OCUE Home

Handbook of
Institutional
Accreditation

Contents
Forms
Regents
Introduction
Protocol
Ethics
Application
Part 4
Self-Study Guide
Annual Report
Policies
Advisory Council
College Directory
Accreditation Staff

Indoor columns, State Education Building - Photo by Tom Premo

INSTITUTIONAL ACCREDITATION
SELF-STUDY GUIDE

  • Standards of Quality
  • Examples of Compliance
  • Suggested Documentation

Standards: Administration

(Regents Rules, §4-1.4(f))

Responsibilities

  1. Responsibility for the administration of institutional policies and programs shall be clearly established.
     
  2. Within the authority of its governing entity, the institution shall provide that overall educational policy and its implementation are the responsibility of the institution's faculty and academic officers.  Other appropriate segments of the institutional community may share in this responsibility in accordance with the norms developed by each institution.
     
  3. Academic policies applicable to each course, including learning objectives and methods of assessing student achievement, shall be made explicit by the instructor at the beginning of each term.
     
  4. The institution shall provide academic advice to students through faculty or appropriately qualified persons. The institution shall assure that students are informed at stated intervals of their progress and remaining obligations in the completion of the program.
     
  5. The institution shall maintain for each student a permanent, complete, accurate, and up-to-date transcript of student achievement at the institution.  This document will be the official cumulative record of the student's achievement.  Copies shall be made available at the student's request, in accordance with the institution's stated policies, or to agencies or individuals authorized by law to review such records.
  6. The institution shall not be in violation of State and/or Federal statute, where such violation demonstrates incompetence and/or fraud in the management of the institution in the judgement of the commissioner.
Examples of Compliance:
  • Responsibilities for all institutional functions and services are clearly established and known to all affected constituencies through publication and timely notice.
  • Communication channels are clearly established and follow established organizational structure in educational governance and administrative services; communication is open.
  • Institutional organization and services, and the institution's program for assessing institutional functioning, are effectively focused on maximizing the quality of student achievement and development.
  • Faculty and academic officers are actively engaged in and responsible for the setting of curricular and academic standards.
  • Students, advisory committee members, and other representatives of the college community have an opportunity to share in the responsibility of educational governance.
  • Academic policies are made explicit by instructors at the beginning of each course.
  • A course outline has been developed for each course that includes learning objectives; prerequisites; credits allocated; methods of instruction; course content and assignments; means of assessing student achievement; basis of grades; bibliographic and other resources related to course; and other course policies.
  • Students are formally informed of their progress, including all grades and cumulative grade point average, throughout each term.
  • Faculty and other staff with advisement responsibilities are regularly and conveniently available to students for academic and career planning advisement.
  • Copies of cumulative transcripts and assessments of remaining academic requirements and other obligations are available to students on request.
  • Transcripts are kept current and accurately reflect student achievement; they include a key to the meaning of symbols, abbreviations, calculations; there are satisfactory provisions for security.
  • The institution has and adheres to procedures and criteria for entries on and changes to academic transcripts.
  • Courses taken at other colleges and accepted for credit are included on the transcript.
  • Transcripts clearly differentiate between credit and non-credit courses.
  • Transcripts include term and cumulative grade point averages.
  • Policies on recording of grades, including those for repeated courses, changes in grades, and other aspects of recording and calculating student attainment adhere to sound, widely accepted professional practices.

 

Suggested Documentation:
  • For Regents-chartered institutions, and as available for proprietary institutions, by-laws of the board of trustees and minutes of their meetings.
  • Organizational charts of the institution's structure; description of responsibilities of senior staff; description of responsibilities of committees responsible for assuring institutional effectiveness.
  • Written policies concerning curriculum development, evaluation, and revision.
  • Minutes of faculty and administrative committees responsible for academic governance.
  • Sample transcripts, advisement worksheets, and degree audit worksheets as indicated by review coordinator.
  • Compendium or handbook of policies relating to student records, including recording of student progress and records retention.
  • Institutional effectiveness assessment plan or its equivalent.
  • Self-assessments of academic programs or administrative services in the last three years, and their outcomes.
  • Description of the institution’s resource allocation process and criteria.
  • Course syllabi, as indicated by review coordinator.

Published policies

The institution shall establish, publish and enforce explicit policies with respect to:

(i)          academic freedom;

(ii)         the rights and privileges of full-time and part-time faculty and other staff members, working conditions, opportunity for professional development, workload, appointment and reappointment, affirmative action, evaluation of teaching and research, termination of appointment, redress of grievances and faculty responsibility to the institution; and

(iii)        requirements for admission of students to the institution and to specific programs of study, requirements for residence, graduation, awarding of credit, degrees or other credentials, grading, standards of progress, payment of fees of any nature, refunds, withdrawals, standards of conduct, disciplinary measures and redress of grievances.

Examples of Compliance:
  • Clear and reasonable policies are published and in effect for each of the above items; policies are consistent with applicable governmental requirements; policies meet widely accepted professional expectations of “even-handedness” and “fairness.”
Suggested Documentation:
  • Catalogs and brochures, student handbook, faculty handbook, contracts and other pertinent publications; reference to pertinent publications and pages for each item.
  • Record of complaints and their resolutions.

Standard: Support services

(Regents Rules, §4-1.4(g))

  1. The institution shall assure that whenever and wherever the institution offers courses as part of a curriculum it shall provide adequate support services, taking into account its mission and the needs of its students.
  2. Institutions that admit students with academic deficiencies shall provide sufficient supplemental academic services to enable them to make satisfactory progress toward program completion.
Examples of Compliance:
  • The institution adequately assesses the skill levels of all entering degree students and addresses any needs for the development of college-level skills, including the areas of writing, literacy, computing, time management, and analytical thinking, that are consistent with the institution's educational mission.
  • The institution provides the academic and other support services, including but not limited to tutoring and personal and career counseling, that students may need to succeed in the programs to which they have been admitted.
  • The institution provides adequate advising and program planning services to support its academic programs.
  • The institution has procedures to assess the effectiveness of its support services in meeting students' needs.
  • If the institution admits English language learners, it provides adequate instruction in English as a Second Language (ESL) to enable such students to undertake college level study in English.
  • The institution provides physical resources commensurate with the scope and fields of instruction and learning needs of the students.

 

Suggested Documentation:
  • Samples of any tests or other diagnostic tools used for student assessment, together with the meaning of scores, and the resulting placements and/or other outcomes in accordance with test results.
  • Citation of written policies and procedures regarding academic advising, placement, and other student support services; a summary of staffing for these services; a summary record of services provided in the academic year preceding the review visit.
  • If childcare is operated by the institution, record of its licensure.
  • Assessment of services provided to a sample of 15-30 “at risk” students, as indicated by review coordinator.
  • Descriptions of special strategies and programs to strengthen student persistence, and their outcomes.

Standards: Admissions

(Regents Rules, §4-1.4(h))

  1. The admission of students shall be determined through an orderly process using published criteria consistent with the institution’s mission that shall be uniformly applied.
  2. Admissions shall take into account both the capacity of the student to undertake a course of study and the capacity of the institution to provide the instructional and other support the student needs to complete the program.
  3. Among other considerations and consistent with its mission, the institution shall take measures to increase enrollment in academic programs at all degree levels by persons from groups historically underrepresented in such programs.
  4. An institution shall not refuse a student’s request for transfer of credit based solely upon the source of accreditation of the sending institution, where the sending institution is institutionally accredited for Title IV purposes by an accrediting agency recognized by the U.S. Secretary of Education for such purposes.
Examples of Compliance:
  • Admissions criteria are fully and accurately described in the catalog and other admissions literature.
  • The institution adheres to published admission criteria and policies for admitting only those students capable of completing the course of study to which they apply, given the instructional and other support it provides.
  • The institution effectively places all admitted students in courses and services consistent with their assessed skill and knowledge.
  • The institution identifies groups historically underrepresented in college programs and encourages the enrollment of students from those groups.
  • The institution identifies any special educational needs of students, including students with disabilities, and makes appropriate provisions for meeting those needs.
  • Availability of documentation that remediation, other college skills, and developmental programs are effective.
  • Social, psychological, health, financial, and academic counseling services are available to students and are effective.

 

Suggested Documentation:
  • Data on number of applications, acceptances, and students enrolled for the most recent academic years together with demographic and academic profile of admitted students for the most recent fall term including such demographic elements as age, gender, racial/ethnic distribution, and geographic origin of students and such academic elements as grade point averages and admission test scores, as pertinent.
  • Admissions criteria as published in catalog; supplemental written materials describing assessment standards and policies.
  • Written advanced placement policies and challenge opportunities.
  • Written guidelines on providing academic assistance to students in need of remediation; documentation of practice.
  • Sample of admission files, as indicated by review coordinator.
  • Data, including institutional self-studies, on the success/failure of students who have completed remedial coursework.
  • Catalog and other published materials indicating availability of social, psychological, health, financial, and academic counseling services.
  • Statement of materials that normally are included in a student folder.
  • Provision of a sample of student academic records, as indicated by review coordinator.
  • Procedures for identifying and addressing special educational needs of admitted students.
  • Data on the number of persons from historically underrepresented groups recruited by, applying to, and accepting and enrolling at the institution; discussion of policy and strategies employed.

Standards: Consumer information

(Regents Rules, §4-1.4(i))

(1) The following information shall be included in all catalogs of the institution:

(i)         Information shall be provided on financial assistance available to students, costs of attending the institution, the refund policy of the institution, and the instructional programs and other related aspects of the institution.  Information shall include programs of financial assistance from State, Federal, institutional and other sources. Information on the instituion’s standards of progress shall be disclosed, if different from those utilized for State student financial aid programs.

(ii)        Cost of attending the institution for each of the cost categories listed below shall be provided.  Estimates, so indicated, may be used where exact figures are unavailable or inappropriate.  Where summary information is provided, an institutional office where detailed information can be obtained shall be identified.

    (a)  Tuition and fees.  Information shall be provided on all assessments against students for direct educational and general purposes.  A brief description of the purpose of any mandatory fee shall be included if the purpose of such fee is not apparent from its name.  Course fees and lab fees shall be clearly identified.  Conditions under which non-mandatory fees need not be paid shall be clearly stated.

    (b)  Books and supplies. Estimated costs of textbooks, books, manuals, consumable supplies and equipment, which a student should possess as a necessary corollary to instruction, shall be provided. Separate estimates shall be provided for major program categories for which such costs vary more than 25 percent from the average for the entire institution.

    (c)  Room and board. Costs of housing and food services operated by the institution shall be provided where such services are available. Estimated costs of similar accommodations available in the community shall also be provided. These figures shall be consistent with estimated student budgets prepared by the institution's financial aid office.

    (d)   Other living expenses. Estimated cost of personal expenses applicable to students devoting primary efforts to pursuit of educational objectives shall be provided. This estimate shall be consistent with similar figures defined by the institution's financial aid office.

Examples of Compliance:
    • Tuition and mandatory course and laboratory fees are clearly identified.  Conditions under which non-mandatory fees need not be paid are clearly stated.
    • Estimated costs of textbooks, manuals, consumable supplies and equipment that a student should possess are provided.
    • Costs of housing and food services operated by the institution are provided.  Estimated costs of similar accommodations available in the community are also provided.
    • Estimated cost of personal expenses applicable to students devoting primary efforts to pursuit of educational objectives is provided.
     
Suggested Documentation:
    • Catalogs; citation of pages in self-study.

 

(iii)        The institution shall state its policy and requirements on student withdrawal from the institution and its policy and requirements concerning refunds due to failure of students to complete an academic term for any reason.  The policy shall include the percentage or amount of tuition, fees, institution-operated room and board, and other assessments to be refunded after specified elapsed periods of time.

Example of Compliance :
    • The institution has a clearly stated and published refund policy that includes the percentage or amount of tuition, fees, institution-operated room and board charges, and other assessments to be refunded after specified elapsed periods of time.
Suggested Documentation:
    • Catalogs; citation of pages in self-study


(iv)        The instructional programs of the institution shall be described accurately.

(a)  Degree, certificate and diploma programs. A list of degree, certificate and diploma programs shall be provided. The list shall be consistent with the inventory of registered degree and certificate programs maintained by the department. The list shall contain at least the official approved program title, degree, HEGIS code number, and shall be preceded by a statement that enrollment in other than registered or otherwise approved programs may jeopardize a student's eligibility for certain student aid awards.
 

(b)  Program descriptions. Each degree, certificate or diploma program shall be described in terms of both prerequisites and requirements for completion.
 

(c)  The academic year in which each instructional offering (course) is expected to be taught shall be indicated.
 

(d)  Program related facilities. A general description of instructional, laboratory and other facilities directly related to the academic program shall be provided, in addition to general information describing the total physical plant. Narrative and/or statistical information shall be provided about library collections and facilities, student unions, and institution-operated eating-places. Hours of operation, including holiday and vacation schedules, shall be provided.
 

(e)  Faculty and other instructional personnel. Regular resident faculty shall be listed by rank, with the highest degree held by the faculty member and the institution by which such degree was granted, full-time or part-time status, and department or major program area to which such member is assigned.  An estimated number of adjunct faculty and teaching assistants in each department or major program area shall be provided.
 

(f)  Recruiting and admission practices. The process and criteria for the recruitment and admission of students to the institution and to specific programs of study, as required by subparagraph (iii) of paragraph (2) of subdivision (f) of this section and by subdivision (h) of this section, shall be published.
 

(g)  Academic calendar. The academic calendar of the institution, and of specific programs of study, if different, shall be published.
 

(h)  Grading. The grading policy of the institution, and of specific curricula, if different, shall be published.
 

(i)  Student retention and graduation. Information on student retention and graduation rates shall be provided based on a summary of the most recent cohort survival statistics (e.g., percentages of those students enrolled at the end of the spring term, percentages of freshman classes that graduate in four, five and six years) available to the institution for at least full-time undergraduates. Statistics shall be computed in a manner consistent with data reported to the department through its higher education data system.
 

(j)  Outcomes for former students. Summaries of employment outcomes, advanced study, and student professional and occupational licensing examination results compiled by or provided to the institution shall be provided. The student cohort year or years, or date of examinations shall be included. Data displays on employment outcomes shall be by major or discrete curricular area.

(v)        Information shall be provided on the institution’s code of conduct for students and any disciplinary measures that may be applied to a student for a violation of such conduct, with a description of the institution’s student disciplinary process.

(2)        Institutions that produce a multi-year catalog may use an annual printed addendum to update the information in the catalog or, if the catalog is also online, a Web site update. All print and online catalogs shall be archived annually, and archived copies shall be retained permanently.

(3)        The institution shall demonstrate that it continuously assesses the effectiveness of its efforts to provide students and prospective students with timely, accurate, and complete consumer information.

 

Examples of Compliance:
  • Programs are accurately listed according to title, degree, and HEGIS code.
  • Programs are described in terms of both prerequisites and requirements for completion.
  • The academic year in which each course is expected to be taught is included.
  • Instructional, laboratory, and other facilities directly related to the academic program are described.
  • Information about hours of operation of the institution's services, including the library and food services, is provided.
  • Faculty are listed by rank, indicating the highest degree held by each faculty member, the institution which granted the highest degree, and the program area to which the faculty member is assigned.
  • An estimated number of adjunct faculty and teaching assistants in each department or major program is provided.
  • Admissions criteria and procedures are fully described in the institution's catalogs.
  • The academic calendar is published in the catalog.
  • The institution's academic policies including its grading policies are published.
  • Information on graduation rates and retention is provided.
  • Summaries of job placement statistics and information on other activities of former students compiled by the institution are available.
Suggested Documentation:
  • Catalogs; citation of pages in self-study.

Advertising

  1. Advertising conducted by or on behalf of an institution shall not be false, misleading, deceptive, or fraudulent and shall be consistent with the provisions of Article 22-A of the General Business Law.  Advertising and promotional material shall not leave false, misleading, or exaggerated impressions of the institution, its personnel, its facilities, its courses and services, or the occupational opportunities of its graduates.
  2. The primary emphasis of all advertisements and promotional literature shall be the educational services offered by the institution.  Such advertising and promotional literature shall clearly indicate that education, not employment, is being offered by the institution.
  3. Statements and representations in all forms of advertising and promotion shall be clear, current, and accurate.  To the extent that statements of facts are made, such statements shall be restricted to facts that can be substantiated.  Materials to support statements and representations in advertising and promotion shall be kept on file and shall be available for review by the department.
  4. Any endorsement or recommendation shall include the author’s identity and qualifications and shall be used only with the author’s consent.  No remuneration of any kind for any such endorsement or recommendation shall be paid for such endorsement or recommendation.
  5. References to the New York State Board of Regents in any advertisement or promotional literature shall comply with the requirements of Section 13.11 of this title and subdivision (m) of this Section [§4-1.4 of the Rules of the Board of Regents].
Examples of Compliance:

 

  • Students are recruited based on factual and accurate information about the institution.
  • Financial aid is not the sole enrollment incentive used to recruit students, and aid available only at the institution is distinguished from aid available at most institutions.
  • When recruiting students, representatives of the institution state clearly their credentials, purpose, and position or affiliation with the institution; such recruiters are either volunteers or paid employees of the institution and are not paid on the basis of numbers of students recruited.
  • All advertisements, promotional literature and recruitment activities focus primarily on the educational services offered by the institution.
  • The institution accurately characterizes its recognition by the New York State Board of Regents.

 

Suggested Documentation:
  • Advertising and other promotional materials.

Standards: Student complaints

(Regents Rules, §4-1.4(j))

(1)        The institution shall establish, publish, and consistently administer internal procedures to receive, investigate, and resolve student complaints related to the standards prescribed in this Part.

(2)        The institution may have informal means by which students can seek redress of their complaints.

(3)        The institution shall have a formal complaint procedure that shall include, but need not be limited to: steps a student may take to file a formal complaint; reasonable and appropriate time frames for investigating and resolving a formal complaint; provision for the final determination of each formal complaint to be made by a person or persons not directly involved in the alleged problem; and assurances that no action will be taken against the student for filing the complaint.

(4)        The institution shall maintain adequate documentation about each formal complaint and its disposition for a period of at least six years after final disposition of the complaint.  Assessment of the disposition and outcomes of complaints shall be a required component of any self-study required by this Part and shall be a consideration in any review for accreditation or renewal of accreditation.

Examples of Compliance:
  • The institution has formal procedures for students to file complaints and seek redress of grievances consistent with the requirements of this section.  The procedures protect the rights of the student and provide for a fair hearing with adequate assurance that no action will be taken against the student for filing the complaint.
  • The institution maintains adequate documentation of its handling of all formal complaints for at least six years after the final disposition of the complaint.

 

Suggested Documentation:
  • Catalogs, student handbooks, or other publications widely available to students stating complaint policy and procedures; citation of pages in the self-study.
  • Record of any complaints in previous two years.

Standards: HEA Title IV program responsibilities

(Regents Rule 4-1.4 (k))

(1)        An institution shall have a procedure in place to ensure that it is in compliance with its program responsibilities under Title IV of the HEA and shall maintain a record describing such procedure.       

(2)        An institution shall maintain a record of its compliance with its program responsibilities under Title IV of the HEA over the previous 10 years, unless the department determines that there is good cause for a shorter records retention period. This record shall include: student default rate data provided annually to the Secretary by the institution; financial or compliance audits conducted annually by the Secretary; and program reviews conducted periodically by the Secretary.  The institution shall submit information from this record of compliance to the department on a periodic basis as determined by the department.

Examples of Compliance:
  • The institution has a procedure in place to ensure its compliance with its responsibilities to participate in Title IV student aid programs.
  • The institution maintains a record describing its compliance, including student default rate data; financial or compliance audits conducted by the Secretary; and program reviews conducted by the Secretary.

 

Suggested Documentation:
  • Written procedures indicating methods of complying with Title IV responsibilities.
  • Record of compliance, including Federal audits.
  • Student default rates in most recent three years.

Standards: Teach-out agreements

(Regents Rules, §4-1.4(l))

Any teach-out agreement that an institution has entered into with another institution or institutions shall be submitted to the department for approval.  To be approved, such agreement shall:

 

(1)        be between or among institutions that are accredited or pre-accredited by a nationally recognized accrediting agency;

(2)        ensure that the teach-out institution(s) has the necessary experience, resources, and support services to provide an educational program that is of acceptable quality and reasonable similar in content, structure, and scheduling to that provided by the closed institution;

(3)        ensure that the teach-out institution(s) can provide students access to the program and services without requiring them to move or travel substantial distances.

Examples of Compliance:
  • Any teach-out agreement has been approved by the department.
  • Any teach-out agreement shall be with an accredited institution or institutions.
  • The teach-out institution has the necessary experience, resources, and support services to provide a comparable educational program.
  • The teach-out plan does not require students to move or travel substantial distances to have access to the program(s) and services.
 
Suggested Documentation:
  • None required.

Standard: Public disclosure of accreditation status

(Regents Rules, §4-1.4(m))

An institution that elects to disclose its accreditation status shall disclose such status accurately and include in its disclosure the specific academic and instructional programs covered by that status and information identifying the commissioner and the Board of Regents as its institutional accrediting agency.  Such information shall include the address and telephone number of the department.

Examples of Compliance:
  • The institution's statement of its accreditation status is accurate and up-to-date.
Suggested Documentation:
  • Published materials that cite the institution's accreditation by the commissioner and the Regents; citation of the pages in the self-study.

Previous l Attachment A, Next