The preconditions ensure that an education unit seeking NCATE accreditation for the first time has met fundamental requirements that undergird NCATE’s standards for accreditation. The eight preconditions and the documentation that must be submitted to show that the preconditions are met are outlined below.

After an education unit has established itself as a precandidate by filing an "Intent to Seek NCATE Accreditation" form, it should submit its preconditions report to the NCATE office approximately three semesters prior to its planned BOE visit (by September 15 of the previous academic year for spring visits and by February 1 of the previous calendar year for fall visits). It is very important that NCATE be notified prior to submission of the preconditions report (by August 15 for a September 15 submission and by January 1 for a February 1 submission). Documentation for Precondition #4, the conceptual framework, is reviewed by members of the Annual Report and Preconditions Audit (ARPA) Committee at its next scheduled meeting; other documentation is reviewed by NCATE staff. The committee and staff may find that (1) all of the preconditions have been met or (2) not all of the preconditions have been met. In the first case, candidacy will be recommended to the Unit Accreditation Board; in the second case, the institution will be asked to submit additional or revised documentation.

Institutions may be invited to resubmit their conceptual framework to the ARPA Committee twice, for a total of three submissions. If the third attempt does not meet the requirements, the institution is asked to wait a year before submitting its conceptual framework for consideration.

After the ARPA Committee meeting, NCATE will send the institution a preconditions report indicating whether preconditions have been met. Precondition #7 is considered met after all required program reports have been submitted. If some preconditions are not met, the report will request additional information.

Education units must be accepted into candidacy at least one semester before the scheduled visit. Candidates for accreditation must (1) have an accreditation visit within five years of the semester in which candidacy is granted by the Unit Accreditation Board and must maintain other requirements for candidacy, which include (2) filing of parts A and B of the annual report and (3) payment of the annual candidacy fee. (Institutions that delay their accreditation by more than two years beyond inception of candidacy may be required to resubmit preconditions and/or program reports if major revisions in preconditions or program standards have occurred.)

Precondition #1. The institution recognizes and identifies a professional education unit that has responsibility and authority for the preparation of teachers and other professional education personnel.

1.1 A letter from the institution’s chief executive officer that designates the unit as having primary authority and responsibility for teacher education programs.

1.2 A chart or narrative that lists all professional education programs offered by the institution (including any nontraditional/alternative programs). The chart or narrative report should depict (a) the degree or award levels for each program; (b) the administrative location for each program—for example, School of Education, Department of Music; and (c) the structure or structures through which the unit implements its oversight of all programs. If the unit’s offerings include off-campus programs, a separate chart or narrative as described above should be prepared for each location at which off-campus programs are geographically located.

1.3 An organizational chart of the institution that depicts the professional education unit and indicates the unit’s relationship to other administrative units within the college or university.

Precondition #2. A dean, director, or chair is officially designated as head of the unit and is assigned the authority and responsibility for its overall administration and operation.

2.1 The job description for the head of the professional education unit.

Precondition #3. Written policies and procedures guide the operations of the unit.

3.1 The cover page and table of contents for the documents that contain codified policies and procedures for the unit’s operations, including policies and procedures pertaining to its candidates. [If policies and procedures are located on the Internet, photocopies of appropriate web page(s) that indicate links to applicable policies and procedures may be submitted as documentation for this precondition.]

Precondition #4. The unit has a well developed conceptual framework that establishes the shared vision for a unit’s efforts in preparing educators to work in P–12 schools and provides direction for programs, courses, teaching, candidate performance, scholarship, service, and unit accountability.

4.1 The vision and mission of the institution and unit.

4.2 The unit’s philosophy, purposes, and goals.

4.3 Knowledge bases, including theories, research, the wisdom of practice, and education policies, that inform the unit’s conceptual framework.

4.4 Candidate proficiencies aligned with the expectations in professional, state, and institutional standards.

4.5 A description of the unit’s system for evaluating its operations, the quality of its offerings, the performance of candidates on proficiencies described in 4.4, and the effectiveness of its graduates.

Precondition #5. The unit has published criteria for admission to and exit from all initial teacher preparation and advanced programs and can provide summary reports of candidate performance at exit.

5.1 A photocopy of published documentation (e.g., from a catalog, student teaching handbook, application form, or web page) listing the basic requirements for entry to, retention in, and completion of professional education programs offered by the institution, including any nontraditional/alternative and off-campus programs.

5.2 A brief summary of candidate performance on assessments conducted for admission into programs and exit from them. This summary should include (a) the portion of Title II documentation related to candidate admission and completion that was prepared for the state and (b) compilation of results on the unit’s own assessments.

Precondition #6. The unit’s programs are approved by the appropriate state agency or agencies, and, in states with educator licensing examinations and required pass rates, the unit’s summary pass rate meets or exceeds the required state pass rate.

6.1 The most recent state approval letters, including or appended by a list of approved programs. If any program is not approved, the unit must provide a statement that it is not currently accepting new applicants into the non-approved program(s). For programs that are approved with qualifications or are pending approval, the unit must describe how it will bring the program(s) into compliance.

Precondition #7. If the institution is located in a non-partner state or in a partner state that requires the submission of program reports for national review through NCATE, the unit has committed to submitting program reports for each program for which NCATE has approved program standards at least one year prior to the visit.

7.1 A list of program reports that will be submitted to NCATE one year prior to the visit. For additional information, see the Handbook section, “Responding to Program Standards” and the program review section of this website.

Precondition #8. The institution is accredited, without probation or an equivalent status, by the appropriate institutional accrediting agency recognized by the U.S. Department of Education.

8.1.a. Current accreditation letter and/or report that indicates institutional accreditation^[1] status.

OR

8.1.b. Providers ineligible for institutional accreditation must submit a clean audit, a business plan, and the answers to the following questions:

1. What security measures are taken by the unit to ensure the security and integrity of student records?
2. What documentation does the unit have to demonstrate that facilities are safe, secure, and healthy?
3. What are the unit's policies that ensure the availability of information about governing board members, faculty, and administrators?
4. What are the unit's policies related to requirements for degrees, certificates, and graduation; fees and other financial obligations of students; conflicts of interest; and non-discrimination and sexual harassment?
5. Are the unit’s support services sufficiently staffed by qualified personnel?
6. What are the unit's policies related to faculty tenure, grievance, and discipline?
7. What are the policies related to academic and intellectual freedoms?

Non-university providers must also submit:

1. Clean independent audits of a full set of financial statements of the legal entity offering educator preparation programs for the three years prior to submission of the "Intent to Seek NCATE Accreditation Form." The audits should meet the standards of the American Institute of Certified Public Accountants or other appropriate accounting standards generally accepted in the U.S.
2. The legal entity’s 990 Form (for non-profits) or corporate income tax returns (for for-profits) for the past year.
3. A business plan that focuses on the unit being accredited. The business plan should include:
   • A business model that briefly describes the services to be delivered, the area to be served, the current and projected number of candidates, recruitment activities, a description of faculty, tuition costs, a budget narrative, etc.;
   • The most current approved budget;
   • Revenue and expense projections for the next two years, including funding streams, the length and percentage of funding from foundation grants, appropriated governmental funds, tuition, funds from elsewhere in the legal entity or its affiliates; costs of facility, payroll, maintenance, etc.;
   • A one to two page narrative describing revenue and expenditure projections for the next 4 years;
   • A one to two page narrative describing the relationship between the unit and the legal entity offering the educator preparation programs; and
   • If tuition based, the tuition refund policy should the educator preparation programs be discontinued.
4. Annual tax statements. The Financial Review Committee will review these statements in the fall of each year and submit a report to the UAB detailing its findings.

1. Please confirm ineligibility for institutional accreditation with NCATE staff. This documentation will be reviewed by the Annual Report and Preconditions Audit (ARPA) Committee.