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Independent Review Worksheets

Instructions

Reviewing Processes, Results and ImprovementsThe team identifies the maturity of the institution’s processes and results, and makes recommendations for improvement.

For each process and result presented in the Systems Portfolio, cite a level of maturity (i.e., Integrated, Aligned, Systematic or Reacting) and highlight this rating in your comments so you and your team colleagues can easily discuss and reach consensus on levels of maturity. You can comment on the process or result with a single statement about its maturity, or assign different levels of maturity to elements of the process or result. In Figure 1 below, the reviewer finds the process for “recruiting, hiring, and orienting employees” to be systematic overall. In Figure 2, the reviewer sees the process for recruiting and hiring faculty as aligned, but determines the processes for recruiting, hiring and orienting staff members are merely systematic.

Figure 1Process Comments on Process Maturity and Improvement

Recruiting, hiring, and orienting employees

Integrated

Aligned

Systematic Although the process for recruiting and hiring faculty is well detailed, other parts of the process are more systematic. An opportunity exists to better detail the processes for staff and administrators. Orientation is also an area that may offer an opportunity for improvement. Currently, orientations are brief, separate for different types of employees, and held at the onset of employment. An initiative to assess the effectiveness of these orientations may suggest improvements and/or collaborations amongst units.

Reacting

Systems Appraisal Independent Review Worksheets Contact: [email protected] July 2017

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Figure 2Process Comments on Process Maturity and Improvement

Recruiting, hiring, and orienting employees

Integrated

Aligned The College has a well-defined, documented, and aligned recruiting and hiring process designed to identify process of using background and reference checks, collection of formal transcripts, behavioral-based interviews for all employees as well as demonstrating teaching skills for faculty appears to provide the College with a clear process to ensure new hires possess the attributes it requires. To increase the maturity of this process, the College could show how this process is dynamic enough to meet the needs of a diverse group of employees.

Systematic Although the process for recruiting and hiring faculty is well detailed, other parts of the process are more systematic. An opportunity exists to better detail the processes for staff and administrators. Orientation is also an area that may offer an opportunity for improvement. Currently, orientations are brief, separate for different types of employees, and held at the onset of employment. An initiative to assess the effectiveness of these orientations may suggest improvements and/or collaborations amongst units.

Reacting

Each team member independently rates the maturity of all Process (P) and Results (R) items in each Category. Maturity is not rated for Improvement (I) items, but reviewers still comment on the quality of the improvements and give recommendations for improvements. At the end of each Category, space is also provided for each team member to identify any Strategic Issues the institution may have. A Criteria for Accreditation Evidence Screening Worksheet is also provided for each Category.

Notice that in every Subcategory process section there is space provided for you to comment on and evaluate “Other identified processes.” You may discover that an institution’s response describes a distinct process not accounted for in the worksheet. Filling in these additional spaces is not required, and they should be used as needed.

Criteria for Accreditation Evidentiary ScreeningThe AQIP Pathway functions both as a quality improvement program and a quality assurance program. To maintain accreditation, institutions must provide evidence that they continue to meet the Higher Learning Commission’s (HLC’s) Criteria for Accreditation, and the Systems Portfolio provides an opportunity to have this evidence screened prior to the comprehensive evaluation in Year 8 of the AQIP Pathway cycle.

Specific Category items are aligned to the Criteria and Core Components (see the Systems Appraisal procedure document for a crosswalk between the Criteria and AQIP Categories). The



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institution should offer evidence of meeting the Criteria through its responses to these specified items. The team chair will assign specific Core Components to individual team members for the purpose of reviewing evidence. For each Core Component a team member is assigned, he or she should provide at least three comments about the quality and clarity (or possible lack thereof) of the evidence to date.

In writing comments, look for positive evidence in the Systems Portfolio showing that the institution meets specific Core Components. The goal is to screen the evidence to assure both HLC and the institution that the institution is effectively documenting compliance with all Core Components. The team should anticipate that the institution has such evidence and presents it effectively. Alert the institution if there are issues with its evidence so that improvements can be made prior to formal review of the Criteria for Reaffirmation of Accreditation. Again, this process is designed to assist the institution in its future preparations for its comprehensive evaluation.

In the “Consensus Evidence Review” document, the Team Chair integrates all comments on evidence and feedback. This does not mean that all comments are simply copied into this document; instead, the evidence is synthesized into a short, well-written narrative or non-redundant bullet points.



Category 1: Helping Students Learn

1.1: Common Learning Outcomes

1P1Process Comments on Process Maturity and ImprovementAligning common outcomes to the mission, educational offerings and degree levels of the institution

IntegratedAligned SystematicReacting

Determining common outcomes


Articulating the purposes, content and level of achievement of the outcomes


Incorporating into the curriculum opportunities for all students to achieve the outcomes


Ensuring the outcomes remain relevant and aligned with student, workplace and societal needs


Designing, aligning and delivering cocurricular activities to support learning


Selecting tools, methods and instruments used to assess attainment of common learning outcomes




Assessing common learning outcomes


Other identified processes IntegratedAligned SystematicReacting

1R1Results Evaluation of Results and Systems ImprovementSummary results of measures (including tables and figures when possible)


Comparison of results with internal targets and external benchmarks


Interpretation of results and insights gained


1I1Comments



1.2: Program Learning Outcomes

1P2Process Comments on Process Maturity and ImprovementAligning program learning outcomes to the mission, educational offerings and degree levels of the institution


Determining program outcomes


Articulating the purposes, content and level of achievement of these outcomes


Ensuring the outcomes remain relevant and aligned with student, workplace and societal needs


Designing, aligning and delivering cocurricular activities to support learning


Selecting tools, methods and instruments used to assess attainment of program learning outcomes


Assessing program learning outcomes


Other identified processes IntegratedAligned



SystematicReacting

1R2Results Evaluation of Results and Systems ImprovementOverall levels of deployment of the program assessment processes within the institution (i.e., how many programs are/not assessing program goals)


Summary results of measures (including tables and figures when possible)




Interpretation of assessment results and insights gained


1I2Comments

1.3: Academic Program Design



1P3Process Comments on Process Maturity and ImprovementIdentifying student stakeholder groups and determining their educational needs


Identifying other key stakeholder groups and determining their needs


Developing and improving responsive programming to meet all stakeholders’ needs


Selecting the tools, methods and instruments used to assess the currency and effectiveness of academic programs

Integrated

Aligned

Systematic

Reacting

Reviewing the viability of courses and programs and changing or discontinuing when necessary



1R3Results Evaluation of Results and Systems ImprovementSummary results of assessments (including

IntegratedAligned



tables and figures when possible)

SystematicReacting





1I3Comments

1.4: Academic Program Quality

1P4Process Comments on Process Maturity and ImprovementDetermining and communicating the preparation required of students for the specific curricula, programs, courses and learning they will pursue

Integrated

Aligned

Systematic

Reacting

Evaluating and ensuring program rigor for all modalities, locations, consortia and dual-credit programs


Awarding prior learning Integrated



and transfer credits Aligned SystematicReacting

Selecting, implementing and maintaining specialized accreditation(s)


Assessing the level of outcomes attainment by graduates at all levels


Selecting the tools, methods and instruments used to assess program rigor across all modalities



1R4Results Evaluation of Results and Systems ImprovementSummary results of assessments (including tables and figures when possible)





IntegratedAligned Systematic



Reacting

1I4Comments

1.5: Academic Integrity

1P5Process Comments on Process Maturity and ImprovementEnsuring freedom of expression and the integrity of research and scholarly practice


Ensuring ethical learning and research practices of students


Ensuring ethical teaching and research practices of faculty


Selecting the tools, methods and instruments used to evaluate the effectiveness and comprehensiveness of supporting academic integrity

Integrated

Aligned

Systematic

Reacting




SystematicReacting







1I5Comments

Category 1 Summary StatementCreate a Category Summary Statement (3–10 sentences) that captures the individual team member’s perception of the institution’s current overall level of maturity (and the relevant challenges and strengths) and how the institution might further advance its quality agenda.



Category 1 Strategic Issues (if any)

Criteria for Accreditation Evidence Review

Core Component

Evidence Screening Feedback(select one)

1.C. ☐ Strong, clear and well presented

☐ Adequate, but could be improved

☐ Unclear or incomplete

2.D. ☐ Strong, clear and well presented



2.E. ☐ Strong, clear and well presented



3.A. ☐ Strong, clear and well presented



3.B. ☐ Strong, clear and well presented





3.E. ☐ Strong, clear and well presented











Category 2: Meeting Student and Other Key Stakeholder Needs

2.1: Current and Prospective Student Needs

2P1Process Comments on Process Maturity and ImprovementIdentifying underprepared and at-risk students, and determining their academic support needs


Deploying academic support services to help students select and successfully complete courses and programs


Ensuring faculty are available for student inquiry


Determining and addressing the learning support needs (tutoring, advising, library, laboratories, research, etc.) of students and faculty


Determining new student groups to target for educational offerings and services


Meeting changing student needs


Identifying and supporting student subgroups with distinctive needs (e.g.,




seniors, commuters, distance learners, military veterans)

Reacting

Deploying non-academic support services to help students be successful


Ensuring staff members who provide academic and non-academic student support services are qualified, trained and supported


Communicating the availability of non-academic support services


Selecting tools, methods and instruments to assess student needs


Assessing the degree to which student needs are met







ReactingComparison of results with internal targets and external benchmarks




2I1Comments

2.2: Retention, Persistence and Completion

2P2Process Comments on Process Maturity and ImprovementCollecting student retention, persistence and completion data


Determining targets for student retention, persistence and completion


Analyzing information on student retention, persistence and




completion ReactingMeeting targets for retention, persistence and completion


Selecting tools, methods and instruments to assess retention, persistence and completion









2I2Comments



2.3: Key Stakeholder Needs

2P3Process Comments on Process Maturity and ImprovementDetermining key external stakeholder groups (e.g., alumni, employers, community)


Determining new stakeholders to target for services or partnership


Meeting the changing needs of key stakeholders


Selecting tools, methods and instruments to assess key stakeholder needs


Assessing the degree to which key stakeholder needs are met











2I3Comments

2.4: Complaint Processes

2P4Process Comments on Process Maturity and ImprovementCollecting complaint information from students




Collecting complaint information from other key stakeholders


Learning from complaint information and determining actions


Communicating actions to students and other key stakeholders


Selecting tools, methods and instruments to evaluate complaint resolution








IntegratedAligned



SystematicReacting

2I4Comments

2.5: Building Collaborations and Partnerships

2P5Process Comments on Process Maturity and ImprovementSelecting partners for collaboration (e.g., other educational institutions, civic organizations, businesses)


Building and maintaining relationships with partners


Selecting tools, methods and instruments to assess partnership effectiveness


Evaluating the degree to which collaborations and partnerships are effective





SystematicReacting







2I5Comments

Category 2 Summary StatementCreate a Category Summary Statement (3-10 sentences) that captures the individual team member’s perception of the institution’s current overall level of maturity (and the relevant challenges and strengths) and how the institution might further advance its quality agenda.





Core Component

Evidence Screening Feedback(Select one)












Category 3: Valuing Employees

3.1: Hiring

3P1Process Comments on Process Maturity and ImprovementRecruiting, hiring and orienting processes that result in staff and administrators who possess the required qualification, skills and values


Developing and meeting academic credentialing standards for faculty, including those in dual credit, contractual and consortia programs


Ensuring the institution has sufficient numbers of faculty to carry out both classroom and non-classroom programs and activities


Ensuring the acquisition of sufficient numbers of staff to provide student support services


Tracking outcomes/measures utilizing appropriate tools











3I1Comments

3.2: Evaluation and Recognition

3P2Process Comments on Process Maturity and ImprovementDesigning performance evaluation systems for all employees




Soliciting input from and communicating expectations to faculty, staff and administrators


Aligning the evaluation system with institutional objectives for both instructional and non-instructional programs and services


Utilizing established institutional policies and procedures to regularly evaluate all faculty, staff and administrators


Establishing employee recognition, compensation and benefit systems to promote retention and high performance


Promoting employee satisfaction and engagement





3R2Results Evaluation of Results and Systems ImprovementSummary results of Integrated



measures (including tables and figures when possible)

Aligned SystematicReacting





3I2Comments

3.3: Development

3P3Process Comments on Process Maturity and ImprovementProviding and supporting regular professional development for all employees


Ensuring that instructors are current in instructional content in their disciplines and pedagogical processes


Supporting student support Integrated



staff members to increase their skills and knowledge in their areas of expertise (e.g. advising, financial aid, etc.)

Aligned SystematicReacting

Aligning employee professional development activities with institutional objectives













3I3Comments




Core Component

Evidence Screening Feedback (Select one)











Category 4: Planning and Leading

4.1: Mission and Vision

4P1Process Comments on Process Maturity and ImprovementDeveloping, deploying, and reviewing the institution’s mission, vision and values


Ensuring that institutional actions reflect a commitment to its values


Communicating the mission, vision and values


Ensuring that academic programs and services are consistent with the institution’s mission

Aligned SystematicReactingIntegrated

Allocating resources to advance the institution’s mission and vision, while upholding the institution’s values

Aligned SystematicReactingIntegrated

Tracking outcomes/measures utilizing appropriate tools (e.g. brand studies, focus groups, community forums/studies and employee satisfaction surveys)





SystematicReacting







4I1Comments

4.2: Strategic Planning

4P2Process Comments on Process Maturity and ImprovementEngaging internal and external stakeholders in

IntegratedAligned



strategic planning SystematicReacting

Aligning operations with the institution’s mission, vision and values


Aligning efforts across departments, divisions and colleges for optimum effectiveness and efficiency


Capitalizing on opportunities and institutional strengths and countering the impact of institutional weaknesses and potential threats


Creating and implementing strategies and action plans that maximize current resources and meet future needs


Tracking outcomes/measures utilizing appropriate tools (e.g. achievement of goals and/or satisfaction with process)



4R2Results Evaluation of Results and Systems ImprovementSummary results of measures (including tables and figures when




possible) ReactingComparison of results with internal targets and external benchmarks




4I2Comments

4.3: Leadership

4P3Process Comments on Process Maturity and ImprovementEstablishing appropriate relationship between the institution and its governing board to support leadership and governance


Establishing oversight responsibilities and policies of the governing board


Maintaining board oversight, while delegating

IntegratedAligned



management responsibilities to administrators and academic matters to faculty

SystematicReacting

Ensuring open communication between and among all colleges, divisions and departments


Collaborating across all units to ensure the maintenance of high academic standards


Providing effective leadership to all institutional stakeholders


Developing leaders at all levels within the institution


Ensuring the institution’s ability to act in accordance with its mission and vision


Tracking outcomes/measure utilizing appropriate tools











4I3Comments

4.4: Integrity

4P4Process Comments on Process Maturity and ImprovementDeveloping and communicating standards


Training employees for and modeling ethical and

IntegratedAligned



legal behavior across all levels of the institution

SystematicReacting

Operating financial, academic, personnel and auxiliary functions with integrity, including following fair and ethical policies and adhering to processes for the governing board, administration, faculty, and staff.


Making information about programs, requirements, faculty and staff, costs to students, control, and accreditation relationships readily and clearly available to all constituents


Other identified processes










Reacting

4I4Comments

Category 4 Summary StatementCreate a Category Summary Statement (3–10 sentences) that captures the individual team member’s perception of the institution’s current overall level of maturity (and the relevant challenges and strengths) and how the institution might further advance its quality agenda.



Core Component






























Category 5: Knowledge Management and Resource Stewardship

5.1: Knowledge Management

5P1Process Comments on Process Maturity and ImprovementSelecting, organizing, analyzing and sharing data and performance information to support planning, process improvement, and decision making


Determining data, information, and performance results that units and departments need to plan and manage effectively


Making data, information, and performance results readily and reliably available to the units and departments that depend upon this information for operational effectiveness, planning and improvements


Ensuring the timeliness, accuracy, reliability and security of the institution’s knowledge management system(s) and related processes.


Tracking outcomes/measures utilizing appropriate tools (including software platforms and/or contracted services)






Reacting







5I1Comments

5.2: Resource Management

5P2Process Comments on Process Maturity and ImprovementMaintaining fiscal, physical and technological




infrastructures sufficient to support operations.

Reacting

Setting goals aligned with the institutional mission, resources, opportunities and emerging needs.


Allocating and assigning resources to achieve organizational goals, while ensuring that educational purposes are not adversely affected.














5I2Comments

5.3: Operational Effectiveness

5P3Process Comments on Process Maturity and Improvement

Building budgets to accomplish institutional goals


Monitoring financial position and adjusting budgets


Maintaining a technological infrastructure that is reliable, secure and user-friendly

IntegratedAligned

Systematic

ReactingMaintaining a physical infrastructure that is reliable, secure and user-friendly


Managing risks to ensure operational stability, including emergency preparedness














5I3Comments






Core Component







Category 6: Quality Overview

6.1: Quality Improvement Initiatives

6P1Process Comments on Process Maturity and ImprovementSelecting, deploying and evaluating quality improvement initiatives.


Aligning the Systems Portfolio, Action Projects, Comprehensive Quality Review and Strategy Forums




6R1Results Evaluation of Results and Systems ImprovementWhat are the results for continuous quality improvement initiatives?


6I1Comments



6.2: Culture of Quality

6P2Process Comments on Process Maturity and ImprovementDeveloping an infrastructure and providing resources to support a culture of quality


Ensuring continuous quality improvement is making an evident and widely understood impact on institutional culture and operations


Ensuring the institution learns from its experiences with CQI initiatives


Reviewing, reaffirming, and understanding the role and vitality of the AQIP Pathway within the institution




6R2Results Evaluation of Results and Systems ImprovementWhat are the results for continuous quality

Integrated

Aligned



improvement to evidence a culture of quality?

SystematicReacting

6I2Comments




Core Component



☐ Adequate, but could



be improved


