Conducting a Compliance Audit for SACSCOC Reaffirmation

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Conducting a Compliance Audit for SACS/COC
Reaffirmation

• Gerry Dizinno
• The University of Texas at San Antonio

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What is a Compliance Audit?

• Bob Armacost and Julia Pet-Armacost at The
  University of Central Florida were the first to
  formally describe the process (Compliance
  Readiness Audit)
• A method to review SACS/COC Principles of
  Accreditation as they apply to your institution
  so that you can identify areas that need
  attention early in the reaffirmation process to
  ensure that the institution is in compliance
  with all Core Requirements and Comprehensive
  Standards

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Brief Review of SACS/COC Principles of
Accreditation

• Section I The Principle of Integrity
• Section II Core Requirements (16)
• Section III Comprehensive Standards (61),
  organized in Sections
• Institutional Mission (1)
• Governance and Administration (17)
• Institutional Effectiveness (1)
• Programs
• All Educational Programs (12)
• Undergraduate Programs (4)
• Graduate and Post-Baccalaureate Professional
  Programs (4)
• Faculty (5)
• Library and Other Learning Resources (3)
• Student Affairs and Services (3)
• Resources
• Financial Resources (5)
• Physical Resources (3
• Institutional Responsibility for Commission
  Polices (3)
• Section IV Federal Requirements (7)

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Compliance Audit Scope

• All Core Requirements except 2.12 QEP
• All Comprehensive Standards (except 3.13
  Responsibility for compliance with other
  Commission policies)
• All Federal Requirements

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UTSAs Compliance Audit

• The institution
• Carnegie Basic Classification Masters Colleges
  and Universities (larger programs)
• BUT, current data would classify us in
  Doctoral/Research Universities
• 28,688 students (preliminary, Census Day Fall
  2007)
• Over the past ten years one of the fastest
  growing institutions in Texas
• Approximately 85 undergraduate, 15 graduate
• Six Colleges housing 62 undergraduate programs,
  43 masters programs, and 19 doctoral programs
• Minority- and Hispanic-Serving Institution

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Organization of the Compliance Audit at UTSA

• NOTE our Compliance Report is DUE September of
  2009
• Planning and Forming of Committee January
  through April 2007
• Activities May 2007 through August 2007
• Orientation/Training of Participants
• Reporting
• Monthly Progress Reports
• Final Summary Reports
• Presenting Results and Taking Action September
  2007 and beyond

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Planning Who to Include

• You will need a Compliance Audit Committee
• Assign responsibility for Core Requirements and
  Comprehensive Standards based on areas of
  expertise
• Try to minimize political appointees
• You need worker bees
• Look at the Principles as they apply to your
  organization
• Break out by functional areas in your
  college/university, NOT by the Principles

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Planning Who to Include

• Identified possible committee members
• Consulted with others
• Presented suggestions to President and Vice
  Presidents at Executive session
• Minor revisions made
• Final committee appointed

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Planning Forming the Team and Assigning
Responsibilities at UTSA
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Activities

• May 10, 2007 Workshop Conducted with all
  Committee members
• Review of Compliance requirements, SACS/COC
  procedures
• Describe purpose of audit, responsibilities,
  time-line
• Due date for Completion August 31, 2007 (about 3
  ½ months)

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Responsibilities of Committee Members

• Investigate policies, procedures to determine
  CURRENT status of compliance
• COMPLIANCE
• Policy, practice exists
• We have solid DOCUMENTATION of its existence
• Provide MONTHLY progress reports (June 1, August
  1) and final report (by August 31st)

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Monthly Progress Reports

• Purpose simply to keep track of work, make sure
  everyone is doing what is expected
• Format A simple form providing basic information
• Review reports and contact members to clarify,
  explain, etc.

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Form for Monthly Progress Reports
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Final Summary Reports

• Due August 31, 2007
• Contain, for each Core Requirement, Comprehensive
  Standard, Federal Requirement
• Summary of Finding (check list)
• Definitely in compliance
• Probably in compliance
• Compliance in question
• Probably not in compliance
• Definitely not in compliance
• Description of why rating was assigned
• List of Documentation

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Form for Final Summary Report

• Core Requirement or Comprehensive Standard  
•     
• Title of Core Requirement or Comprehensive
  Standard      
• Person Responsible for Audit      
• Summary Rating of Status
• 1. Definitely In Compliance all documentation
  identified and located
• 2. Probably In Compliance not all documentation
  identified and located
• 3. Compliance In Question processes, procedures
  may not be in place and/or documentation
  unavailable or not located
• 4. Probably Not In Compliance processes and/or
  procedures may not be completely in place and
  documentation may be unavailable
• 5. Definitely Not In Compliance processes and/or
  procedures not in place and documentation is not
  available.
• Provide a brief description of the rating you
  provided, explaining why we are in/not in
  compliance, the status of the documentation for
  compliance, and what needs to be done to bring
  the institution into compliance if you have
  judged it to be anything BUT Definitely In
  Compliance.
•      
• Please list any documentation you have identified
  that help support a finding of compliance for
  this Core Requirement or Comprehensive Standard.

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Presenting Results
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Taking Action Next Steps

• Leadership Team Meeting October 2007
• Summarize Results of Compliance Audit
• Determine responsibilities for corrective actions
• Begin writing of narratives, assembling
  documentation, building websites, etc., etc.
• Continue to work with Compliance Team to
  determine ongoing status of areas requiring
  corrective actions

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Questions?

• Contact
• gerry.dizinno_at_utsa.edu