1. SACSCOC Fifth-Year Audit
Training

2. 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

3. Steps in Process NOTIFICATION
SACSCOC notifies institutional by letter about 11 months prior to submission.
NOTIFICATION
Fifth-Year Interim Reports are due March 25 (Track B).
SUBMISSION
Report is reviewed by the Committee to Review Fifth-Year Interim Reports which meets in June.
REVIEW
A letter with results of the review is sent to each institution in July.
RESULTS
No additional report requested? The process ends.
Report requested? An additional report is to be submitted to the Compliance & Reports (C&R) Committee.
FOLLOW-UP

4. Components of the Report
Part I:
Signatures Attesting to Integrity
Part II:
Institutional Summary Form Prepared for Commission Reviews
Part III:
Fifth-Year Compliance Certification
Part IV:
Follow-up Report
(applicable only to selected institutions)
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)

5. Components of the Report
Part I:
Signatures Attesting to Integrity
Part II:
Institutional Summary Form Prepared for Commission Reviews
Part III:
Fifth-Year Compliance Certification
Part IV:
Follow-up Report
(applicable only to selected institutions)
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)

6. 5
Most Cited Standards for Fifth-Year Interim Reports over the Past 5 Years
CS Institutional Effectiveness:
Educational Programs, to include Student Learning Outcomes %
CR 2.8 Number of Full-time Faculty %
CS Qualified Academic Coordinators %
FR 4.5 Student Complaints %
CS /FR 4.7 Financial Aid/Title IV %

7. Part III: Fifth-Year Compliance Certification
Core Requirements
2.8 Number of Full-time Faculty
2.10 Student Support Programs
Comprehensive Standards
Federal Requirements

8. Part III: Fifth-Year Compliance Certification
Core Requirements
Qualified Administrators and Academic Officers
Institutional Effectiveness: Educational Programs, to include Student Learning Outcomes
3.4.3 Admissions Policies
Qualified Academic Coordinators
Physical Facilities
3.13 Policy Compliance
“Accrediting Decisions of Other Agencies”
“Complaint Procedures Against the Commission or Its Accredited Institutions
“Reaffirmation of Accreditation and Subsequent Reports”
Comprehensive Standards
Federal Requirements

9. Part III: Fifth-Year Compliance Certification
Core 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 Financial Aid Audits
4.8 Distance and Correspondence Education
4.9 Definition of Credit Hours
Comprehensive Standards
Federal Requirements

10. Group 1
Lori McMahon and Sarah Ekis, and Jay Raja

11. 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.
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.
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.

12. 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.
Not providing a organizational chart to help evaluators understand who oversees what
Provide an organization chart.

13. 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.
Listing a coordinator’s degree with no reverence to major
List coordinator’s degree and major.

14. Group 2
Ted Elling, Katherine Hall-Hertel, and Cindy Wolf-Johnson

15. 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.
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
Student Support program description are confusing, jargon-laden, or inadequately explained
Clearly describe the Student Support programs provided.

16. Group 3
Claire Kirby and Johnna Watson

17. CS 3.4.3 Admissions Policies
COMMON ISSUES
TIPS X
Information provided in the reports does not match what is cited in the catalog and/or on the website ✓
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.

18. FR 4.6 Recruitment Materials
COMMON ISSUE
TIP X
Recruitment presentations are not addressed ✓
Address how the institution ensures that recruitment materials and presentations accurately represent institutional practices and policies

19. Addressing Standards that Require a Policy
Applicable standards in the Fifth-Year Interim Report:
CS (Admission policies)
FR 4.3 (Publication of policies)
FR 4.5 (Student complaints)
FR (Distance and correspondence education)
FR (Distance and correspondence education)
FR 4.9 ( Definition of credit hours)

20. Addressing Standards that Require a Policy Points to Consider
CS 3.4.3
(Admissions policies)
FR 4.3
(Publication of Policies)
FR and Fr 4.8.3
(Distance and correspondence education)
FR 4.5
(Student complaints)
FR 4.9
(Definition of credit hours)
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
Be sure to include on how the policies/procedures are communicated to those affected by them
Provide documentation of a resolved student complaint that follows the policy/procedures
Include discussion of how aberrations are handled

21. Addressing Standards that Require a policy
When a standard requires that an institution have a policy, the Commission expects that the institution will:
provide a copy of the policy,
produce evidence that is published in appropriate institutional documents accessible to those affected by the policy or procedure, and
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.

22. Group 4
Bruce Blackmon

23. FR 4. 7 Title IV Program Responsibilities and CS 3. 10
FR 4.7 Title IV Program Responsibilities and CS Financial Aid Audits
COMMON ISSUE
TIPS X
Financial aid audit results are not yet available. ✓
Work with auditors well in advance to ensure that audit results are available by report due date.
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.
For public institutions, state audits are not provided.
Present evidence of financial aid as required by state regulations, not just federal, for CS

24. Group 5
Chris Gilbert

25. CS 3.11.3 Physical Facilities
COMMON ISSUES
TIPS X
Providing a narrative with no (or dated) supporting documentation ✓
Including supporting documentation such as current Facilities Master Plan, space utilization reports, satisfaction survey results, and facilities maintenance schedules.
Data presented indicate a lack of adequate physical facilities
Not discussing physical facilities for off-campus instructional sites
Address facilities at off-campus instructional sites.

26. Group 6
Leslie Zenk

27. 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.
Not describing the criteria for determining success
Provide criteria used to determine the acceptability of intended achievement goals.

28. 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
Not providing supporting documentation
Document how the curriculum is developed, including
distance education and off-campus site programs
Not addressing distance education and off-campus sites

29. FR 4.3 Publication of Policies
COMMON ISSUES
TIPS X
Variations exist between published versions of the grading policies, refund policies and/or academic calendars ✓
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

30. 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 off-campus instructional sites and via distance learning.
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.
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.

31. 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).

32. Addressing Standards that Require a Policy
Applicable standards in the Fifth-Year Interim Report:
CS (Admission policies)
FR 4.3 (Publication of policies)
FR 4.5 (Student complaints)
FR (Distance and correspondence education)
FR (Distance and correspondence education)
FR 4.9 ( Definition of credit hours)

33. Addressing Standards that Require a Policy Points to Consider
CS 3.4.3
(Admissions policies)
FR 4.3
(Publication of Policies)
FR and Fr 4.8.3
(Distance and correspondence education)
FR 4.5
(Student complaints)
FR 4.9
(Definition of credit hours)
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
Be sure to include on how the policies/procedures are communicated to those affected by them
Provide documentation of a resolved student complaint that follows the policy/procedures
Include discussion of how aberrations are handled

34. Addressing Standards that Require a policy
When a standard requires that an institution have a policy, the Commission expects that the institution will:
provide a copy of the policy,
produce evidence that is published in appropriate institutional documents accessible to those affected by the policy or procedure, and
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.

35. Group 7
Leslie Zenk and Christine Reed-Davis

36. FR 4.5 Student Complaints COMMON ISSUES TIPS ✓
Provide a copy of student complaints policies. X
No evidence of implementation provided
Provide appropriate, real examples (student names redacted) that document and illustrate how complaints are resolved.
Inappropriate examples are provided (e.g., a complaint from a parent)
Not addressing how complaints from students enrolled in distance education programs or at off-campus instructional sites are handled
Address how complaints are handled from students enrolled at off-campus instructional sites and via distance education.

37. Distinction Between CS 3.13.3 and FR 4.5
(Policy Compliance – Student Complaints)
FR 4.5
(Student Complaints)
Describe how the institution maintains its record of written student complaints, including:
individuals/offices responsible for the maintenance of the record(s),
Elements of a complaint review that are included in the record, and
Where the record(s) is located (centralized or decentralized).
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.

38. Addressing Standards that Require a Policy
Applicable standards in the Fifth-Year Interim Report:
CS (Admission policies)
FR 4.3 (Publication of policies)
FR 4.5 (Student complaints)
FR (Distance and correspondence education)
FR (Distance and correspondence education)
FR 4.9 ( Definition of credit hours)

39. Addressing Standards that Require a Policy Points to Consider
CS 3.4.3
(Admissions policies)
FR 4.3
(Publication of Policies)
FR and Fr 4.8.3
(Distance and correspondence education)
FR 4.5
(Student complaints)
FR 4.9
(Definition of credit hours)
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
Be sure to include on how the policies/procedures are communicated to those affected by them
Provide documentation of a resolved student complaint that follows the policy/procedures
Include discussion of how aberrations are handled

40. Addressing Standards that Require a policy
When a standard requires that an institution have a policy, the Commission expects that the institution will:
provide a copy of the policy,
produce evidence that is published in appropriate institutional documents accessible to those affected by the policy or procedure, and
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.

41. Group 8
Jody Cebina and Shanna Coles

42. Addressing Standards that Require a Policy
Applicable standards in the Fifth-Year Interim Report:
CS (Admission policies)
FR 4.3 (Publication of policies)
FR 4.5 (Student complaints)
FR (Distance and correspondence education)
FR (Distance and correspondence education)
FR 4.9 ( Definition of credit hours)

43. Addressing Standards that Require a Policy Points to Consider
CS 3.4.3
(Admissions policies)
FR 4.3
(Publication of Policies)
FR and Fr 4.8.3
(Distance and correspondence education)
FR 4.5
(Student complaints)
FR 4.9
(Definition of credit hours)
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
Be sure to include on how the policies/procedures are communicated to those affected by them
Provide documentation of a resolved student complaint that follows the policy/procedures
Include discussion of how aberrations are handled

44. Addressing Standards that Require a policy
When a standard requires that an institution have a policy, the Commission expects that the institution will:
provide a copy of the policy,
produce evidence that is published in appropriate institutional documents accessible to those affected by the policy or procedure, and
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.

45. Group 10
John Frederick, Cathy Sanders and Christine Robinson

46. 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.
Lack of defined student learning outcomes and/or methods for assessing the outcomes
Focus on program outcomes and student learning outcomes
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.
Not documenting use of data to make improvements
Document how the resulting data has been used to make improvements.
Not addressing distant education and off-campus instructional site programs
Include data on programs offered at off-campus instructional sites and via distance learning-consider comparability, if appropriate.

47. CS 3. 13 Policy Compliance CS 3. 13
CS 3.13 Policy Compliance CS “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.
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.

48. CS 3. 13 Policy Compliance CS 3. 13
CS 3.13 Policy Compliance CS “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.
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.
Not providing the location of the records
Provide the location of the records

49. Distinction Between CS 3.13.3 and FR 4.5
(Policy Compliance – Student Complaints)
FR 4.5
(Student Complaints)
Describe how the institution maintains its record of written student complaints, including:
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).
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.

50. Group 9
John Smail, Carla Eastis, and Bruce Taylor

51. 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

52. Part V: QEP Impact Report
TIPS ✓
Address ALL of the elements
A succinct list of initial goals and intended outcomes of the Quality Enhancement Plan;
A discussion of changes made to the QEP and the reasons for making those changes;
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
A reflection on what the institution has learned as a result of the QEP experience.

53. 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

54. 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.

55. 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

56. 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