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A Successful Fifth Year Report: Organization and Details Matter

A Successful Fifth Year Report: Organization and Details Matter

Somer FranklinAssistant Vice President, SACSCOC Liaison, Academic Planning and AssessmentSam Houston State University

Somer FranklinAssistant Vice President, SACSCOC Liaison, Academic Planning and AssessmentSam Houston State University

AgendaAgenda

About SHSU The Fifth-Year Report: An Overview Planning and Logistics Narrative Tips and Potholes

About SHSU The Fifth-Year Report: An Overview Planning and Logistics Narrative Tips and Potholes

About SHSUAbout SHSU

Public, 4-Year in Huntsville, Texas Doctoral Research University by Carnegie ~ 90 Bachelor’s, 60 Master’s, 8 Doctoral ~ 20,000 Students Submitted 5th Year Report in March, 2015 Reaffirmation Class of 2019

Public, 4-Year in Huntsville, Texas Doctoral Research University by Carnegie ~ 90 Bachelor’s, 60 Master’s, 8 Doctoral ~ 20,000 Students Submitted 5th Year Report in March, 2015 Reaffirmation Class of 2019

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5th Year Report: Overview5th Year Report: Overview

Part I. Signatures Attesting to Integrity Part II. Institutional Summary Form Prepared for

Commission Reviews Part III. Fifth-Year Compliance Certification Part IV. Fifth-Year Follow-Up Part V. Impact Report of the Quality Enhancement

Plan http://sacscoc.org/FifthYear.asp

Part I. Signatures Attesting to Integrity Part II. Institutional Summary Form Prepared for

Commission Reviews Part III. Fifth-Year Compliance Certification Part IV. Fifth-Year Follow-Up Part V. Impact Report of the Quality Enhancement

Plan http://sacscoc.org/FifthYear.asp


Part I. Signatures Attesting to Integrity

Part I. Signatures Attesting to Integrity


Part II. Institutional Summary Form Prepared for Commission Reviews

Tips:List of DegreesLocations & Branch

Campuses

Accreditations

Part II. Institutional Summary Form Prepared for Commission Reviews

Tips:List of DegreesLocations & Branch

Campuses

Accreditations

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Part III. The Fifth-Year Compliance Certification

Discussed in detail later

Part III. The Fifth-Year Compliance Certification

Discussed in detail later


Part IV. Fifth-Year Follow Up Report

Not applicable to all institutions

Part IV. Fifth-Year Follow Up Report

Not applicable to all institutions


Part V. Impact Report of the Quality Enhancement Plan

Part V. Impact Report of the Quality Enhancement Plan

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Planning & LogisticsPlanning & Logistics

Timeline Pre-Planning/Triage AssessmentGetting the Right People Involved

Resources for the Committee Narrative Development Packaging the Product

Timeline Pre-Planning/Triage AssessmentGetting the Right People Involved

Resources for the Committee Narrative Development Packaging the Product


Timeline – Start Early!1 to 1 ½ Years

Before Due Date

Allow time to gather data*

Build in a buffer for edits/revisions

Timeline – Start Early!1 to 1 ½ Years

Before Due Date

Allow time to gather data*

Build in a buffer for edits/revisions

See Document 1 on Disk


Pre-Planning/Triage AssessmentSave and Gather

Conference Session Notes

List-serve Email Questions and Responses

Feedback from Prior Reports

Pre-Planning/Triage AssessmentSave and Gather

Conference Session Notes

List-serve Email Questions and Responses

Feedback from Prior Reports

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Pre-Planning/Triage AssessmentOrganize your Notes

Pre-Planning/Triage AssessmentOrganize your Notes



Pre-Planning/Triage Assessment Identify and Review Necessary Institutional

Policies

Pre-Planning/Triage Assessment Identify and Review Necessary Institutional

Policies

o Use:o Prior Reportso Resource Manual

- Documentation



Getting the Right People Involved Identify Experts by Standard

Getting the Right People Involved Identify Experts by Standard


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Getting the Right People InvolvedSolicit Nominations from Vice Presidents

Hard Workers / Prompt / Reliable

Resourceful

Division/Institutional Knowledge

Prior SACS Report Experience

Leads to Top-Level Support/Buy-In

Getting the Right People InvolvedSolicit Nominations from Vice Presidents

Hard Workers / Prompt / Reliable

Resourceful

Division/Institutional Knowledge

Prior SACS Report Experience

Leads to Top-Level Support/Buy-In


Getting the Right People InvolvedGetting the Right People Involved



Getting the Right People InvolvedGetting the Right People Involved


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Getting the Right People InvolvedMaintain top-level support throughout the process by

keeping key administrators aware of the timelines, work being completed, and assistance needed.President & Vice Presidents – Monthly President’s

Cabinet meeting updates

Academic Deans – Monthly Council of Academic Deans meeting updates

Getting the Right People InvolvedMaintain top-level support throughout the process by

keeping key administrators aware of the timelines, work being completed, and assistance needed.President & Vice Presidents – Monthly President’s

Cabinet meeting updates

Academic Deans – Monthly Council of Academic Deans meeting updates


Resources for the CommitteeTimeline – Document 1 on Disk

Standards Matrix with Notes – Document 2 on Disk

Committee Assignments – Appoint a Team Lead*

Resources for the CommitteeTimeline – Document 1 on Disk

Standards Matrix with Notes – Document 2 on Disk

Committee Assignments – Appoint a Team Lead*


Resources for the CommitteeSACSCOC Documents

5th Year Report TemplateDirections and Guidelines for Completion of Part III of the

Fifth-Year Interim ReportThe Fifth-Year Interim Report Process: An OverviewResource ManualResource Manual – Appendix A – Chart of Standards and

RequirementsAnalyzing A Case For Compliance(Evaluator Training

Document)


5th Year Report TemplateDirections and Guidelines for Completion of Part III of the

Fifth-Year Interim ReportThe Fifth-Year Interim Report Process: An OverviewResource ManualResource Manual – Appendix A – Chart of Standards and

RequirementsAnalyzing A Case For Compliance(Evaluator Training

Document)

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Resources for the Committee SACSCOC

DocumentsResource Manual

– Appendix A –Chart of Standards and Requirements

Resources for the Committee SACSCOC

DocumentsResource Manual

– Appendix A –Chart of Standards and Requirements



Analyzing A Case For Compliance(Evaluator Training Document)

http://www.sacscoc.org/pdf/ANALYZING%20A%20CASE%20FOR%20COMPLIANCE_SEPT2010%20_2_.pdf


Analyzing A Case For Compliance(Evaluator Training Document)

http://www.sacscoc.org/pdf/ANALYZING%20A%20CASE%20FOR%20COMPLIANCE_SEPT2010%20_2_.pdf

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Narrative Development Don’t Start from Scratch

If possible, use the prior response, as a starting draft Less overwhelming for authors

Provides a guide / basic expectations

Requires updates rather than re-inventing the wheel

But Watch Out! Ensure Updates are Made

Narrative Development Don’t Start from Scratch

If possible, use the prior response, as a starting draft Less overwhelming for authors

Provides a guide / basic expectations

Requires updates rather than re-inventing the wheel

But Watch Out! Ensure Updates are Made


Narrative DevelopmentMake it Easy for Committee Members

Narrative DevelopmentMake it Easy for Committee Members


Narrative DevelopmentStress Value of Resource Manual

Narrative DevelopmentStress Value of Resource Manual

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Narrative DevelopmentCheck in Frequently with Authors – We’re all busySet Deadlines Early – Plan for tardy submissions

Narrative DevelopmentCheck in Frequently with Authors – We’re all busySet Deadlines Early – Plan for tardy submissions


Narrative DevelopmentAllow ample time for review and edits!

Initial review – SACSCOC Liaison

Global review – Academic Deans/Executive Leadership Team

Final review – Editing Team


Initial review – SACSCOC Liaison

Global review – Academic Deans/Executive Leadership Team

Final review – Editing Team


Narrative Development Allow ample time for review and edits!

Initial review – SACSCOC LiaisonBasic read-throughEnsure narrative updatedEnsure all elements addressedEnsure appropriate support documents

Narrative Development Allow ample time for review and edits!

Initial review – SACSCOC LiaisonBasic read-throughEnsure narrative updatedEnsure all elements addressedEnsure appropriate support documents

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Global review – Academic Deans/Executive Leadership TeamEach standard reviewed by three individuals

High-level content review

Ease of understanding/readability review

Case for compliance review


Global review – Academic Deans/Executive Leadership TeamEach standard reviewed by three individuals

High-level content review

Ease of understanding/readability review

Case for compliance review



Final review – Editing Team4-person Review Team (SACSCOC Liaison, Director of

Assessment, Support Document Reviewer, Copy Editor)

Final content review

Final support document review

Final copy editing


Final review – Editing Team4-person Review Team (SACSCOC Liaison, Director of

Assessment, Support Document Reviewer, Copy Editor)

Final content review

Final support document review

Final copy editing


See Document 6 on Disc

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See Document 7 on Disc


Packaging the ProductFollow Submission Guidelines Closely!

If print – front/back, double space, >=10 pt. font, no 3-ring binders, staple or soft bind.

If electronic – include all documents on device, if device < 4”x4” individually package with labels, test functionality

http://sacscoc.org/fifth%20year/Directions%20&%20Guidelines%20for%20Completion%20of%20Part%20III.pdf

Packaging the ProductFollow Submission Guidelines Closely!

If print – front/back, double space, >=10 pt. font, no 3-ring binders, staple or soft bind.

If electronic – include all documents on device, if device < 4”x4” individually package with labels, test functionality

http://sacscoc.org/fifth%20year/Directions%20&%20Guidelines%20for%20Completion%20of%20Part%20III.pdf


Packaging the ProductMake the Reviewers Jobs Easy!

Produce a clean, easy to navigate product

Allow easy transition from narrative to narrative

Include in-text links to support documents

Highlight or ‘jump to’ relevant points in support documents

Provide instructions for navigating the report

Packaging the ProductMake the Reviewers Jobs Easy!

Produce a clean, easy to navigate product

Allow easy transition from narrative to narrative

Include in-text links to support documents

Highlight or ‘jump to’ relevant points in support documents

Provide instructions for navigating the report

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Packaging the ProductMake the

Reviewers Jobs Easy!













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Narrative Tips and PotholesNarrative Tips and Potholes

Overall Tips and Reminders for NarrativesMost Frequently Cited Standards

Tips and Potholes

Overall Tips and Reminders for NarrativesMost Frequently Cited Standards

Tips and Potholes


Overall Tips and Reminders Be clear, concise, and complete Explain how documentation supports compliance Provide evidence, don’t just provide the process/policy

Show policy implementation Show evidence of action (will do v. have done)

Provide and explain representative sampling when possible Avoid contradictions between sections of report

Institutional SummaryOther Standards

Reference Resource Manual before, during, and after narrative development

Read, read, and re-read completed narratives

Overall Tips and Reminders Be clear, concise, and complete Explain how documentation supports compliance Provide evidence, don’t just provide the process/policy

Show policy implementation Show evidence of action (will do v. have done)

Provide and explain representative sampling when possible Avoid contradictions between sections of report

Institutional SummaryOther Standards

Reference Resource Manual before, during, and after narrative development

Read, read, and re-read completed narratives


Most Frequently Cited Standards for 5th Year 2.8 Faculty 3.3.1.1 Institutional Effectiveness – educational programs 3.4.11 Academic Program Coordination 3.11.3 Physical Facilities 4.1 Student Achievement 4.5 Student Complaints 3.10.2/4.7 Control of Finances/Title IV Program

Responsibilities 3.13.3 Complaint Procedures Against the Commission of It’s

Accredited Institutions

Most Frequently Cited Standards for 5th Year 2.8 Faculty 3.3.1.1 Institutional Effectiveness – educational programs 3.4.11 Academic Program Coordination 3.11.3 Physical Facilities 4.1 Student Achievement 4.5 Student Complaints 3.10.2/4.7 Control of Finances/Title IV Program

Responsibilities 3.13.3 Complaint Procedures Against the Commission of It’s

Accredited Institutions

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Narrative Tips and PotholesNarrative Tips and Potholes2.8 FacultyThe number of full-time faculty members is adequate to support the mission of the institution and to ensure the quality and integrity of each of its academic programs.

Common Issues: Too much data, too little narrative Not describing functions of faculty Not disaggregating data by program (major), delivery mode,

location Not providing a rationale for why numbers are adequate Not addressing data that appear as outliers

** Tell your story so that the Reviewers come to the same conclusion you do **

2.8 FacultyThe number of full-time faculty members is adequate to support the mission of the institution and to ensure the quality and integrity of each of its academic programs.

Common Issues: Too much data, too little narrative Not describing functions of faculty Not disaggregating data by program (major), delivery mode,

location Not providing a rationale for why numbers are adequate Not addressing data that appear as outliers

** Tell your story so that the Reviewers come to the same conclusion you do **


3.3.1.1 Institutional Effectiveness – educational programsThe institution identifies expected outcomes, assesses the extent to which it achieves these outcomes, and provides evidence of improvement based on analysis of the results in the following area: educational programs, to include student learning outcomes

Common Issues: Inappropriate outcomes Inappropriate tools to assess outcomes No evidence of data used to drive actions/change Lack of quality data or immature assessment plan Non-representative sampling Not disaggregating by delivery mode/location

** Describe your system, provide a timeline for assessment, show that the system is institutionalized, highlight successful plans, provide access to detailed reports **

3.3.1.1 Institutional Effectiveness – educational programsThe institution identifies expected outcomes, assesses the extent to which it achieves these outcomes, and provides evidence of improvement based on analysis of the results in the following area: educational programs, to include student learning outcomes

Common Issues: Inappropriate outcomes Inappropriate tools to assess outcomes No evidence of data used to drive actions/change Lack of quality data or immature assessment plan Non-representative sampling Not disaggregating by delivery mode/location

** Describe your system, provide a timeline for assessment, show that the system is institutionalized, highlight successful plans, provide access to detailed reports **

Narrative Tips and PotholesNarrative Tips and Potholes3.4.11 Academic Program CoordinationFor each major in a degree program, the institution assigns responsibility for program coordination, as well as for curriculum development and review, to persons academically qualified in the field. In those degree programs for which the institution does not identify a major, this requirement applies to a curricular area or concentration.

Common Issues: Not providing explanation of the role of program coordinators Not providing a complete list of programs and coordinators Not providing a rationale as to the appropriateness of the

qualifications of the coordinator Not providing the degree and major for the coordinators

** Consider providing a table of programs, coordinators, degrees & majors, and notes/rationale **

3.4.11 Academic Program CoordinationFor each major in a degree program, the institution assigns responsibility for program coordination, as well as for curriculum development and review, to persons academically qualified in the field. In those degree programs for which the institution does not identify a major, this requirement applies to a curricular area or concentration.

Common Issues: Not providing explanation of the role of program coordinators Not providing a complete list of programs and coordinators Not providing a rationale as to the appropriateness of the

qualifications of the coordinator Not providing the degree and major for the coordinators

** Consider providing a table of programs, coordinators, degrees & majors, and notes/rationale **

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3.11.3 Physical FacilitiesThe institution operates and maintains physical facilities, both on and off campus, that appropriately serve the needs of the institution’s educational programs, support services, and other mission-related activities.

Common Issues: Not addressing ALL facilities – main campus and off-site locations Not addressing how facilities support educational programs and services Not providing current evidence (master plans, space use reports, customer

feedback, maintenance schedules) Not addressing the technological infrastructure Too little narrative

** Balance data and reports with a narrative that explains WHY the facilities are appropriate to support your educational programs **

3.11.3 Physical FacilitiesThe institution operates and maintains physical facilities, both on and off campus, that appropriately serve the needs of the institution’s educational programs, support services, and other mission-related activities.

Common Issues: Not addressing ALL facilities – main campus and off-site locations Not addressing how facilities support educational programs and services Not providing current evidence (master plans, space use reports, customer

feedback, maintenance schedules) Not addressing the technological infrastructure Too little narrative

** Balance data and reports with a narrative that explains WHY the facilities are appropriate to support your educational programs **

Narrative Tips and PotholesNarrative Tips and Potholes4.1 Student AchievementThe institution evaluates success with respect to student achievement consistent with its mission. Criteria may include enrollment data; retention, graduation, course completion, and job placement rates; state licensing examinations; student portfolios; or other means of demonstrating student achievement.

Common Issues: Not addressing all 5 elements (Criteria to measure achievement, rationale

for each criterion, threshold of success, rationale for thresholds, and institutional data for criterion)

Not describing how the criteria are used to improve student achievement Criteria not being representative of student body

** Make a case for the selected student achievement measures, provide a rationale for those measures and success thresholds, and provide institutional results for those measures. Highlight the use of the results for making improvements **

4.1 Student AchievementThe institution evaluates success with respect to student achievement consistent with its mission. Criteria may include enrollment data; retention, graduation, course completion, and job placement rates; state licensing examinations; student portfolios; or other means of demonstrating student achievement.

Common Issues: Not addressing all 5 elements (Criteria to measure achievement, rationale

for each criterion, threshold of success, rationale for thresholds, and institutional data for criterion)

Not describing how the criteria are used to improve student achievement Criteria not being representative of student body

** Make a case for the selected student achievement measures, provide a rationale for those measures and success thresholds, and provide institutional results for those measures. Highlight the use of the results for making improvements **

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Narrative Tips and PotholesNarrative Tips and Potholes4.5 Student ComplaintsThe institution has adequate procedures for addressing written student complaints and is responsible for demonstrating that it follows those procedures when resolving student complaints.

Common Issues: Not providing the policies governing student complaints Failure to provide evidence of policy implementation and enforcement

Not providing examples of student complaints in which policies were followed / Providing examples where the policies were not followed

Not addressing how student complaint policies are applied to distance learning students

** Address all elements – describe and provide the policies and procedures, describe the avenues of dissemination of the policies/procedures, and provide relevant evidence of policy adherence (redacted examples of complaints and resolution documentation) **

4.5 Student ComplaintsThe institution has adequate procedures for addressing written student complaints and is responsible for demonstrating that it follows those procedures when resolving student complaints.

Common Issues: Not providing the policies governing student complaints Failure to provide evidence of policy implementation and enforcement

Not providing examples of student complaints in which policies were followed / Providing examples where the policies were not followed

Not addressing how student complaint policies are applied to distance learning students

** Address all elements – describe and provide the policies and procedures, describe the avenues of dissemination of the policies/procedures, and provide relevant evidence of policy adherence (redacted examples of complaints and resolution documentation) **


3.10.2/4.7 Control of Finances/Title IV Program ResponsibilitiesThe institution is in compliance with its program responsibilities under Title IV of the most recent Higher Education Act as amended. (Federal Requirement 4.7). The institution audits financial aid programs as required by federal and state regulations. (Comprehensive Standard 3.10.2)

Common Issues: FA audit is not yet available Institutions have identified plans to address audit findings but do

not have evidence of implementation

** Plan in advance to obtain FA audits in advance of your review and show evidence that audit findings have been addressed and actions implemented **

3.10.2/4.7 Control of Finances/Title IV Program ResponsibilitiesThe institution is in compliance with its program responsibilities under Title IV of the most recent Higher Education Act as amended. (Federal Requirement 4.7). The institution audits financial aid programs as required by federal and state regulations. (Comprehensive Standard 3.10.2)

Common Issues: FA audit is not yet available Institutions have identified plans to address audit findings but do

not have evidence of implementation

** Plan in advance to obtain FA audits in advance of your review and show evidence that audit findings have been addressed and actions implemented **

Narrative Tips and PotholesNarrative Tips and Potholes3.13.3 or B Complaint Procedures Against the Commission of It’s Accredited InstitutionsIn addition to FR 4.5 regarding complaints, the Commission also requires, in accord with federal regulations, that each institution maintains a record of complaints received by the institution. This record is made available to the Commission upon request.

Common Issues Failure to address all 3 elements (individuals/office responsible for maintaining

records, the elements of the complaint record, where the records are stored) Not providing redacted evidence of record elements

** Describe the student complaint records in detail, noting who is responsible for maintaining records (centralized v. decentralized), where the records are located/stored (office locations v. electronic files), and what elements of the complaint are in the record. Consider providing a table to organize the information. **

NOTE: 4.5 focusses on the policy/procedure and evidence of adherence, whereas 3.13.3 focusses on the records themselves.

3.13.3 or B Complaint Procedures Against the Commission of It’s Accredited InstitutionsIn addition to FR 4.5 regarding complaints, the Commission also requires, in accord with federal regulations, that each institution maintains a record of complaints received by the institution. This record is made available to the Commission upon request.

Common Issues Failure to address all 3 elements (individuals/office responsible for maintaining

records, the elements of the complaint record, where the records are stored) Not providing redacted evidence of record elements

** Describe the student complaint records in detail, noting who is responsible for maintaining records (centralized v. decentralized), where the records are located/stored (office locations v. electronic files), and what elements of the complaint are in the record. Consider providing a table to organize the information. **

NOTE: 4.5 focusses on the policy/procedure and evidence of adherence, whereas 3.13.3 focusses on the records themselves.

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Closing RemarksClosing Remarks

Organization and planning matter! Do not underestimate the value of the

Resource Manual! Allow ample time to read and edit! Prepare all narratives with the intention of

making the reviewers’ lives easier – lead them to your answers!

Organization and planning matter! Do not underestimate the value of the

Resource Manual! Allow ample time to read and edit! Prepare all narratives with the intention of

making the reviewers’ lives easier – lead them to your answers!

Questions?Questions?

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Thank youThank you

Somer Franklin

Assistant Vice President for Academic Planning and Assessment

SACSCOC Liaison

Sam Houston State University

[email protected]

Somer Franklin

Assistant Vice President for Academic Planning and Assessment

SACSCOC Liaison

Sam Houston State University

[email protected]

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