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Compliance Audit Team Process
Step 1: Acknowledge Your Audience
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Consider SACS reviewers; Southeast Region Universities; and Various
Publics
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Remember they are not familiar with ETSU and, therefore, the reports
must be clear to individuals not knowledgeable about ETSU.
Step 2: Know Your Standard
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Identify the parts and key words of the standard.
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Judge the complexity of the standard and type of response needed.
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State the ETSU definition of qualitative terms in the identified
standards as to what is
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adequate
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sufficient
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appropriate
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acceptable
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effective
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qualified”
at ETSU. These definitions must be submitted by February 14 for
Strategic Planning Committee review.
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Research national norms, practices, and/or peer institutions as
a rationale for the definitions.
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Ask if the response needs to address outcome measures, expected
results.
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Identify and list and the processes/activities that support attaining
those outcomes/results.
Step 3: Locate The Evidence For The Self-Study
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Identify and list the information/data available at ETSU.
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Identify sources for additional information, offices or individuals.
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Identify and list the information that is missing and needs collecting.
Establish how to do it.
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Identify and list any improvements made during the past few years
regarding this standard.
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Gather a comprehensive set of evidence. Evidence can be qualitative
or quantitative, located in the catalogs/policy manuals or in a data
bank.
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Remember all evidence must be documented. If it’s not written,
it can not be used as evidence.
Step 4: Documentation
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Remember that ETSU has a commitment to have as much documentation
as possible on the web to support compliance.
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Identify documentation available on the web.
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Identify information not available on the web early.
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Note unavailability of web information and see if the unit/person
in charge can have it put on the web or notify your Steering Committee
contact.
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Securing and delivering hard copy documentation of items not on
the web and not feasible for putting on the web is the responsibility
of the Chair of the Compliance Audit Team.
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Enter Hard Copy and Web URL information on the Compliance Audit
Team Report Template.
Step 5: Judgment Of Compliance
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Analyze the evidence for the standard and determine if your comprehensive
set of evidence supports compliance with the standard.
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Notify your Steering Committee contact if your team judges ETSU
to be in non-compliance with the standard.
Step 6: Recommendations/Suggestions
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Give recommendations for an improvement plan for any item found
to be not in compliance. For non-compliance items, this section is
not optional.
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Give suggestions for improvement for any item in compliance. This
section is optional.
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