Accreditation and
Roles of Board of Trustees
February 21, 2012
Dr. Heidi M. Anderson
Interim Vice President,
Institutional Research, Planning, & Effectiveness
http://www.uky.edu/SACS/
Accreditation 101
• Types
– Regional accreditors (e.g., SACS)
– National faith-related accreditors
– National career-related accreditors
– Programmatic accreditors (e.g., Engineering,
Pharmacy, Medicine, etc.)
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Accreditation 101
• Regional Accreditation:
– Assure quality – signals to students and the
public that an institution or program has met
minimum threshold standards
– Access to federal and state funds
– Engender private sector confidence
– Easing transfer
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Accreditation 101
• The use of Standards is one of the
Foundations of Accreditation:
• Standards:
– Central to accreditation
– Define minimum levels of quality
– Basis of all decisions by site teams and Board of
Directors
– Created by educators, regulators, practitioners,
students, & general public
– Revised on a routine basis
Southern Association
of Colleges and
Schools
(SACS)
www.sacscoc.org
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SACS
• Expects an institution has made a
commitment to:
– Focus on student learning
– Enhance the quality of its educational programs
– Engage in continuous improvement
– Comply with the SACS Principles of Accreditation
by preparing a Compliance
Certification Report (CCR)
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The Compliance Certification Report
• Institution makes the case for compliance
for each:
– Core Requirement
– Comprehensive Standard
– Federal Requirement
• Case is supported with documentation,
relevant data, and an explanatory narrative
• Non-compliance judgment on Core
Requirement results in automatic sanction
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Steps in the Reaffirmation Process
• SACS uses a multi-phased process
– Off-Site Committee Review of Compliance
Certification Report
• This is an institutional document demonstrating
compliance with standards
– On-Site Committee Review of Quality
Enhancement Plan (QEP)
• Review team visits the university, to evaluate and
determine the feasibility of the QEP and review areas
of non-compliance as noted by off-site review
committee
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Areas Covered in
Compliance Certification Report
• Mission, Governance and Administration
• Institutional Effectiveness
• All Educational Programs (Undergraduate,
Graduate, Professional)
• Faculty
• Library and Learning Resources
• Student Affairs and Services
• Financial Resources
• Physical Resources
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Underlying SACS Principle:
• 1.1 The institution operates with
integrity in all matters. (Integrity)
• UK President and SACS Liaison must
sign off attesting to the accuracy of
the information presented in the
report.
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The Role of Trustees and CEOs in
Institutional Compliance with
SACS Principles of Accreditation
SACS expects Trustees to understand the difference
between governance and administration
Used with Permission from a Presentation by Claudette H. Williams,
SACS Vice President, SACS Annual Meeting, December 2011
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Difference between
Governance vs. Administration
• Governance involves:
– Establishing the mission of the institution
– Hiring someone qualified and capable to manage the
institution toward mission attainment and
– Evaluating the CEO on a regular basis
– Providing resources for the effective and efficient
operation of the institution
– Approving policies to guide the successful operation
of the institution keeping with best practices
– Monitoring the institution for success toward mission
accomplishment
Used with Permission from Presentation by Claudette H. Williams, SACS Vice
President, SACS Annual Meeting, December 2011
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Difference between
Governance vs. Administration
• Administration involves:
– Implementing policies
– Developing and implementing structures that will
ensure the effective operation of the institution in
keeping with its mission
– Hiring personnel that are appropriately qualified to
carry out the mission of the institution
– Monitoring, evaluating, and establishing procedures
that will support policy and ensure compliance with
best practices
– Management and accountability
Used with Permission from Presentation by Claudette H. Williams, SACS Vice
President, SACS Annual Meeting, December 2011
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SACS Standards About the
Trustees Responsibilities
• CR 2.2 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 policymaking 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.
(Governing
Board)
Used with Permission from Presentation by Claudette H. Williams, SACS Vice
President, SACS Annual Meeting, December 2011
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SACS Standards About the
Trustees Responsibilities
• CS 3.1.1 The mission statement is current
and comprehensive, accurately guides
the institution’s operations, is
periodically reviewed and updated, is
approved by the governing board, and is
communicated to the institution’s
constituencies. (Mission)
Used with Permission from Presentation by Claudette H. Williams, SACS Vice
President, SACS Annual Meeting, December 2011
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SACS Standards About the
Trustees Responsibilities
• CS 3.2.1 The governing board of the
institution is responsible for the selection
and the periodic evaluation of the chief
executive officer
(CEO Evaluation/Selection)
“BOT has only one employee, the CEO, when
you move beyond the President, then you tread
into non-compliance” per Dr. C. Williams
Used with Permission from Presentation by Claudette H. Williams, SACS Vice
President, SACS Annual Meeting, December 2011
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SACS Standards About the
Trustees Responsibilities
• CS 3.2.2 The legal authority and operating
control of the institution are clearly defined
for the following areas within the institution’s
governance structure. (Governing Board
Control):
– 3.2.2.1 institution’s mission
– 3.2.2.2 fiscal stability of the institution
– 3.2.2.3 institutional policy
Used with Permission from Presentation by Claudette H. Williams, SACS Vice
President, SACS Annual Meeting, December 2011
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SACS Standards About the
Trustees Responsibilities
• The board:
– CS 3.2.3 Has a policy addressing conflict of
interest for its members. (Conflict of Interest)
– CS 3.2.4 Is free from undue influence from
political, religious or external bodies and protects
the institution from such influence. (External
Influence)
– CS 3.2.5 Has a policy whereby members can be
dismissed only for appropriate reasons and by a
fair process (Board Dismissal)
Used with Permission from Presentation by Claudette H. Williams, SACS Vice
President, SACS Annual Meeting, December 2011
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SACS Standards About the
Trustees Responsibilities
• CS 3.2.6 There is a clear and appropriate
distinction, in writing and practice,
between the policy-making functions of
the governing board and the
responsibility of administration and
faculty to administer and implement
policy. (Board Administration
Distinction)
Used with Permission from Presentation by Claudette H. Williams, SACS Vice President,
SACS Annual Meeting, December 2011
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SACS Standards About the
Trustees Responsibilities
• CS 3.2.7 The institution has a
clearly defined and published
organizational structure that
delineates responsibility for the
administration of policies.
(Organizational Structure)
Used with Permission from Presentation by Claudette H. Williams, SACS Vice
President, SACS Annual Meeting, December 2011
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SACS
Reaffirmation Process Timeline
UK submits:
Sep 10, 2012
SACS Commission
UK submits:
Jan 2013
SACS Commission
Visits UK:
Apr 9-11, 2013
SACS Commission
Compliance Certification (CC)
Report
Off-Site Peer Review of CC
November 6-9, 2012
Quality Enhancement Plan
(QEP)
On-Site Review of QEP and any
non-compliant standards
Makes a Decision on CC Report
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December 7-10, 2013
Appreciation to:
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Mia Alexander-Snow
Diane Gagel
Tomeia Luke
Angie Martin
Connie Ray
Tara Rose
Jennifer Skaggs
Deanna Sellnow
Diane Snow
Claudette H. Williams, SACS Vice President
Kathryn Wong
And a host of others .....
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Questions?