reference room pilot project compliance audit enhancement plan

 

Standards of Accreditation

Steering
Committee
Member

Compliance Audit Team

Core Requirements

1.  The institution has degree-granting authority from the appropriate government agency or agencies.
Missy Parfitt
 
Chair:   
Marsh Grube
2. The institution has a governing board of at least five members that is the legal body with specific authority over the institution. The board is an active policy-making body for the institution and is ultimately responsible for ensuring that the financial resources of the institution are adequate to provide a sound educational program. The board is not controlled by a minority of board members or by organizations or interests separate from it.  Neither the presiding officer of the board nor the majority of other voting members of the board have contractual, employment, or personal or familial financial interest in the institution.
 
Missy Parfitt
Chair:   
Marsh Grube
3.  The institution has a chief executive officer who is not the presiding officer of the board. 
Missy Parfitt
Chair:   
Marsh Grube
 
4.  The institution has a clearly defined and published mission statement specific to the institution and appropriate to an institution of higher education, addressing teaching and learning and, where applicable,  research, and public service.
 
Dorman Stout
Chair:   
Wayne Andrews
5.  The institution engages in ongoing, integrated, and institution-wide planning and evaluation processes that incorporate systematic review of programs and services that (a) results in continuing improvement and (b) demonstrates that the institution is effectively accomplishing its mission.
Andy Czuchry
Chair:   
Jim Hales
Wayne Andrews
Bill Kirkwood
Linda Doran
Joellen Edwards
Cynthia Burnley
Wes Brown
Jack Sanders
Penny Smith
Sally Lee
David Collins
Donna Hawkins
 
6.  The institution is in operation and has students enrolled in degree programs.
Paul Hayes
Chair:   
Marsh Grube
 
7.  The institution
(a)   offers one or more degree programs based on at least 60 semester credit hours or the equivalent at the associate level; at least 120 semester credit hours or the equivalent at the baccalaureate level; or at least 30 semester credit hours or the equivalent at the post-baccalaureate level.
Paul Hayes
Chair:   
Marsh Grube
(b)   offers degree programs that embody a coherent course of study that includes a cohesive sequence of courses, are compatible with  its stated purpose, and are based upon fields of study appropriate to higher education.
Paul Hayes
Chair:   
Margaret Donaldson
Scott Champney
Charles Roberts
David Logan
Mitch Robinson
This team is responsible for collecting parts a, c, and d of this Core Requirement and writing one report
 
(c)   offers undergraduate degrees, a substantial component of which comprises a general education program at the collegiate level that ensures breadth of knowledge and is based on a coherent rationale.  For degree completion in associate programs, the component constitutes a minimum of 15 semester hours or the equivalent; for baccalaureate programs, a minimum of 30 semester hours or the equivalent.  Credit hours are to be drawn from and include at least one course from each of the following areas: humanities/fine arts; social/behavioral sciences; and natural sciences/mathematics.   The courses do not narrowly focus on those skills, techniques, and procedures specific to a particular occupation or profession.
Paul Hayes
Chair: 
Bill Kirkwood
Linda Doran
Norma MacRae
(d)   may make arrangements for some instruction to be provided by other accredited institutions or entities through contracts or consortia. The institution itself, however, provides instruction for all coursework required for at least one degree program at each level at which it awards degrees or provides an alternative approach to meeting this requirement.  The alternative approach is approved by the Commission on Colleges.   In all cases, the institution demonstrates that it controls all aspects of its educational program.
Paul Hayes
Chair:   
Mike Pitts
David Collins
Mary Ellen Musick
8.  The number of full-time faculty members is adequate to support the mission of the institution. The institution has adequate faculty resources to ensure the quality and integrity of its academic programs.
An applicant institution demonstrates that it meets the comprehensive standard for faculty qualifications. 
Nancy Alley
Chair:   
Ron Lindahl
Jack Vaglia
Dan Brown
Ron Green
Hal Knight
Penny Smith
Pat Smith
Creg Bishop
Patsy Leach
9.  The institution provides and supports student and faculty access and user privileges to adequate library collections as well as to other learning and information resources consistent with the degrees offered, and they are sufficient to support all educational, research, and public service programs.
Jean Flanigan
Chair:   
Rita Scher
Norma MacRae
Suresh Ponnappa
Celia Szarejko
Mark Ellis
Rich Ranker
Mark Bragg
  
               
10.   The institution provides student support programs and services that promote student learning and enhance the total growth and development of its students.
Lynn Rice-See
Chair:   
Steve Bader
Sally Lee
Rob Russell
Tony Warner 
Gaye Griffith
Debbie White
Doug Taylor
11.   The institution has a sound financial base and demonstrated financial stability, and adequate physical resources to support the mission of the institution and the scope of its programs and services.  The institution provides the following financial statements:
11(a) an institutional audit (as distinct from a system-wide or state-wide audit) and management letter for the most recent fiscal year prepared by an independent certified public accountant or an appropriate governing auditing agency employing the appropriate audit guide,
Maggie Pate
Chair:   
David Collins
Steve Campbell
Greg Wilgocki
Jim Bowman 
This team is responsible for collating responses for this standard.
 
11(b) an annual budget that is preceded by sound planning, is subject to sound fiscal procedures, and is approved by the governing board, and
David Collins
Chair:   
Dwight Taylor
Maggie Pate
Greg Wilgocki
Jim Bowman
 
11(c) a schedule of net surplus/deficit from operations. 
David Collins
Chair:   
Jim Bowman
 
12. An institution seeking initial or continued accreditation conducts and integrates an acceptable Quality Enhancement Plan.
 
 

Mission, Instititutional Effectiveness, and Governance

Mission
1.  The institution has a clear and comprehensive mission statement that describes the institution and its characteristics; is approved by the governing board; is periodically reviewed by the board; and is communicated to the institution’s constituencies.
Dorman Stout
Chair:   
Bert Bach
Governance and Administration
2.  The governing board of the institution is responsible for the selection and the evaluation of the chief executive officer.
Dorman Stout
Chair:   
Bert Bach
 
3.  The legal authority, governance structure, and operating control of the institution are clearly defined for the following areas:
a.   the institution’s mission
Dorman Stout
Chair:   
Bert Bach
b.   the fiscal stability of the institution
David Collins
Chair:   
Jim Bowman
 
c.   institutional policy, including policies concerning related and affiliated corporate entities and all auxiliary services
David Collins
Chair:   
Jim Bowman
 
d.   related foundations (athletic, research, etc.) and other corporate entities whose primary purpose is to support the institution and/or its programs.
Maggie Pate
Chair:    
David Collins
Dick Manahan
Greg Wilgocki
Todd Stansbury
 
4.  The board has a policy addressing conflict of interest.
David Collins
Chair:   
Jim Bowman
 
5.  The governing board is free from undue influence from political, religious, or other external bodies and protects the institution from such influence.
Steve Bader
Chair:   
Ed Kelly
Wayne Andrews
 
          
6.  Members of the governing board can be dismissed only for cause and by due process.
Jeff Anderson
Chair:   
Bert Bach
7.  There is a clear and appropriate distinction, in writing and practice, between the policy-making functions of the governing board and the responsibility of the administration and faculty to administer and implement policy.
 
Missy Parfitt
Chair:   
Linda Doran
8.  The institution has a clearly defined and published organizational structure that delineates responsibility for the administration of policies.
Lynn Rice-See
Chair:   
Bill Coleman
Greg Wilgocki
 
9. The institution has qualified administrative officers and staff with the experience, competence, and capacity to lead the institution.
Lee Brown
Chair:   
Bert Bach
Ron Franks
Bill Coleman
 
10. The effectiveness of the institution’s administrators, including the chief executive officer, is evaluated on a periodic basis.
Lee Brown
Chair:   
Wayne Andrews
 
11.   The institution’s chief executive officer has ultimate responsibility for and exercises appropriate administrative and fiscal control over the institution’s intercollegiate athletics program.
Jeff Anderson
Chair:   
John Quigley
Wayne Andrews
Todd Stansbury
 
12.   The ultimate control of the institution’s fund-raising activities rests with the institution’s chief executive officer.
Jeff Anderson
Chair:   
Richard Manahan
 
Institutional Effectiveness
13.   The institution identifies expected outcomes for its educational programs and its administrative and educational support services; assesses whether it achieves these outcomes; and provides evidence of improvement based on analyses of those results.
Andy Czuchry
Chair:    Jim Hales
Wayne Andrews
Bill Kirkwood
Linda Doran
Joellen Edwards
Jack Sanders
Penny Smith
Sally Lee
David Collins
Donna Hawkins
 

Programs

Educational Programs
Comprehensive Standards for all Educational Programs
1. The institution demonstrates that each educational program
a.  is approved by the faculty and the administration
Nancy Alley
Chair:   
Scott Champney
Margaret Donaldson
Charles Roberts
David Logan
Paul Monoco
 
b.has stated program and learning outcomes and ensures appropriate levels of student achievement.
Nancy Alley
Chair:   
Donna Hawkins
Terry Countermine
Ken Hall
Phil Miller
Hal Knight
Cindy Lybrand
Nancy Alley
Cynthia Taylor
 
The institution ensures that off-campus and distance education programs meet comprehensive standards applied to educational programs.
Ronnie Day
Chair:   
Norma MacRae
Gary Walters 
Rick Osborn
Beth Schumaker
Martha Pointer
Mike Blankenship
Susan Grover
 
3.  The institution publishes admission policies consistent with the institution’s mission.
Paul Hayes
Chair:   
Linda Doran
Doug Taylor
 
4.The institution has a defined and published policy for evaluating and   awarding credit for transfer, experiential learning, advanced        placement, and professional certificates that is consistent with its mission and ensures that course work and learning outcomes are collegiate level and comparable to the institution’s own degree programs.
 
Paul Hayes
Chair:   
Linda Doran
Doug Taylor
5.  The institution publishes and disseminates academic policies to students, faculty, and other interested parties and produces publications that adequately and accurately represent the programs and services of the institution and that adhere to principles of good educational practice.
Steve Bader
Chair:   
David Logan
Roberta Herrin
Mike Pitts
Doug Taylor
Pat Talley
 
6.           The institution employs sound and acceptable practices for awarding credit for courses it offers.
Lynn Rice-See
Chair:   
Linda Doran
Doug Taylor
 
7. The institution is responsible for ensuring the quality of educational programs/courses offered through consortial relationships or contractual agreements, ensures ongoing compliance with the comprehensive standards, and evaluates the agreement against the purpose of the institution.
 
David Collins
Chair:   
Linda Doran
8.           The institution awards academic credit for course work taken on a  non-credit basis only when there is documentation that the non-credit course work is equivalent to a designated credit experience.
 
Lynn Rice-See
Chair:   
Rick Osborn
Barbara King
Linda Smith
 
9.           The institution has an effective program of academic advising.
Ronnie Day
Chair:   
Ramona Williams
Tom Kwasigroch
Doug Burgess
Wilsie Bishop
Phil Bagnell
Linda DietzGloria Gammell
               
10.   The institution protects the security, confidentiality, and integrity of its student academic records and maintains special security measures to protect and back up the data.
Jeff Anderson
Chair:   
Jack Sanders
Paul Hayes
Norma MacRae
Carol Plummer
               
11.           The institution places primary responsibility for the quality and oversight of its educational program with its faculty.
Lynn Rice-See
Chair:   
Bill Kirkwood
Margaret Donaldson
Scott Champney
David Logan
Paul Monaco
12.   For 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.
Lynn Rice-See
Chair:   
Rebecca Nunley
Jack Vaglia
Hal Knight
Tom Kwasigroch
Dan Brown
13.           The institution’s use of technology enhances student learning, is appropriate for meeting the objectives of its programs, and ensures that students have access to and training in the use of technology.
Ronnie Day
Chair:   
Norma MacRae
Gary Walters
Rick Osborn
Beth Schumaker
Mark Bragg
John Chenoweth
Margaret Hougland
Comprehensive Standards for Undergraduate Programs
14.           The institution defines and publishes general education and major program requirements.  These requirements conform to commonly accepted standards and practices of collegiate institutions.
Ronnie Day
Chair:   
Bill Kirkwood
Linda Doran
Norma MacRae
15.           The institution identifies competencies within the general education core and provides evidence that graduates have attained those college-level competencies.
Ronnie Day
Chair:   
Bill Kirkwood
Linda Doran
Norma MacRae
16.   The institution awards degrees only to those students who have earned at least 25 percent of the credit hours required for the degree through instruction offered by that institution.
Ronnie Day
Chair:   
Bill Kirkwood
Linda Doran
Norma MacRae                                                                                    
               
Comprehensive Standards for Graduate and Post-Baccalaureate Professional Programs
17.   The institution’s post-baccalaureate professional degree programs and its master’s and doctoral degree programs are progressively more advanced in academic content than its undergraduate programs.
Theresa Lura
Chair:   
Wes Brown
Roberta Herrin
Ceclia McIntosh
Kathy Browder
Russ Mays
 
18.   The institution provides adequate resources to support its graduate and post-baccalaureate professional degree programs.
Theresa Lura
Chair:   
Wes Brown
Roberta Herrin
Ceclia McIntosh
Kathy Browder
Russ Mays
19.           The institution has an appropriate means for determining admission and completion of graduate and post-baccalaureate professional degree requirements.  These requirements conform to commonly accepted standards and practices of institutions offering graduate and post-baccalaureate professional degree programs.
Theresa Lura
Chair:   
Wes Brown
Roberta Herrin
Ceclia McIntosh
Kathy Browder
Russ Mays
Doug Taylor
20.   The institution ensures that its graduate instruction and resources foster independent learning enabling the graduate to contribute to a profession or field of study.
Theresa Lura
Chair:   
Wes Brown
Roberta Herrin
Ceclia McIntosh
Kathy Browder
Russ Mays
Paul Monoco
21.           The institution has sound and acceptable practices for awarding or accepting graduate credits.
Theresa Lura
Chair:   
Wes Brown
Roberta Herrin
Ceclia McIntosh
Kathy Browder
Russ Mays
 
21.   The majority of credits toward a graduate or a post-baccalaureate professional degree is earned through the institution awarding the degree.  In the case of graduate and post-baccalaureate professional degree programs offered through joint, cooperative, or consortial arrangements, the student earns a majority of credits from the participating institution.
Theresa Lura
Chair:   
Wes Brown
Roberta Herrin
Ceclia McIntosh
Kathy Browder
Russ Mays
Faculty
23.   The institution employs competent faculty members qualified to accomplish the mission and goals of the institution.  When determining acceptable qualifications of its faculty, an institution gives primary consideration to a faculty member’s highest earned degree in accord with the guidelines listed below.  The institution also considers competence, effectiveness and capacity, including, as appropriate, undergraduate and graduate degrees, related work experiences in the field, professional licensure and certifications, honors and awards, continuous documented excellence in teaching, or other demonstrated competencies and achievements that contribute to effective teaching and student learning outcomes. The institution is responsible for justifying and documenting the qualifications of all its faculty.
Credential Guidelines:
a)   Faculty teaching general education courses at the undergraduate level: a master’s or a doctoral degree in the teaching discipline or a master’s degree with a concentration in the teaching discipline (a minimum of 18 graduate semester hours in the teaching discipline).
b)   Faculty teaching associate degree courses designed for transfer to a baccalaureate degree: a master’s or doctoral degree in the teaching discipline or a master’s degree with a concentration in the teaching discipline (a minimum of 18 graduate semester hours in the teaching discipline.)
c)  Faculty teaching associate degree courses not designed for transfer to the baccalaureate degree: a baccalaureate degree in the teaching discipline, or an associate degree and demonstrated competencies in the teaching field.
d)   Faculty teaching baccalaureate degree courses: a master’s or doctoral degree in the teaching discipline or a master’s degree with a concentration in the teaching discipline (a minimum of 18 graduate semester hours in the teaching discipline).
e)   Faculty teaching graduate and post-baccalaureate course work:  an earned doctorate or a terminal degree in the teaching discipline or a related discipline.
 Graduate teaching assistants: a master’s in the teaching discipline or 18 graduate semester hours in the teaching discipline, direct supervision by a faculty member experienced in the teaching discipline, regular in-service training, planned and periodic evaluations.    
       
Nancy Alley
Chair:   
Ron Lindahl
Jack Vaglia
Dan Brown
Ron Green
Hal Knight
Penny Smith
Pat Smith
Creg Bishop
Patsy Leach
24.   The institution regularly evaluates the effectiveness of each faculty member, regardless of contractual or tenured status.
Jean Flanigan
Chair:   
Peggy Cantrell
Leo Harvill
Jane Melendez
               
25.   The institution provides evidence of ongoing professional development of faculty as teachers, scholars, and practitioners.
Ronnie Day
Chair:   
Jeff Powers-Beck
Betty McCord
Norma MacRae
Rich Ranker
26.           The institution ensures adequate procedures for the safeguard and protection of academic freedom.
Andy Czuchry
Chair:   
Charles Roberts
Katy Libby
David Logan
Eric Mustain
27.   The institution publishes policies on the responsibility and authority of faculty in academic and governance matters.
Andy Czuchry
Chair:   
Charles Roberts
Katy Libby
David Logan
Eric Mustain
28.   The institution’s policies are clear concerning ownership of materials, faculty compensation, copyright issues, and the use of revenue derived from the creation and production of software, technologically delivered courses, or other media products.
Andy Czuchry
Chair:   
Mike Woodruff
Gary Walters
Ed Kelly
Student Affairs and Services
29.   The institution publishes a clear and appropriate statement of student rights and responsibilities and disseminates the statement to the campus community.
Steve Bader
Chair:   
Wayne Andrews
 
30.   The institution protects the security, confidentiality, and integrity of its student affairs records.
Jeff Anderson
Chair:   
Steve Bader
Sally Lee
Gary Petiprin
Bonnie Burchett
Amy Kaplan
Doug Taylor
31.   The institution has a sufficient number of qualified personnel with appropriate career preparation to ensure the quality and integrity of its student affairs programs.
Jeff Anderson
Chair:   
Steve Bader
Sally Lee
Debbie White
Laura Terry
Jon Walker
Doug Taylor
Library and Other Learning Resources
32.   The institution provides facilities and instructional support services for the library and other learning resources that are appropriate to its courses or programs and adequate to support its mission and its effectiveness for learning.
Jean Flanigan
Chair:   
Rita Scher
Norma MacRae
Suresh Ponnappa
Celia Szarejko
Mark Ellis
Rich Ranker
Mark Bragg
33.   The institution ensures that users have access to regular and timely instruction in the use of the library and other learning and information resources.
Jean Flanigan
Chair:   
Rita Scher
Rich Ranker
Paul Hayes
Sally Lee
Mike Pitts
Suresh Ponnappa
34.   The institution ensures a sufficient number of qualified staff with appropriate education or experiences both in library or other learning resources to accomplish the mission of the institution.
Jean Flanigan
Chair:   
Rita Scher
Rich Ranker
Paul Hayes
Sally Lee
Mike Pitts
Suresh Ponnappa
 

Resources

Financial and Physical Resources
1.  The institution’s recent financial history demonstrates an acceptable financial stability.
Maggie Pate
Chair:   
Jim Bowman
Greg Wilgocki
Bert Bach
David Collins
Wayne Andrews
 
2.  The institution provides financial statements and related documents, including multiple measures for determining financial health as requested by the Commission, which accurately and appropriately represent the total operation of the institution.
Maggie Pate
Chair:   
Jim Bowman
Jack Sanders
3.  The institution audits all funds for financial aid programs in compliance with all federal and state requirements.
Maggie Pate
Chair:   
Edwina Greer
David Collins
Margaret Miller
 
4.  The institution maintains financial control over externally funded or sponsored research and programs.
Jean Haskell
Chair:   
Mike Woodruff
Wes Brown
David Collins
Bruce Behringer
Ethel Garrity
Lynn Myers
5.  The institution provides a healthful and safe environment.
Steve Bader
Chair:   
Pete Gregg
Wayne Andrews
Chief Keplinger
Larry Coleman
Harry Steele
Amy Kaplan
6.  The institution operates and maintains physical facilities, both on and off campus, that are adequate to serve the needs of the institution’s educational programs, support services, and mission-related activities.
Steve Bader
Chair:   
Bill Rasnick
Jim Bowman
Larry Coleman
Wilsie Bishop
Sue Fulmer
Jerry Preston (TBR)
 

Federal Mandates for Title IV Funding

1.   When evaluating success with respect to student achievement in relation to the institution’s mission, the institution includes, as appropriate, consideration of course completion, state licensing examinations, and job placement rates.
Lee Brown
Chair:   
Cynthia Burnley
Linda Doran
Margaret Miller
Bill Kirkwood
 
2.   The institution maintains a curriculum that is directly related and appropriate to the purpose and goals of the institution and the diplomas, certificates or degrees awarded.

Nancy Alley
Chair:   
Linda Doran
Wes Brown
Margaret Miller
3. The institution makes available to students and the public current academic calendars, grading policies, and refund policies.
Missy Parfitt
Chair:   
David Collins
Lois Sams
Marilyn King
Margaret Miller
Paul Hayes 
          
4.   The institution demonstrates that program length is appropriate for each of the degrees offered.
Dorman Stout
Chair:   
Margaret Miller
Paul Hayes
Linda Doran
Wes Brown
 
5.  The institution has adequate procedures for addressing written  student complaints and makes those available upon request by the         Commission.

Lee Brown
Chair:
Margaret Miller
Steve Bader
Paul Hayes
Lois Sams
 
6. The institution is in compliance with its program responsibilities under Title IV of the 1998 Higher Education Amendments.  (In reviewing the institution’s compliance with these program responsibilities, the Commission relies on documentation forwarded to it by the Secretary of Education.)
 
Lee Brown
Chair:   
Margaret Miller
David Collins
 

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© 2001 East Tennessee State University
Johnson City, TN 37614

 

© 2001 East Tennessee State University
Johnson City, TN 37614