Compliance Team Process
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| This document provides the process that will guide the work of the teams in the evaluation and documentation of the core requirements, comprehensive standards and federal mandates for the compliance review. |
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Step 1: Acknowledge the Audience for the Compliance Document
Step 2: Know Your Requirement/Standard/Mandate
Step 3: Collect and/or Develop the Evidence for the Compliance Review
Step 4: Establish the Documentation Archive
Step 5. Status of Compliance |
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| Step 1: Acknowledge the Audience for the Compliance Document |
Consider SACS reviewers; North Carolina community colleges; the local Board; and Various Publics.
Remember they are not familiar with GTCC and, therefore, the reports must be clear to individual not knowledgeable about GTCC.
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| Step 2: Know Your Requirement/Standard/Mandate |
Identify the parts and key words of the requirement/standard/mandate.
Judge the complexity of the requirement/standard/mandate and type of approach needed to collect/develop documentation.
Define for GTCC the qualitative terms that are part of the requirement/standard/mandate, i.e. what is adequate, sufficient, appropriate, acceptable, effective, qualified?
Research national and state norms, practices, administrative codes, policies, and/or norms at peer institutions as a rationale for the definitions.
In defining the terms determine whether the response needs to address outcome measures, expected results.
Identify and list the processes/activities that support attaining those outcomes/results.
Results of Step 2 will be submitted to the Compliance Team through the assigned liaison.
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| Step 3: Collect and/or Develop the Evidence for the Compliance Review |
Identify and list the information/data available at GTCC.
Identify sources for additional information.
Identify and list the information that is missing and needs collecting. Establish how to do.
Identify and list any improvements made during the past few years regarding this requirement/standard/mandate.
Gather a comprehensive set of evidence. Evidence can be qualitative or quantitative, located in the catalogs/policy manuals, survey results, statistical reports, planning unit documents, meeting records, administrative code, audits, focus groups, interviews, or in a data bank.
Remember all evidence must be documented. If it is not written, it cannot be used as evidence.
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| Step 4: Establish the Documentation Archive |
GTCC is committed to have as much documentation as practical on the web to support the compliance certification.
Identical indices should be developed for both web and hard copy documentation.
Securing and delivering hard copy documentation of items not on the web and not practical for putting on the web is the responsibility of the Compliance Team Liaison and the Project Archivist.
Enter Hard Copy and Web URL information on the Compliance Certification Template.
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| Step 5: Determine Status of Compliance |
| Analyze the evidence for the requirement/standard/mandate and determine if your comprehensive set of evidence supports compliance with the standard. |
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Compliance
Develop persuasive narrative supporting compliance.
List/description of evidence supporting compliance.
Electronic/physical access to documentation.
Give suggestions for improvement for any item in compliance. This section is optional.
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Partial Compliance
Develop persuasive narrative supporting judgment and reasons for partial compliance.
List/description of evidence supporting compliance and documentation to be on-site supporting full compliance.
Electronic/physical access to documentation. |
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Non-Compliance
Indicates (1) does not meet requirement/standard/mandate or (2) unable to determine.
Provide reasons for non-compliance.
Give recommendations for an improvement plan for any item found to be not in compliance. This section is NOT optional.
Provide list/description of evidence to be provided for future compliance.
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