SACSCOC Fifth-Year Audit
Training
Session Objectives
• Outline the Fifth‐Year Interim Review Process and the
components of the Review
• Review data on most cited standards for institutions
completing Fifth‐Year Interim Reports
• Share common trouble spots with each standard and
tips on how to avoid them
• Review components of the QEP Impact Report
Steps in Process
NOTIFICATION
• SACSCOC notifies institutional by letter about 11 months prior to submission.
SUBMISSION
• Fifth-Year Interim Reports are due March 25 (Track B).
REVIEW
• Report is reviewed by the Committee to Review Fifth-Year Interim Reports which meets in
June.
RESULTS
• A letter with results of the review is sent to each institution in July.
FOLLOW-UP
• No additional report requested? The process ends.
• Report requested? An additional report is to be submitted to the Compliance & Reports (C&R)
Committee.
Components of the Report
Part I:
Signatures Attesting to
Integrity
Part II:
Institutional Summary Form
Prepared for Commission
Reviews
Part IV:
Follow-up Report
(applicable only to selected
institutions)
Part III:
Fifth-Year Compliance
Certification
Part V:
Impact Report of the Quality
Enhancement Plan
Review of off-campus instructional sites initiated since last reaffirmation but not reviewed by a
committee (indicated in notification letter)
Components of the Report
Part I:
Signatures Attesting to
Integrity
Part II:
Institutional Summary Form
Prepared for Commission
Reviews
Part IV:
Follow-up Report
(applicable only to selected
institutions)
Part III:
Fifth-Year Compliance
Certification
Part V:
Impact Report of the Quality
Enhancement Plan
Review of off-campus instructional sites initiated since last reaffirmation but not reviewed by a
committee (indicated in notification letter)
Most Cited Standards for Fifth-Year
Interim Reports over the Past 5 Years
CS 3.3.1.1 Institutional Effectiveness:
Educational Programs, to include Student Learning Outcomes
46%
CR 2.8 Number of Full-time Faculty
CS 3.4.11 Qualified Academic Coordinators
39%
31%
FR 4.5 Student Complaints
23%
CS 3.10.2/FR 4.7 Financial Aid/Title IV
21%
Part III: Fifth-Year Compliance Certification
Core Requirements
Comprehensive Standards
Federal Requirements
2.8 Number of Full-time Faculty
2.10 Student Support Programs
Part III: Fifth-Year Compliance Certification
Core Requirements
Comprehensive Standards
3.2..8 Qualified Administrators and
Academic Officers
3.3.1.1 Institutional Effectiveness:
Educational Programs, to include
Student Learning Outcomes
3.4.3 Admissions Policies
3.4.11 Qualified Academic Coordinators
3.11.3 Physical Facilities
3.13 Policy Compliance
•
•
Federal Requirements
•
“Accrediting Decisions of Other Agencies”
“Complaint Procedures Against the
Commission or Its Accredited Institutions
“Reaffirmation of Accreditation and
Subsequent Reports”
Part III: Fifth-Year Compliance Certification
Core Requirements
Comprehensive Standards
Federal Requirements
4.1 Student Achievement
4.2 Program Curriculum
4.3 Publication of Policies
4.4 Program Length
4.5 Student Complaints
4.6 Recruitment Materials
4.7 Title IV Program Responsibilities and
CS 3.10.2 Financial Aid Audits
4.8 Distance and Correspondence
Education
4.9 Definition of Credit Hours
Group 1
CR 2.8 Number of Full-time Faculty
COMMON ISSUES
TIPS
X
Not providing disaggregated faculty data (by
program, by mode of delivery, by location)
✓
Include information regarding the
expectations for full-time faculty outside of
the classroom like committee work, service
advising, research curriculum
development, etc.
X
Not explaining what the data mean or not
presenting a case for why the number of
faculty is adequate
✓
Include information on programs taught via
distance education and at off-campus
instructional sites.
X
Not addressing faculty workloads outside of
teaching responsibilities that ensure
integrity and quality of educational
programs
✓
Explain why the numbers presented are
adequate, if indeed they are, or describe
the plan for coming into compliance if any
numbers are not adequate.
CS 3.2.8 Qualified Administrators and
Academic Officers
COMMON ISSUES
TIPS
✓
Identify administrative and academic
officers in leadership positions
X
Giving a list of names and degrees, or set of
vitae with no explanation
✓
Describe the qualifications of the
administrators and academic officers,
building a case for why they are qualified
for their respective roles.
X
Not providing a organizational chart to help
evaluators understand who oversees what
✓
Provide an organization chart.
CS 3.4.11 Qualified Academic Coordinators
COMMON ISSUES
TIPS
✓
Identify coordinators for all programs,
including those offered at off-campus
instructional sites and via distance learning.
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
✓
Make a case for the coordinator’s
qualifications to oversee the development
of the program.
X
Listing a coordinator’s degree with no
reverence to major
✓
List coordinator’s degree and major.
Group 2
CR 2.10 Student Support Programs
COMMON ISSUES
TIPS
X
No mention is made of how support is
provided to students enrolled in distance
education programs or at off-campus
instructional sites
✓
Explain how the services meet the needs of
your students, including those enrolled in
programs offered via distance education
and at off-campus sites.
X
Inconsistency in how Student Support
programs are described in narrative of
report and cited sources (website, catalog,
etc.)
✓
Be consistent in how Students Support
programs are described in all materials
X
Student Support program description are
confusing, jargon-laden, or inadequately
explained
✓
Clearly describe the Student Support
programs provided.
Group 3
CS 3.4.3 Admissions Policies
COMMON ISSUES
X
Information provided in the reports does not
match what is cited in the catalog and/or on
the website
TIPS
✓
Provide a clear and consistent narrative
regarding admissions policies
✓
Address special admissions policies for
specific programs as well as the
institutional admissions policy.
✓
Explain the connection between
admissions policies and the mission.
FR 4.6 Recruitment Materials
COMMON ISSUE
X Recruitment presentations
are not addressed
TIP
✓ Address how the institution
ensures that recruitment
materials and presentations
accurately represent
institutional practices and
policies
Addressing Standards that Require a Policy
Applicable standards in the Fifth-Year Interim Report:
CS 3.4.3 (Admission policies)
FR 4.3 (Publication of policies)
FR 4.5 (Student complaints)
FR 4.8.2 (Distance and correspondence education)
FR 4.8.3 (Distance and correspondence education)
FR 4.9 ( Definition of credit hours)
Addressing Standards that Require a Policy
Points to Consider
CS 3.4.3
(Admissions policies)
• Address the special
admissions policies
• Be clear on whether
admissions policies
differ for various
delivery methods
and why
• Explain connection
between policies
and the mission
FR 4.3
(Publication of Policies)
FR 4.8.2 and Fr 4.8.3
(Distance and correspondence
education)
Be sure to include on how the
policies/procedures are
communicated to those affected
by them
FR 4.5
(Student
complaints)
FR 4.9
(Definition of credit
hours)
Provide
Include discussion of how
documentation of a aberrations are handled
resolved student
complaint that
follows the
policy/procedures
Addressing Standards that Require a policy
When a standard requires that an institution have a policy, the
Commission expects that the institution will:
(1) provide a copy of the policy,
(2) produce evidence that is published in appropriate institutional
documents accessible to those affected by the policy or procedure,
and
(3) demonstrate that the policy has been implemented and enforced.
It is implicit that a policy published in appropriate institutional documents is
written and has been approved.
Group 4
FR 4.7 Title IV Program Responsibilities and
CS 3.10.2 Financial Aid Audits
COMMON ISSUE
X
Financial aid audit results are not yet
available.
X
The Institution has responded to audit
issues with a plan but has not yet
received the U.S. Dept. of Education’s
letter accepting the plan.
X
For public institutions, state audits are
not provided.
TIPS
✓ Work with auditors well in advance to
ensure that audit results are available
by report due date.
✓ Present evidence of financial aid as
required by state regulations, not just
federal, for CS 3.10.2.
Group 5
CS 3.11.3 Physical Facilities
COMMON ISSUES
X
Providing a narrative with no (or dated)
supporting documentation
X
Data presented indicate a lack of adequate
physical facilities
X
Not discussing physical facilities for offcampus instructional sites
TIPS
✓
Including supporting documentation such
as current Facilities Master Plan, space
utilization reports, satisfaction survey
results, and facilities maintenance
schedules.
✓
Address facilities at off-campus
instructional sites.
Group 6
FR 4.1 Student Achievement
COMMON ISSUES
TIPS
✓
Include a variety of measures.
X
Presenting data with no analysis or
indication of how data is used to consider
student achievement
✓
Provide an analysis of the data and explain
how data is used.
X
Not describing the criteria for determining
success
✓
Provide criteria used to determine the
acceptability of intended achievement
goals.
FR 4.2 Program Curriculum
COMMON ISSUES
TIPS
X
Not offering a rationale for the
appropriateness of the programs offered
✓
Explain how the mission and the curricula
are related
X
Not providing supporting documentation
✓
Document how the curriculum is
developed, including
distance education and off-campus site
programs
X
Not addressing distance education and offcampus sites
FR 4.3 Publication of Policies
COMMON ISSUES
X
Variations exist between published versions
of the grading policies, refund policies
and/or academic calendars
TIPS
✓
Verify that all versions of published
academic calendars, grading, and refund
policies are current and accurate
✓
Address how this information is
disseminated to
distance education and off-campus site
students
FR 4.4 Program Length
COMMON ISSUES
TIPS
X
All programs are not included in narrative
✓
Identify measures of programs length for
all programs, including those offered at offcampus instructional sites and via distance
learning.
X
No justification provided for program length
that exceeds those allowed by internal or
system policy
✓
Explain any significant variances in program
length that are not in keeping with
accepted practice.
X
Inconsistency between program length
presented in the narrative of the report and
what is cited in the catalog
✓
Verify that program length information is
published and reported accurately.
FR 4.9 Definition of Credit Hours
COMMON ISSUE
TIP
✓ Refer to the COC “Credit Hours” policy
statement which explains the flexibility
you have in reporting
X
Not addressing policies and procedures
for assigning credit to nontraditional
formats, such as weekend courses,
evening courses, online courses , labs,
military experience, etc.
✓ Address the criteria for assigning credit
to courses offered in a nontraditional
format (demonstrate how experiential
learning and other experiences are
converted to credit hours).
Addressing Standards that Require a Policy
Applicable standards in the Fifth-Year Interim Report:
CS 3.4.3 (Admission policies)
FR 4.3 (Publication of policies)
FR 4.5 (Student complaints)
FR 4.8.2 (Distance and correspondence education)
FR 4.8.3 (Distance and correspondence education)
FR 4.9 ( Definition of credit hours)
Addressing Standards that Require a Policy
Points to Consider
CS 3.4.3
(Admissions policies)
• Address the special
admissions policies
• Be clear on whether
admissions policies
differ for various
delivery methods
and why
• Explain connection
between policies
and the mission
FR 4.3
(Publication of Policies)
FR 4.8.2 and Fr 4.8.3
(Distance and correspondence
education)
Be sure to include on how the
policies/procedures are
communicated to those affected
by them
FR 4.5
(Student
complaints)
FR 4.9
(Definition of credit
hours)
Provide
Include discussion of how
documentation of a aberrations are handled
resolved student
complaint that
follows the
policy/procedures
Addressing Standards that Require a policy
When a standard requires that an institution have a policy, the
Commission expects that the institution will:
(1) provide a copy of the policy,
(2) produce evidence that is published in appropriate institutional
documents accessible to those affected by the policy or procedure,
and
(3) demonstrate that the policy has been implemented and enforced.
It is implicit that a policy published in appropriate institutional documents is
written and has been approved.
Group 7
FR 4.5 Student Complaints
COMMON ISSUES
X
No evidence of implementation provided
X
Inappropriate examples are provided (e.g., a
complaint from a parent)
X
Not addressing how complaints from
students enrolled in distance education
programs or at off-campus instructional sites
are handled
TIPS
✓
Provide a copy of student complaints
policies.
✓
Provide appropriate, real examples
(student names redacted) that document
and illustrate how complaints are resolved.
✓
Address how complaints are handled from
students enrolled at off-campus
instructional sites and via distance
education.
Distinction Between CS 3.13.3 and FR 4.5
CS 3.13.3
(Policy Compliance – Student
Complaints)
Describe how the institution maintains its
record of written student complaints,
including:
1) individuals/offices responsible for
the maintenance of the record(s),
1) Elements of a complaint review that
are included in the record, and
1) Where the record(s) is located
(centralized or decentralized).
FR 4.5
(Student Complaints)
Provide:
• evidence of the institution’s published
policy for handling student complaints,
• evidence that the institution has
implemented and enforced its policy,
applying its procedures for resolving
student complaints.
Addressing Standards that Require a Policy
Applicable standards in the Fifth-Year Interim Report:
CS 3.4.3 (Admission policies)
FR 4.3 (Publication of policies)
FR 4.5 (Student complaints)
FR 4.8.2 (Distance and correspondence education)
FR 4.8.3 (Distance and correspondence education)
FR 4.9 ( Definition of credit hours)
Addressing Standards that Require a Policy
Points to Consider
CS 3.4.3
(Admissions policies)
• Address the special
admissions policies
• Be clear on whether
admissions policies
differ for various
delivery methods
and why
• Explain connection
between policies
and the mission
FR 4.3
(Publication of Policies)
FR 4.8.2 and Fr 4.8.3
(Distance and correspondence
education)
Be sure to include on how the
policies/procedures are
communicated to those affected
by them
FR 4.5
(Student
complaints)
FR 4.9
(Definition of credit
hours)
Provide
Include discussion of how
documentation of a aberrations are handled
resolved student
complaint that
follows the
policy/procedures
Addressing Standards that Require a policy
When a standard requires that an institution have a policy, the
Commission expects that the institution will:
(1) provide a copy of the policy,
(2) produce evidence that is published in appropriate institutional
documents accessible to those affected by the policy or procedure,
and
(3) demonstrate that the policy has been implemented and enforced.
It is implicit that a policy published in appropriate institutional documents is
written and has been approved.
Group 8
Addressing Standards that Require a Policy
Applicable standards in the Fifth-Year Interim Report:
CS 3.4.3 (Admission policies)
FR 4.3 (Publication of policies)
FR 4.5 (Student complaints)
FR 4.8.2 (Distance and correspondence education)
FR 4.8.3 (Distance and correspondence education)
FR 4.9 ( Definition of credit hours)
Addressing Standards that Require a Policy
Points to Consider
CS 3.4.3
(Admissions policies)
• Address the special
admissions policies
• Be clear on whether
admissions policies
differ for various
delivery methods
and why
• Explain connection
between policies
and the mission
FR 4.3
(Publication of Policies)
FR 4.8.2 and Fr 4.8.3
(Distance and correspondence
education)
Be sure to include on how the
policies/procedures are
communicated to those affected
by them
FR 4.5
(Student
complaints)
FR 4.9
(Definition of credit
hours)
Provide
Include discussion of how
documentation of a aberrations are handled
resolved student
complaint that
follows the
policy/procedures
Addressing Standards that Require a policy
When a standard requires that an institution have a policy, the
Commission expects that the institution will:
(1) provide a copy of the policy,
(2) produce evidence that is published in appropriate institutional
documents accessible to those affected by the policy or procedure,
and
(3) demonstrate that the policy has been implemented and enforced.
It is implicit that a policy published in appropriate institutional documents is
written and has been approved.
Group 10
CS 3.3.1.1 Institutional Effectiveness:
Educational Programs
COMMON ISSUES
TIPS
X
Non-representative
✓
If presenting a sampling, use the representative
sampling and include a rationale for what makes
the sample responsible and representative of the
programs offered.
X
Lack of defined student learning outcomes and/or
methods for assessing the outcomes
✓
Focus on program outcomes and student learning
outcomes
X
Limited/Immature data
✓
Use mature data. If using a new system, provide
data from the previous system, if necessary and
possible, to demonstrate ongoing compliance.
X
Not documenting use of data to make improvements
✓
Document how the resulting data has been used to
make improvements.
X
Not addressing distant education and off-campus
instructional site programs
✓
Include data on programs offered at off-campus
instructional sites and via distance learningconsider comparability, if appropriate.
CS 3.13 Policy Compliance
CS 3.13.1 “Accrediting Decisions of Other Agencies
COMMON ISSUES
TIPS
X
Not providing narrative for programs
accredited by bodies recognized by the U.S.
Dept. of Education that are mentioned
elsewhere in report (Institutional Summary
Form, website, or other literature provided
as evidence)
✓
Be sure that all listed accreditations from
bodies that are recognized by the U.S.
Dept. of Education are consistently listed
throughout the report.
X
Not providing evidence of statements used
to describe the institution for each of the
U.S. Dept. of Education recognized
accrediting bodies listed in the report
✓
Provide copies of statements used to
describe the institution for each listed
accrediting agency recognized by the U.S.
Dept. of Education.
CS 3.13 Policy Compliance
CS 3.13.3 “Complaint Procedures Against the Commission or Its
Accredited Institutions”
COMMON ISSUES
TIPS
X
Inconsistency in description of
individuals/offices responsible for
maintaining the records of student
complaints cited on website and in
publications
✓
Make sure there is consistency with report,
website and publications.
X
Not providing a description of the
individuals/offices responsible for
maintaining the records of student
complaints
✓
Provide a description of the
individual/offices responsible for
maintaining the records of student
complaints.
X
Not providing the location of the records
✓
Provide the location of the records
Distinction Between CS 3.13.3 and FR 4.5
CS 3.13.3
(Policy Compliance – Student
Complaints)
Describe how the institution maintains its
record of written student complaints,
including:
1) individuals/offices responsible for
the maintenance of the record(s),
2) elements of a complaint review
that are included in the record,
and
3) where the record(s) is located
(centralized or decentralized).
FR 4.5
(Student Complaints)
Provide:
• evidence of the institution’s published
policy for handling student complaints,
• evidence that the institution has
implemented and enforced its policy,
applying its procedures for resolving
student complaints.
Group 9
QEP Impact Reports
Common Issues:
• Failure to launch project due to leadership
and/or resource issues
• Not presenting the goals or outcomes of the
project
• Not describing the implementation of the
project, regardless of changes from original
plan
• Not collecting and/or using data to assess the
impact on student learning
Part V: QEP Impact Report
TIPS
✓
Address ALL of the elements
1. A succinct list of initial goals and intended outcomes of the Quality
Enhancement Plan;
2. A discussion of changes made to the QEP and the reasons for
making those changes;
3. A description of the QEP’s impact on student learning and/or the
environment supporting student learning, as appropriated to the
design of the QEP (to include the achievement identified goal and
outcomes, and any unanticipated outcomes of the QEP); and
4. A reflection on what the institution has learned as a result of the
QEP experience.
Part V: QEP Impact Report
TIPS
✓
Address ALL of the elements
✓
Use your 10 pages wisely
Reviewers are looking to see that the institution…
• Has done what is said it was going to do, given reasonable
adjustments to the plan
• Has measured and analyzed the impact on student learning and/or
the learning environment as per project goals/objectives
• Has learned from the process
Words of Wisdom from Evaluators of the
Fifth-Year Interim Report
Writing the
Narrative
• Your narrative and evidence for each standard should be as comprehensive as
your narrative/evidence in your Compliance Certification Report for
Reaffirmation.
• Follow all the directions.
• Write clearly and succinctly, using pointed examples.
• Save the reader time by pointing directly to the specific supporting
documentation – excerpting when it makes sense.
Tips from Evaluators of the Fifth-Year
Interim Report
• Provide an analysis of data, not just a data dump.
• Use tables and graphs when appropriate, along with
narrative to help the reader understand what you are trying
to illustrate.
• Connect the dots for the reader – remember you are
translating, providing a context, and building a case for
compliance.
Presenting
the Data
Additional Resources
“Guidelines for Writing Responses” and Other
Templates and Instructions can be found here
S:\AAFR\SHARED\SACS Compliance Certification\5th yr
Rpt\team resources