Unit: Administration and Finance Date:    September 16, 2003   Section 2: CORE REQUIREMENTS       2.1 The institution has degree-granting authority from the appropriate government agency or agencies.  (Degree-granting Authority)         Not applicable to unit level.            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 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. A military institution authorized and operated by the federal government to award degrees has a public board in which neither the presiding officer nor a majority of the other members are civilian employees of the military or active/retired military. The board has broad and significant influence upon the institution’s programs and operations, plays an active role in policy-making, and ensures that the financial resources of the institution are used to provide a sound educational program. The board is not controlled by a minority of board members or by organizations or interests separate from the board except as specified by the authorizing legislation. Neither the presiding officer of the board nor the majority of other voting board members have contractual, employment, or personal or familial financial interest in the institution.  (Governing Board)           Not applicable to unit level.             2.3 The institution has a chief executive officer whose primary responsibility is to the institution and who is not the presiding officer of the board. (Chief Executive Officer)         Not applicable to unit level.             2.4 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. (Institutional Mission)         Not applicable to unit level.             2.5 The institution engages in ongoing, integrated, and institution-wide research-based planning and evaluation processes that incorporate a systematic review of programs and services that (a) results in continuing improvement and (b) demonstrates that the institution is effectively accomplishing its mission. (Institutional Effectiveness)         The Division of Administration and Finance is in compliance with Core Requirement 2.5. The division and its constituent offices engage in ongoing, integrated planning and evaluation. Documentation for these processes is in the division strategic plan and assessment reports for 2002 and 2003, which may be accessed at http://www.irs.ttu.edu/SACS/UnitWebLinks.htm.              2.6 The institution is in operation and has students enrolled in degree programs.  (Continuous Operation)         Not applicable to unit level.             2.7 The institution   2.7.1   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, graduate, or professional level. The institution provides a written justification and rationale for program equivalency. (Program Length)       Not applicable to unit level.         2.7.2 offers degree programs that embody a coherent course of study that is compatible with its stated purpose and is based upon fields of study appropriate to higher education. (Program Content)      Not applicable to unit level.         2.7.3 requires in each undergraduate degree program the successful completion of a general education component at the collegiate level that is (1) a substantial component of each undergraduate degree, (2) ensures breadth of knowledge, and (3) 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. These 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 science/mathematics. The courses do not narrowly focus on those skills, techniques, and procedures specific to a particular occupation or profession. The institution provides a written justification and rationale for course equivalency. (General Education)     Not applicable to unit level.         2.7.4 provides instruction for all course work required for at least one degree program at each level at which if awards degree.  If the institution makes arrangements for some instruction to be provided by other accredited institutions or entities through contracts or consortia, or uses some other alternative approach to meeting this requirement, the alternative approach must be approved by the Commission on Colleges.  In all cases, the institution demonstrates that it controls all aspects of its educational program.  (Contractual Agreements for Instruction)      Not applicable to unit level.             2.8 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. In addition, upon application for candidacy, an applicant institution demonstrates that it meets the comprehensive standard for faculty qualifications.  (Faculty)         Not applicable to unit level.             2.9. The institution, through ownership or formal arrangements or agreements, provides and supports student and faculty access and user privileges to adequate library collections as well as to other learning/information resources consistent with the degrees offered. These collections and resources are sufficient to support all its educational, research, and public service programs. (Learning Resources and Services)         Not applicable to unit level.             2.10 The institution provides student support programs, services, and activities consistent with its mission that promote student learning and enhance the development of its students. (Student Support Services)         Not applicable to unit level.             2.11 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 member institution provides the following financial statements: (a) an institutional audit (or Standard Review Report issued in accordance with Statements on Standards for Accounting and Review Services issued by the AICPA for those institutions audited as part of a systemwide or statewide audit) and written institutional management letter for the most recent fiscal year prepared by an independent certified public accountant and/or an appropriate governmental auditing agency employing the appropriate audit (or Standard Review Report) guide; (b) a statement of financial position of unrestricted net assets, exclusive of plant assets and plant-related debt, which represents the change in unrestricted net assets attributable to operations for the most recent year; and, (c) an annual budget that is preceded by sound planning, is subject to sound fiscal procedures, and is approved by the governing board. Audit requirements for applicant institutions may be found in the Commission policy entitled "Accreditation Procedures for Applicant Institutions.  (Resources)          (a) As an institution whose annual financial information is audited as part of a statewide audit, Texas Tech University will obtain a review in accordance with AICPA Statements on Standards for Accounting and Review Services for its financial statements for the year ending August 31, 2004.  The Texas State Auditor’s Office will conduct the review and will issue a Standard Review Report and institutional management letter.  The target date for submission of the review report and management letter to SACS is January 15, 2005.      (b) Texas Tech University prepares an annual budget for the approval of the Board of Regents and which employs planning and financial procedures set out in Regent's Rule 07.04 entitled Budget Rules and Procedures (http://www.depts.ttu.edu/oppol/Chapter07.pdf ). The more detailed financial procedures are set out in the University Operating Policy and Procedures, Chapter 62 (http://www.depts.ttu.edu/opmanual/Contents.htm#62).   Another aspect of the budget process is the biennial legislative appropriation request, prepared in accordance with instructions from the Legislative Budget Board (http://www.lbb.state.tx.us). This request is the first step in the University appropriations for the next biennium.        (c) A statement of financial position of unrestricted net assets, exclusive of plant assets and plant-related debt, which represents the change in unrestricted net assets attributable to operations for the year ending August 31, 2004, will be prepared based on the financial information reviewed by the State Auditor’s Office.  The statement will be accompanied by management discussion and analysis as necessary to explain the financial position and results.  The target date for submission of the supplemental statement is January 15, 2005.         2.12 The institution has developed an acceptable Quality Enhancement Plan and demonstrate that the plan is part of an ongoing planning and evaluation process.  (Quality Enhancement Plan). (Not applicable for the Compliance Certification submitted by institution).               Section 3:  COMPREHENSIVE STANDARDS       Institutional Mission, Governance, And Effectiveness 3.1  Institutional Mission     3.1.1 The institution has a clear and comprehensive mission statement that guides it; is approved by the governing board; is periodically reviewed by the board; and is communicated to the institution’s constituencies.         Not applicable to unit level.             3.2  Governance and Administration     3.2.1 The governing board of the institution is responsible for the selection and the evaluation of the chief executive officer.         Not applicable to unit level.             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:   3.2.2.1 the institution’s mission;   3.2.2.2 the fiscal stability of the institution;   3.2.2.3 institutional policy, including policies concerning related and affiliated corporate entities and all auxiliary services;   3.2.2.4 related foundations (athletic, research, etc.) and other corporate entities whose primary purpose is to support the institution and/or its programs.         Not applicable to unit level.             3.2.3 The board has a policy addressing conflict of interest for its members.         Not applicable to unit level.             3.2.4 The governing board is free from undue influence from political, religious, or other external bodies, and protects the institution from such influence.         Not applicable to unit level.             3.2.5 Members of the governing board can be dismissed only for cause and by due process.         Not applicable to unit level.             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 the administration and faculty to administer and implement policy.         Not applicable to unit level.             3.2.7 The institution has a clearly defined and published organizational structure that delineates responsibility for the administration of policies.         The Office of Administration and Finance is responsible for financial, business, and human resources components of university operations. The Senior Vice President for Administration and Finance oversees the following units:       1. Budget Office (budgeting, legislative appropriations request, personnel appointments, etc.)       2. Financial Affairs (accounting, cash management, university cashier, tax reporting, etc.)       3. Business Affairs (contract administration, purchasing, travel, risk management, etc.)       4. Historically Underutilized Business (HUB) Operations (minority business affairs)       5. Human Resources (personnel management)       6. Quality Service and Professional Development (personnel orientation and training)     The Administration and Finance organizational chart is available at http://www.ttu.edu/fiscal/orgchart.pdf.             3.2.8 The institution has qualified administrative and academic officers with the experience, competence, and capacity to lead the institution.         Not applicable to unit level.             3.2.9 The institution defines and publishes policies regarding appointment and employment of faculty and staff.         Not applicable to unit level.             3.2.10 The institution evaluates the effectiveness of its administrators, including the chief executive officer, on a periodic basis.         Not applicable to unit level.             3.2.11 The institution’s chief executive officer has ultimate responsibility for, and exercises appropriate administrative and fiscal control over, the institution’s intercollegiate athletics program.         Not applicable to unit level.             3.2.12 The institution’s chief executive officer has ultimate control of the institution’s fund-raising activities.         Not applicable to unit level.             3.2.13 Any institution-related foundation not controlled by the institution has a contractual or other formal agreement that (a) accurately describes the relationship between the institution and the foundation, and (b) describes any liability associated with that relationship. In all cases, the institution ensures that the relationship is consistent with its mission.         Not applicable to unit level.             3.2.14 The institution’s policies are clear concerning ownership of materials, compensation, copyright issues, and the use of revenue derived from the creation and production of all intellectual property. This applies to students, faculty and staff.         Not applicable to unit level.       3.3  Institutional Effectiveness     3.3.1 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 analysis of those results.         The Office of Administration and Finance is in compliance with Comprehensive Standard 3.3.1. The office prepared a strategic plan, in accord with the university mandate, and submitted assessment reports for 2002 and 2003. See those documents for details about ways in which Administration and Finance has responded to assessment to improve the services it offers to students and to the university community at large. These documents are available at (http://techdata.irs.ttu.edu/stratreport).       PROGRAMS 3.4  Educational Programs Standards for All Educational Programs: (Includes all on-campus, off-campus and distance learning programs)  3.4.1 The institution demonstrates that each educational program for which academic credit is awarded (a) is approved by the faculty and the administration, and (b) establishes and evaluates program and learning outcomes.         Not applicable to unit level.             3.4.2 The institution’s continuing education, outreach, and service programs are consistent with the institution’s mission.         Not applicable to unit level.             3.4.3 The institution publishes admissions policies consistent with its mission.         Not applicable to unit level.             3.4.4 The institution has a defined and published policy for evaluating, awarding, and accepting 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 at the collegiate level and comparable to the institution’s own degree programs. The institution assumes responsibility for the academic quality of any course work or credit recorded on the institution’s transcript.         Not applicable to unit level.             3.4.5 The institution publishes academic policies that adhere to principles of good educational practice. These are disseminated to students, faculty, and other interested parties through publications that accurately represent the programs and services of the institution.         Not applicable to unit level.             3.4.6 The institution employs sound and acceptable practices for determining the amount and level of credit awarded for courses, regardless of format or mode of delivery.         Not applicable to unit level.             3.4.7 The institution ensures the quality of educational programs/courses offered through consortia relationships or contractual agreements, ensures ongoing compliance with the comprehensive requirements, and evaluates the consortial relationship and/or agreement against the purpose of the institution.         Not applicable to unit level.             3.4.8 The institution awards academic credit for course work taken on a noncredit basis only when there is documentation that the noncredit course work is equivalent to a designated credit experience.         Not applicable to unit level.             3.4.9 The institution provides appropriate academic support services.         Not applicable to unit level.       3.4.10 The institution defines and publishes general education requirements for its undergraduate programs and major program requirements for all its programs. These requirements conform to commonly accepted standards and practices for degree programs.         Not applicable to unit level.             3.4.11 The institution protects the security, confidentiality, and integrity of its student academic records and maintains special security measures to protect and back up data.         Not applicable to unit level.           3.4.12 The institution places primary responsibility for the content, quality, and effectiveness of its curriculum with its faculty.         Not applicable to unit level.             3.4.13 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.         Not applicable to unit level.       3.4.14 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.         Not applicable to unit level.         3.5  Standards Specific to Undergraduate Programs:     3.5.1 The institution identifies college-level competencies within the general education core and provides evidence that graduates have attained those competencies.       Not applicable to unit level.             3.5.2 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.       Not applicable to unit level.           3.6  Standards Specific to Graduate and Post-Baccalaureate Professional Programs:     3.6.1 The institution’s post-baccalaureate professional degree programs, and its master’s and doctoral degree programs are progressively more advanced in academic content than undergraduate programs.       Not applicable to unit level.           3.6.2 The institution ensures that its graduate instruction and resources foster independent learning, enabling the graduate to contribute to a profession or field of study.       Not applicable to unit level.           3.6.3 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 consortia arrangements, the student earns a majority of credits from the participating institutions.       Not applicable to unit level.           3.7  Faculty     3.7.1 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 the highest earned degree in the discipline in accordance 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. For all cases, the institution is responsible for justifying and documenting the qualifications of all its faculty.       Not applicable to unit level.