015-March 2016 Begin Fifth-Year Readiness Audit Collect data and documentation for each standard and upload documentation in Affirm. January 2016 Update committee members of any additions to the Principles of Accreditation from the SACSCOC Annual Meeting February 2016 Mid-point check-in for data/documentation collection (Fifth- Year Interim Report Round Table Discussions) April June 2016 Respond as needed to critical areas with missing documentation, policy updates and policy creation. (Gap Analysis) Compliance Resources Example Writing Guidelines Break down the requirement or standard into its components and use that as the structure for responding. Write the responses so that it can be understood by someone who does NOT have prior knowledge of the subject matter. Provide an analysis of data, not just a data dump. Briefly summarize in words and/or tables results from any quantitative/qualitative data which are included in attachments. 6

7 CS Qualified Academic Coordinators COMMON ISSUES X Not providing a rationale for why an individual is qualified to coordinate a program, and oversee the development and review of the curriculum especially in the cases where the reasoning is not obvious X Listing a coordinator s degree with no reverence to major TIPS Identify coordinators for all programs, including those offered at off-campus instructional sites and via distance learning. Make a case for the coordinator s qualifications to oversee the development of the program. List coordinator s degree and major. Taken from the Southern Association of Colleges and Schools Commission on Colleges Tips for Conducting an Audit Evidence can be used for multiple standards Ensure all publications have consistent information (Web sites, catalogs, brochures, presentations) Only use evidence that applies to the specific standard Analyze and assemble the information so it clearly communicates compliance Address every standard and every part of the standard Develop a consistent method of labeling evidence files Tracking Progress 7

8 Addressing Gaps Distance education Outdated policies What happens if no evidence of not following your own procedures? What if your website is not up to date? Next steps 8

9 Audit Follow-Up Meetings Questions 9