The Compliance Certification

1. The Compliance Certification Elizabeth Normandy UNC Pembroke April 21, 2008

2. The Purpose of Accreditation • Accreditation in the U.S is a voluntary and self-regulatory mechanism in higher education. • It fosters public confidence in education—in maintaining standards, enhancing institutional effectiveness, and improving the educational enterprise.

3. The Purpose of Accreditation • It provided colleges and universities the assurance that institutions have complied with a common set of requirements and standards. • In 2001, the Commission on Colleges of the Southern Association of Colleges and Schools (SACS) adopted a new approach to accreditation.

4. The Purpose of Accreditation • Institutional effectiveness and the ability to sustain an environment that enhances studentlearning is the focus of the new approach. • Success in accreditation depends on four concepts: peer review, institutional integrity, commitment to quality enhancement and continuous improvement, and a focus on student learning.

5. The Purpose of Accreditation • The philosophy and process of accreditation is based on the expectation that the institution will make a commitment to comply with the Core Requirements and Comprehensive Standards contained in The Principles of Accreditation: Foundations for Quality Enhancement.

6. Benefits of Institutional Analysis • In determining compliance with the Principles, an institution can: • Examine its mission statement • Evaluate the effectiveness of its programs, operations, and services • Develop a Quality Enhancement Plan that will impact student learning

7. Benefits of Institutional Analysis • Reinforce the concept that accreditation is an ongoing process • Demonstrate accountability to its constituents and the public

8. Documents in the Accreditation Process • The Principles of Accreditation: Foundations for Quality Enhancement is the primary source document describing the accreditation standards and process. • It contains the Core Requirements and Comprehensive Standards with which the institution must comply to be granted reaffirmation.

9. Documents in the Accreditation Process • The Principles of Accreditation contain four sections: Principles and Philosophy of Accreditation, Core Requirements, Comprehensive Standards, and Federal Regulations for Title IV Funding. • The Core Requirements establish a level of development required of the institution seeking continued accreditation.

10. Documents in the Accreditation Process • The Comprehensive Standards represent good practices in higher education and establish a necessary level of accomplishment expected of SACS member institutions. • The Comprehensive Standards set forth requirements in three areas: 1) institutional mission, governance, and effectiveness; 2) programs; and 3) resources.

11. Documents in the Accreditation Process • Compliance with the Federal Regulations established under Title IV of the 1998 Higher Education Amendments establishes the eligibility of the institution to participate in programs authorized under this statute and other federal programs. • The Commission on Colleges is obligated to consider such compliance when the institution is reviewed for continued accreditation.

12. The Compliance Certification • The Compliance Certification Document is the document that attests to the institution’s compliance with the Core Requirements, Comprehensive Standards, and Federal Regulations. • The Document is based upon the institution’s internal analysis and assessment of its compliance with the requirements and standards.

13. The Compliance Certification • It is based on the documentation generated or assembled to support the conclusions the institution has reached regarding compliance.

14. The Leadership Team • The Commission on Compliance requires that institutions establish a Leadership Team to manage and validate the internal institutional assessment of compliance with all Core Requirements and Comprehensive Standards.

15. The Leadership Team • The responsibilities of the Leadership Team include coordinating and managing the internal review process, including developing the structure and timelines for ensuring the timely completion of all tasks. • The responsibility for conducting the institutional analysis for compliance is given to a committee formed for this purpose.

16. The Compliance Certification Committee • The committee should be composed of individuals who have access to the data and information required to prepare a report that substantiates the institution’s compliance. • This should include representatives from areas such as institutional effectiveness, finance and business, educational programs, student services, libraries and other learning resources, enrollment management, and governance.

17. The Compliance Certification Committee • These individuals should understand the institution’s mission and have extensive knowledge of its history, culture, practices, policies, procedures, and data sources. • Achieving widespread institutional participation for the compliance review is not a goal.

18. The Compliance Certification Committee • The Compliance Certification Committee should begin their analysis by careful interpretation of the Core Requirements and Comprehensive Standards to understand each aspect and determine what information and data must be assembled to document compliance.

19. The Compliance Certification Committee • The Committee has three alternatives in describing the extent of the institution’s compliance with each requirement or standard: compliance, partial compliance, and non-compliance. • If the Committee concludes that the institution is in compliance with each aspect of the requirement or standard, it supports it judgment with a narrative response and documentation.

20. The Compliance Certification Committee • If the Committee judges that the institution complies with some but not all aspects of the requirement or standard, it supports its judgment with a narrative and documentation supporting this claim. • It also provides a detailed action plan for bringing the institution into compliance, a list of documents that will be presented to support compliance, and a date for completing the plan.

21. The Compliance Certification Committee • If the Committee determines that the institution does not comply with any aspect of the requirement or standard, it provides a thorough explanation for the non-compliance and a detailed action plan for bringing the institution into compliance, a list of documents to be presented, and a date for completing the plan.

22. Documentation • The Committee must develop a thorough understanding of what documentation is needed to support compliance with each requirement or standard. • It must also identify areas where evidence may be insufficient to demonstrate compliance and develop strategies to address these gaps.

23. Documentation • For some requirements and standards, a single document and a brief narrative placing it in context will constitute sufficient evidence of compliance. • For requirements and standards that are more complex, a more extensive analysis must be provided and several sources of relevant evidence must be identified to justify compliance.

24. Documentation • In documenting a response to a complex requirement, the Committee should look for a “pattern of evidence” to support compliance. • Evidence must be reliable, current, verifiable, coherent, objective, relevant, and representative

25. Documentation • The narrative summarizes and interprets documentation presented to support compliance with a requirement or standard. • It is in the narrative that an institution presents its “case” for compliance.

26. Timeline • April 2008—Orientation of the Compliance Certification Committee • June 2008—Orientation of the Leadership Team with SACS in Atlanta • August 2008—Compliance Committee Preliminary Report of Audit Findings

27. Timeline • December 2008—First Draft of Compliance Certification Due • May 2009—Final draft of Compliance Certification Due • August 2009 (probably Friday, August 14) —Compliance Certification (Core Requirements and Comprehensive Standards) due to SACS

28. Timeline • Off-Site Peer Review of the Compliance Certification take place the second week in November. • On-Site Peer Review take place sometime between March 15 and April 30.