Accreditation Handbook (PDF) - U.S. Department of Education

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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

Revised 2020

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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:

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? 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 .

? 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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Page 4 of 37 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 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 program attesting that, should the agency become recognized, the institution or program could rely on the 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.

File Review

No additional documentation required

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 ? A list of States in which the agency conducts accreditation activities, including all States where the agency accredits a main campus, branch campus, or additional location. The agency should also note any States where it only accredits branch campuses or additional locations and will not consider accrediting main campuses. ? A current list of accredited and preaccredited (if applicable) institutions and/or programs (including branch campuses and additional locations).

File Review ? Records of accreditation activities reflecting the agency's published scope.

?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 For agencies seeking initial recognition [See 602.32(b)]:

? A list of all institutions and/or programs that the agency has accredited or preaccredited during the previous five years, including their geographic location, credential levels included in the preaccreditation or accreditation, the dates on which the institutions/programs applied for accreditation/preaccreditation, and the dates on which the institutions/programs received accreditation or preaccreditation, if accreditation or preaccreditation has been awarded. ? For at least one program or institution accredited or preaccredited by the agency, the following documents: (1) the letter of interest or the application from the institution in which it states its interest in seeking accreditation or preaccreditation and will rely on the agency as its link to a Federal program; (2) the letter from the agency demonstrating that the application was accepted for review or that the accreditation/preaccreditation review process was commencing; (3) the letter from the agency granting accreditation or preaccreditation to the institution or program. ? 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 the two parties. ?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 why the letter's author supports the agency's application for recognition, which could include the explanation of the role for such an agency and the reasons for their support.

For agencies seeking an expansion of scope (see 602.32(j)]: ? A list of institutions/programs that the agency has accredited or preaccredited covering the range of the expansion of scope request, if the agency has performed this function outside of its current scope of recognition. If the agency has not already performed this function outside of its 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.

File Review Agency staff must be able to review files of accredited or preaccredited institutions, including letters or applications that initiated the accreditation or preaccreditation review process, records of correspondence between the agency and the institution regarding the accreditation or preaccreditation process or the institution's accreditation or preaccreditation status, and letters from the agency indicating that accreditation or preaccreditation had been granted.

For agencies seeking an expansion of scope:

? Documentation that administrators, practitioners, and educators experienced in instructional delivery in the area of the expansion of scope participated in the development and/or approval of the policies and procedures related to the area of scope expansion and serve on the decision-making body

? Letters from at least three institution or programs that would seek accreditation under the expansion of scope. ? An explanation of how the agency will expand capacity to support the expansion of scope, if necessary, and how its budget will support the expansion of capacity, if needed.

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Documentation that administrators, practitioners, and educators experienced in instructional delivery in 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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