ERIC ED612851: Accreditation Handbook. In Accordance with 34 CFR Part 602. The Secretary's Recognition of Accrediting Agencies. Revised

2020·0.54 MB·English

by  ERIC

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U.S. Department of Education
Office of Postsecondary Education
Accreditation Group
ACCREDITATION HANDBOOK
In accordance with 34 CFR Part 602
The Secretary’s Recognition of Accrediting Agencies
For use by accrediting agencies submitting petitions or reports after July 1, 2020
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Revised 2020
Other than statutory and regulatory requirements included in the document, the contents of this guidance do not have the force and effect of law and are not meant
to bind the public. This document is intended only to provide clarity to the public regarding existing requirements under the law or agency policies.
The Secretary’s Criteria for Recognition are organized by sections on the U.S. Department of Education’s e-Recognition website. For each of
these sections, Department staff will review the application and related materials, including the results of site visits or file reviews, and issue
a recommended finding to be presented to the NACIQI (National Advisory Committee on Institutional Quality and Integrity) and the senior
Department official (SDO):
•Fully compliant – the agency has the appropriate policy, procedure or standard in place and, in each example provided or reviewed during the
staff analyst’s observation, has adhered to those policies, procedures and/or standards. The agency is also compliant if the agency has the
appropriate policy, procedure, or standard in place, but the agency has not had the need or opportunity to implement or demonstrate
compliance with the policy, practice, or standard during the review period. This may apply to an entire criterion or to one or more elements
within a given recognition criterion and follow-up verification may be needed in such circumstances. In addition, the Department cannot find an
agency to be out of compliance simply because the agency has not accumulated a body of evidence to prove that the policy is effective where
there has not been sufficient time or an actual need to apply the policy since its implementation. The Department recognizes that implementing
a new policy and proving it effective can sometimes take years. Thus, in the case of policies for which there has been insufficient time or no
need to apply the policy, the agency will not be found out of compliance simply because it has not accumulated a body of evidence to prove that
the policy is effective. However, the agency will be found out of compliance if the Department can demonstrate that the policy is not effective.
Substantially compliant -- the agency demonstrated to the Department that it has the necessary policies, practices, and standards in place and
generally adheres with fidelity to those policies, practices, and standards; or the agency has policies, practices, and standards in place that need
minor modifications to reflect its generally compliant practice. If Department staff determines that the agency has come into compliance during
the review period, this designation may require no additional response or action from the agency. However, Department staff or NACIQI could
recommend, or the SDO could require, that the agency submit a monitoring report to demonstrate that it has become or remains compliant.
Not compliant – the agency does not have the appropriate policy, procedure, or standard in place or has the policy, procedure or standard in
place but has consistently failed to adhere to it as demonstrated by the examples provided or reviewed during the staff analyst’s observations. A
finding of noncompliance may result in a recommendation from Department staff or the NACIQI, or a decision by the SDO, that an agency's
recognition be denied, limited, suspended, or terminated. Alternatively, Department staff or the NACIQI could recommend, or the SDO could
require, that the agency come into compliance and submit a compliance report that would be reviewed by Department staff and the NACIQI at a
subsequent meeting, and by the SDO, to make a final recognition or compliance decision.
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Notes:
• Where applicable, agencies that accredit both institutions and programs must provide documentation and examples related to their
review of both institutions and programs.
• During a file review, Department staff must be provided with access to agency files and documents, including electronic files, necessary
to evaluate the agency’s compliance with applicable statutory and regulatory requirements. The Department must be able to obtain and
archive copies of those documents in either an electronic or paper-based format, if necessary, to serve as documentation for the
analyst’s recommended finding and the Department may be required to disclose some or all of these documents to the public under
FOIA. In such a case, the Department would provide the agency the opportunity to redact information as per 602.31(f) from those
documents before they are provided to the Department or released to the public.
• Selection of institutions and/or programs reviewed during the Department staff’s file review will be made by Department staff. This will
include random selection of files but will be limited to the current recognition period. However, the agency can provide additional files it
believes offer a more relevant example of the agency’s or its member institution’s or program’s work.
• An agency is not considered to be out of compliance with a standard if it has not had the opportunity to implement or apply the
standard during the review period,
• For further information, including up-to-date contact information for Department of Education staff, please visit
https://w.ed.gov/accreditation.
• Information cannot be submitted via a live webpage or other shared document. All documents submitted by the agency must be
submitted in a manner that, once submitted, can no longer be edited and meets other Department requirements. This requirement is
necessary avoid discrepancies if information found at an online document such as a webpage is is changed after submission to the
Department. The Department must maintain an accurate and contemporaneous record of information, as required by the
regulations at Sections 602.31, 602.34(c), and 602.36(a) and may request a specific type of submission in order to meet federal
cybersecurity and other requirements.
Definitions that apply to the Department’s accreditation regulations can be found at 34 CFR 600.2 and 602.3.
Note regarding §602.1: In the past, state agencies for approval of nurse education have been evaluated under the criteria of a Federal Register
Notice published under authority of the Nurse Training Act, 42 U.S.C. § 298(b), which is no longer in effect. See 34 Fed. Reg. 587, 644 (January
16, 1969) (the "Nursing Federal Register Notice"). Therefore, the Nursing Federal Register Notice no longer applies and the Department will
need to issue new guidance on this issue. As a result, State agencies may be required to apply for recognition under 34 C.F.R. Part 602 if they:
(a)seek to accredit or preaccredit public postsecondary vocational institutions for non-Title IV Federal program purposes; or (b) seek to accredit
or preaccredit any other type of nursing institution (including a private postsecondary vocational institution) for Title IV purposes or to accredit
such institutions or programs for non-Title IV Federal program purposes. State agencies that seek to approve public postsecondary vocational
institutions offering nursing education or nursing programs for the purpose of determining eligibility for Title IV, HEA programs or any other
Federal student assistance programs administered by the Department may be evaluated under the criteria of 34 C.F.R. Part 603. It is anticipated
that this change will not affect the existing recognition of State agencies for approval of nurse education already in a period of approved
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recognition. However, going forward, recognition of any such agencies under 34 C.F.R. Part 602 would be available only to affected State
agencies that have been recognized by the Secretary on or before October 1, 1991. See 20 U.S.C. § 1099b(a)(3)(B); 34 C.F.R. § 602.14(a)(1).
§602.10 - Link to Federal programs.
The agency must demonstrate that--
(a)If the agency accredits institutions of higher education, its accreditation is a required element in enabling at least one of those institutions to
establish eligibility to participate in HEA programs. If, pursuant to 34 CFR 600.11(b), an agency accredits one or more institutions that participate
in HEA programs and that could designate the agency as its link to HEA programs, the agency satisfies this requirement, even if the institution
currently designates another institutional accrediting agency as its Federal link; or
(b)If the agency accredits institutions of higher education or higher education programs, or both, its accreditation is a required element in
enabling at least one of those entities to establish eligibility to participate in non-HEA Federal programs.
In Petition File Review
For agencies accrediting institutions to that participate in HEA programs (602.10(a)):
•For a petition for initial recognition: the agency must provide a letter written to it by at least one institution or No additional
program attesting that, should the agency become recognized, the institution or program could rely on the documentation required
agency’s accreditation to establish eligibility to participate in HEA programs.
•For a petition for renewal of recognition: the agency must submit the name of one of its accredited institutions
that participates in an HEA program and that could be made eligible to participate in such a program as a result of
accreditation by the agency.
For agencies that accredit institutions or programs, and such accreditation establishes eligibility for at least one
program or institution to participate in non-HEA programs (602.10(b)):
•For a petition for initial or renewal recognition: For an agency submitting a petition for initial or renewal of
recognition and that agency’s accreditation is required to determine eligibility for the institution or program to
participate in a non-HEA federal program, the agency must provide the citation for and a copy of the specific
portion of the authorizing law, regulation or other Federal requirement (which is not subregulatory guidance)
stating accreditation by an agency recognized by the Secretary of Education is necessary for an institution or
program to participate in the Federal program, and documentation that at least one institution or program does
rely on or, once recognition is obtained, will rely on the agency's accreditation to participate or establish eligibility
to participate in such a program. Note: agencies that accredit programs or institutions that participate in title IV
programs must note this in their petition, even if the programs or institutions accredited by the agency
participate in title IV programs as a result of accreditation provided by another recognized agency. In such a case,
the agency must identify in its petition the name of at least one institution or program among its membership that
participates in title IV programs, even if such a program or institution is made eligible for title IV participation by
another recognized accrediting agency.
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§602.11 - Geographic area of accrediting activities.
The agency must demonstrate that it conducts accrediting activities within—
(a)A State, if the agency is part of a State government;
(b)A region or group of States chosen by the agency in which an agency provides accreditation to a main campus, a branch campus, or an
additional location of an institution. An agency whose geographic area includes a State in which a branch campus or additional location is
located is not required to also accredit a main campus in that State. An agency whose geographic area includes a State in which only a branch
campus or additional location is located is not required to accept an application for accreditation from other institutions in such State; or
(c)The United States.
In Petition File Review
•A list of States in which the agency conducts accreditation activities, including •Records of accreditation
all States where the agency accredits a main campus, branch campus, or additional location. The agency should activities reflecting the
also note any States where it only accredits branch campuses or additional locations and will not consider agency’s published scope.
accrediting main campuses.
•A current list of accredited and preaccredited (if applicable) institutions and/or programs (including branch
campuses and additional locations).
§602.12 Accrediting experience.
(a)An agency seeking initial recognition must demonstrate that it has--
(1)Granted accreditation or preaccreditation prior to submitting an application for recognition—
(i)To one or more institutions if it is requesting recognition as an institutional accrediting agency and to one or more programs if it is requesting
recognition as a programmatic accrediting agency;
(ii)That covers the range of the specific degrees, certificates, institutions, and programs for which it seeks recognition.; and
(iii)In the geographic area for which it seeks recognition; and
(2)Conducted accrediting activities, including deciding whether to grant or deny accreditation or preaccreditation, for at least two years prior to
seeking recognition, unless the agency seeking initial recognition is affiliated with, or is a division of, an already recognized agency.
(b)(1) A recognized agency seeking an expansion of its scope of recognition must follow the requirements of §§ 602.31 and 602.32 and
demonstrate that it has accreditation or preaccreditation policies in place that meet all the criteria for recognition covering the range of the
specific degrees, certificates, institutions, and programs for which it seeks the expansion of scope and has engaged and can show support from
relevant constituencies for the expansion. A change to an agency's geographic area of accrediting activities does not constitute an expansion of
the agency's scope of recognition, but the agency must notify the Department of, and publicly disclose on the agency's website, any such change.
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(2)An agency that cannot demonstrate experience in making accreditation or preaccreditation decisions under the expanded scope at the time of
its application or review for an expansion of scope may—
(i)If it is an institutional accrediting agency, be limited in the number of institutions to which it may grant accreditation under the expanded
scope for a designated period of time; or
(ii)If it is a programmatic accrediting agency, be limited in the number of programs to which it may grant accreditation under that expanded
scope for a certain period of time; and
(iii)Be required to submit a monitoring report regarding accreditation decisions made under the expanded scope.
In Petition File Review
For agencies seeking initial recognition [See 602.32(b)]: Agency staff must be able to review files
of accredited or preaccredited
•A list of all institutions and/or programs that the agency has accredited or preaccredited during institutions, including letters or
the previous five years, including their geographic location, credential levels included in the applications that initiated the
preaccreditation or accreditation, the dates on which the institutions/programs applied for accreditation or preaccreditation review
accreditation/preaccreditation, and the dates on which the institutions/programs received process, records of correspondence
accreditation or preaccreditation, if accreditation or preaccreditation has been awarded. between the agency and the institution
•For at least one program or institution accredited or preaccredited by the agency, the following regarding the accreditation or
documents: (1) the letter of interest or the application from the institution in which it states its preaccreditation process or the
interest in seeking accreditation or preaccreditation and will rely on the agency as its link to a institution’s accreditation or
Federal program; (2) the letter from the agency demonstrating that the application was accepted preaccreditation status, and letters from
for review or that the accreditation/preaccreditation review process was commencing; (3) the the agency indicating that accreditation
letter from the agency granting accreditation or preaccreditation to the institution or program. or preaccreditation had been granted.
•For an agency that is affiliated with, or is a division of, an already recognized agency, the
requirement for two years of experience does not apply, but the agency must submit
documentation of that relationship, including but not limited to budgets and contracts between For agencies seeking an expansion of
the two parties. scope:
•Letters from at least three educators, three accredited (by this agency or another recognized
agency) institutions or programs, and, if appropriate, three employers or practitioners, explaining •Documentation that administrators,
why the letter’s author supports the agency’s application for recognition, which could include the practitioners, and educators
explanation of the role for such an agency and the reasons for their support. experienced in instructional delivery in
the area of the expansion of scope
For agencies seeking an expansion of scope (see 602.32(j)]: participated in the development and/or
•A list of institutions/programs that the agency has accredited or preaccredited covering the approval of the policies and procedures
range of the expansion of scope request, if the agency has performed this function outside of its related to the area of scope expansion
current scope of recognition. If the agency has not already performed this function outside of its and serve on the decision-making body
scope of recognition, it must provide documentation of the agency’s standards, policies, or
procedures developed and that will be applied by the agency if granted the expansion of scope.
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•Letters from at least three institution or programs that would seek accreditation under the Documentation that administrators,
expansion of scope. practitioners, and educators
•An explanation of how the agency will expand capacity to support the expansion of scope, if experienced in instructional delivery in
necessary, and how its budget will support the expansion of capacity, if needed. the area of the expansion of scope have
or will participate on site visit teams for
institutions or programs seeking
accreditation under the expansion of
scope.
§602.14 Purpose and organization.
(a)The Secretary recognizes only the following four categories of accrediting agencies:
(1)A State agency that—
(i)Has as a principal purpose the accrediting of institutions of higher education, higher education programs, or both; and
(ii)Has been listed by the Secretary as a nationally recognized accrediting agency on or before October 1, 1991.
(2)An accrediting agency that—
(i)Has a voluntary membership of institutions of higher education;
(ii)Has as a principal purpose the accrediting of institutions of higher education and that accreditation is used to provide a link to Federal HEA
programs in accordance with § 602.10; and
(iii)Satisfies the “separate and independent” requirements in paragraph (b) of this section.
(3)An accrediting agency that—
(i)Has a voluntary membership; and
(ii)Has as its principal purpose the accrediting of institutions of higher education or programs, and the accreditation it offers is used to provide a
link to non-HEA Federal programs in accordance with §602.10.
(4)An accrediting agency that, for purposes of determining eligibility for title IV, HEA programs—
(i)(A) Has a voluntary membership of individuals participating in a profession; or
(B)Has as its principal purpose the accrediting of programs within institutions that are accredited by another nationally recognized accrediting
agency; and
(ii)Satisfies the “separate and independent” requirements in paragraph (b) of this section or obtains a waiver of those requirements under
paragraph (d) of this section.
(b)For purposes of this section, “separate and independent” means that—
(1)The members of the agency's decision-making body, who decide the accreditation or preaccreditation status of institutions or programs,
establish the agency's accreditation policies, or both, are not elected or selected by the board or chief executive officer of any related, associated,
or affiliated trade association, professional organization, or membership organization and are not staff of the related, associated, or affiliated
trade association, professional organization, or membership organization;
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(2)At least one member of the agency's decision-making body is a representative of the public, and at least one-seventh of the body consists of
representatives of the public;
(3)The agency has established and implemented guidelines for each member of the decision-making body including guidelines on avoiding
conflicts of interest in making decisions;
(4)The agency's dues are paid separately from any dues paid to any related, associated, or affiliated trade association or membership
organization; and
(5)The agency develops and determines its own budget, with no review by or consultation with any other entity or organization.
(c)The Secretary considers that any joint use of personnel, services, equipment, or facilities by an agency and a related, associated, or affiliated
trade association or membership organization does not violate the “separate and independent” requirements in paragraph (b) of this section if —
(1)The agency pays the fair market value for its proportionate share of the joint use; and
(2)The joint use does not compromise the independence and confidentiality of the accreditation process.
(d)For purposes of paragraph (a)(4) of this section, the Secretary may waive the “separate and independent” requirements in paragraph (b) of
this section if the agency demonstrates that—
(1)The Secretary listed the agency as a nationally recognized agency on or before October 1, 1991, and has recognized it continuously since that
date;
(2)The related, associated, or affiliated trade association or membership organization plays no role in making or ratifying either the accrediting
or policy decisions of the agency;
(3)The agency has sufficient budgetary and administrative autonomy to carry out its accrediting functions independently;
(4)The agency provides to the related, associated, or affiliated trade association or membership organization only information it makes available
to the public.
(e)An agency seeking a waiver of the “separate and independent” requirements under paragraph (d) of this section must apply for the waiver
each time the agency seeks recognition or continued recognition.
Note: In a decision issued on September 4, 2020, the Senior Department Official ("SDO") ("SDO Decision") considered whether an agency that
sought recognition under 602.14(a)(2) (602.14(a)(3) of the July 1, 2020 regulations), but also accredits programs that participate in Title IV
programs must meet the separate and independent requirements of 602.14(a)(3) (now 602.14(a)(4)), where accreditation by that agency
establishes eligibility for graduates of one or more programs or institutions it accredits for occupational licensure. Thus, the agency plays a key
role in determining the eligibility of the programs they accredit for participation in title IV. Given that key role, the SDO denied the petition for
initial recognition, finding that the agency had failed to meet the separate and independent requirement set forth in 602.14(a)(3) (now
602.14(a)(4)). The agency involved in that decision has appealed, and that appeal is currently pending before the Secretary. The Secretary's
decision regarding the appeal of the SDO decision may impact whether agencies that might apply for recognition under 602.14(a)(3) (of the July
1, 2020 regulations) but whose accreditation plays a key role in eligibility for Title IV must meet the requirements of 602.14(a)(4) (of the July 1,
2020 regulations) and be required to establish that they are separate and independent. Depending on the Secretary's decision on the appeal,
the Department may in the future issue relevant guidance relating to programmatic accrediting agencies and the impact of the Secretary’s
decision. However, pending the Secretary’s decision, agencies in this category seeking continued recognition and that are currently separate and
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independent are advised to submit evidence of such separateness and independence with their petition, and agencies in this category that are
seeking initial recognition are also advised to submit such evidence with their initial petition.
In Petition File Review
•A narrative describing into which category or categories the agency seeks •Resumes, CVs, or applications for all individuals who
recognition or renewal of recognition. Select the appropriate category from serve on the decision-making bodies, to include
602.14(a)(1), 602.14(a)(2), 602.14(a)(3) and/or 602.14(a)(4). documentation that public representatives meet the
•By-laws, articles of incorporation and policies, etc. defining the agency’s Department of Education’s definition for that role.
membership, its principal purposes, whether the programs or institution it •Minutes of decision-making body meetings, including
accredits participate in title IV programs (including as a result of accreditation by the names of members present, meeting agendas,
another recognized accrediting agency), and how it meets the requirements of recusals where appropriate from members that have a
602.10,. conflict of interest on one or more issues (if applicable)
•The agency‘s standards, policies, and procedures manual(s). and written requests from member institutions that raise
concerns about conflicts of interest among members of
For agencies required to demonstrate compliance with the requirement to decision-making bodies (if the agency received any such
operate financially and administratively separate and independent of an letters) and responses to those letters that describe the
affiliated trade association or membership organization such as agencies resolution to the concern.
recognized under(602.14(a)(2) 602.14(a)(4),the following documentation is
required. Since agencies recognized under 602.14(a)(3) which accredit For agencies demonstrating compliance with the
programs that participate in title IV programs and the agency’s accreditation separate and independent criteria:
determines eligibility for graduates from at least one program it accredits to be •Copies of the agency’s approved budgets during the
eligible for occupational licensure may be required to meet the separate and recognition period and meeting minutes documenting
independent requirements in the future, such agencies must also submit the when each budget was approved and who was involved
following documentation : in that approval.
•A list of members of the agency’s decision-making bodies (including its appeals •Minutes of meetings when decision-making body
body) describing each member’s current position or role on that body. The list members are nominated and elected.
must identify which member(s) represent the public and the terms of service for •Correspondence to members of decision-making
each individual. bodies indicating that an individual has been
•Page numbers for the agency‘s standards, policies, and procedures manual(s) nominated/elected to serve on that body.
that define: (1) the members of the agency's decision-making body and their •Documentation from audited financial statements that
qualifications; (2) the procedures followed for nominating and electing members the agency is meeting the terms of contractual
of the decision- making body; and (3) definition of public members and policies agreements and is paying market rates for any
that determine what percentage of the decision-making body must be equipment, space or staff it shares with the membership
representatives of the public. or trade organization.
•A list of all entities the agency considers to be a related, associated, or affiliated
trade association or membership organization.
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•A statement of independence from any related or affiliated trade association,
disclosure of any budgetary, supervisory or decision-making relationship with such
organizations, and a description of the agency's policies for establishing and
collecting dues separate from dues or membership fees paid to any related trade
or professional organization.
•Copies of any contracts, MOUs or agreements between the agency and its parent
organization regarding personnel actions, the appointment of members of the
agency’s board and decision-making bodies, the financial arrangements that exist
between the organizations, if any, and agreements regarding payment for the use
of shared space or services.
•A description of the process by which the agency establishes and approves its
budget and makes financial decisions.
•A waiver request for “separate and independent” requirements, if applicable.
§602.15 Administrative and fiscal responsibilities.
The agency must have the administrative and fiscal capability to carry out its accreditation activities in light of its requested scope of recognition.
The agency meets this requirement if the agency demonstrates that—
(a)The agency has—
(1)Adequate administrative staff and financial resources to carry out its accrediting responsibilities;
(2)Competent and knowledgeable individuals, qualified by education or experience in their own right and trained by the agency on their
responsibilities, as appropriate for their roles, regarding the agency's standards, policies, and procedures, to conduct its on-site evaluations, apply
or establish its policies, and make its accrediting and preaccrediting decisions, including, if applicable to the agency's scope, their responsibilities
regarding distance education and correspondence courses;
(3)Academic and administrative personnel on its evaluation, policy, and decision-making bodies, if the agency accredits institutions;
(4)Educators, practitioners, and/or employers on its evaluation, policy, and decision-making bodies, if the agency accredits programs or single-
purpose institutions that prepare students for a specific profession;
(5)Representatives of the public, which may include students, on all decision-making bodies; and
(6)Clear and effective controls, including guidelines, to prevent or resolve conflicts of interest, or the appearance of conflicts of interest, by the
agency's—
(i)Board members;
(ii)Commissioners;
(iii)Evaluation team members;
(iv)Consultants;
(v)Administrative staff; and
(vi)Other agency representatives; and
(b)The agency maintains complete and accurate records of—