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PART 602—ACCREDITATION

Subpart A—General

§602.1 Why does the Secretary recognize accrediting agencies?

§602.2 How do I know which agencies the Secretary recognizes?

§602.3 What definitions apply to this part?

(a) The following definitions are contained in the regulations for Institutional Eligibility under the 

Higher Education Act of 1965, as amended, 34 CFR part 600:

Accredited

Additional Location

Branch Campus

Correspondence course

Credit hour

Distance Education

Institution of higher education or institution means an educational institution that qualifies, or may 

qualify as an eligible institution under 34 CFR part 600

Nationally recognized accrediting agency

Preaccreditation

Religious mission

Secretary

State

Teach-out

Teach-out agreement

Teach-out plan

(b) The following definitions apply to this part:

Accreditation means the status of public recognition that an accrediting agency grants to an 

educational institution or program that meets the agency's standards and requirements.

Accrediting agency or agency means a legal entity, or that part of a legal entity, that conducts 

accrediting activities through voluntary, non-Federal peer review and makes decisions concerning the 

accreditation or preaccreditation status of institutions, programs, or both.

Act means the Higher Education Act of 1965, as amended.
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Adverse accrediting action or adverse action means the denial, withdrawal, suspension, revocation, 

or termination of accreditation or preaccreditation, or any comparable accrediting action an agency may 

take against an institution or program.

Advisory Committee means the National Advisory Committee on Institutional Quality and Integrity.

Compliance report means a written report that the Department requires an agency to file when 

that agency is found to be out of compliance to demonstrate that the agency has corrected deficiencies 

specified in a decision letter from the senior Department official or the Secretary. Compliance reports 

must be reviewed by Department staff and the Advisory Committee and approved by the senior 

Department official or, in the event of an appeal, by the Secretary.

Designated Federal Official means the Federal officer designated under section 10(f) of the Federal 

Advisory Committee Act, 5 U.S.C. Appdx. 1.

Final accrediting action means a final determination by an accrediting agency regarding the 

accreditation or preaccreditation status of an institution or program. A final accrediting action is a 

decision made by the agency, at the conclusion of any appeals process available to the institution or 

program under the agency’s due process policies and procedures. 

Institutional accrediting agency means an agency that accredits institutions of higher education.

Monitoring report means a report that an agency is required to submit to Department staff when it 

is found to be substantially compliant. The report contains documentation to demonstrate that

(1) The agency is implementing its current or corrected policies; or

(2) The agency, which is compliant in practice, has updated its policies to align with those 

compliant practices.

Program means a postsecondary educational program offered by an institution of higher education 

that leads to an academic or professional degree, certificate, or other recognized educational credential.

Programmatic accrediting agency means an agency that accredits specific educational programs, 

including those that prepare students in specific academic disciplines or for entry into a profession, 

occupation, or vocation.

Recognition means an unappealed determination by the senior Department official under §602.36, 

or a determination by the Secretary on appeal under §602.37, that an accrediting agency complies with 

the criteria for recognition listed in subpart B of this part and that the agency is effective and consistent 

in its application of those criteria. A grant of recognition to an agency as a reliable authority regarding 

the quality of education or training offered by institutions or programs it accredits remains in effect for 

the term granted except upon a determination made in accordance with subpart C of this part that the 

agency no longer complies with the subpart B criteria or that it has become ineffective in its application 

of those criteria.

Representative of the public means a person who is not—

(1) An employee, member of the governing board, owner, or shareholder of, or consultant to, an 

institution or program that either is accredited or preaccredited by the agency or has applied for 

accreditation or preaccreditation;

(2) A member of any trade association or membership organization related to, affiliated with, or 

associated with the agency; or
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(3) A spouse, parent, child, or sibling of an individual identified in paragraph (1) or (2) of this 

definition.

Scope of recognition or scope means the range of accrediting activities for which the Secretary 

recognizes an agency. The Secretary may place a limitation on the scope of an agency's recognition for 

title IV, HEA purposes. The Secretary's designation of scope defines the recognition granted according 

to—

(1) Types of degrees and certificates covered;

(2) Types of institutions and programs covered;

(3) Types of preaccreditation status covered, if any; and

(4) Coverage of accrediting activities related to distance education or correspondence courses.

Senior Department official means the official in the U.S. Department of Education designated by 

the Secretary who has, in the judgment of the Secretary, appropriate seniority and relevant subject 

matter knowledge to make independent decisions on accrediting agency recognition.

Substantial compliance means 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.

(Authority: 20 U.S.C. 1099b)

[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55426, Oct. 27, 2009]

Subpart B—The Criteria for Recognition

Basic Eligibility Requirements

§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.

(Authority: 20 U.S.C. 1099b)
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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 region 

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.

(c) The United States. 

(Authority: 20 U.S.C. 1099b)

§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.

(2) Conducted accrediting activities, including deciding whether to grant or deny accreditation or 

preaccreditation, for at least two years prior to seeking recognition. When the agency is seeking initial 

recognition and is affiliated with or is a division of an already recognized agency, the two year period 

must not apply.

(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. The Department does not consider a 

change to an agency’s geographic area of accrediting activities to be an expansion of the agency’s scope 

of recognition, but does require notification to the Department and public disclosure on the agency’s 

website of any such change.

(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 -
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(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. 

(Authority: 20 U.S.C. 1099b)

§602.13 [Reserved]

§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 contained 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 contained in paragraph (b) of this 

section or obtains a waiver of those requirements under paragraph (d) of this section;
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(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 organizations, or membership 

organization;

(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 decisionmaking 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 (a4) 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; and

(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.
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(Authority: 20 U.S.C. 1099b)

§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 and 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 -

(1) Its last full accreditation or preaccreditation review of each institution or program, including onsite evaluation team reports, the institution's or program's responses to on-site reports, periodic review 

reports, any reports of special reviews conducted by the agency between regular reviews, and a copy of 

the institution's or program's most recent self-study; and

(2) All decision letters issued by the agency regarding the accreditation and preaccreditation of any 

institution or program and any substantive changes.
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(Approved by the Office of Management and Budget under control number 1845-0003) 

(Authority: 20 U.S.C. 1099b) 

[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55426, Oct. 27, 2009]

Required Standards and Their Application

§602.16 Accreditation and preaccreditation standards.

(a) The agency must demonstrate that it has standards for accreditation, and preaccreditation, if 

offered, that are sufficiently rigorous to ensure that the agency is a reliable authority regarding the 

quality of the education or training provided by the institutions or programs it accredits. The agency 

meets this requirement if -

(1) The agency’s accreditation standards clearly define its expectations for the institutions or 

programs it accredits in the following areas:

(i) Success with respect to student achievement in relation to the institution's mission, which may 

include different standards for different institutions or programs, as established by the institution, 

including, as appropriate, consideration of State licensing examinations, course completion, and job 

placement rates.

(ii) Curricula. 

(iii) Faculty. 

(iv) Facilities, equipment, and supplies. 

(v) Fiscal and administrative capacity as appropriate to the specified scale of operations. 

(vi) Student support services. 

(vii) Recruiting and admissions practices, academic calendars, catalogs, publications, grading, and 

advertising. 

(viii) Measures of program length and the objectives of the degrees or credentials offered. 

(ix) Record of student complaints received by, or available to, the agency. 

(x) Record of compliance with the institution's program responsibilities under title IV of the Act, 

based on the most recent student loan default rate data provided by the Secretary, the results of 

financial or compliance audits, program reviews, and any other information that the Secretary may 

provide to the agency; and 

(2) The agency's preaccreditation standards, if offered

(i) Are appropriately related to the agency's accreditation standards; and 

(ii) Do not permit the institution or program to hold preaccreditation status for more than five 

years before a final accreditation decision is made.
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(b) Agencies are not required to apply the standards described in paragraph (a)(1)(x) of this section 

to institutions that do not participate in title IV, HEA programs. Under such circumstance, the agency’s 

grant of accreditation or preaccreditation must specify that the grant, by request of the institution, does 

not include participation by the institution in title IV, HEA programs. 

(c) If the agency only accredits programs and does not serve as an institutional accrediting agency 

for any of those programs, its accreditation standards must address the areas in paragraph (a)(1) of this 

section in terms of the type and level of the program rather than in terms of the institution. 

(d)(1) If the agency has or seeks to include within its scope of recognition the evaluation of the 

quality of institutions or programs offering distance education, correspondence courses, or direct 

assessment education, the agency's standards must effectively address the quality of an institution's 

distance education, correspondence courses, or direct assessment education in the areas identified in 

paragraph (a)(1) of this section. 

(2) The agency is not required to have separate standards, procedures, or policies for the 

evaluation of distance education or correspondence courses.

(e) If none of the institutions an agency accredits participates in any title IV, HEA program, or if the 

agency only accredits programs within institutions that are accredited by a nationally recognized 

institutional accrediting agency, the agency is not required to have the accreditation standards 

described in paragraphs (a)(1)(viii) and (a)(1)(x) of this section. 

(f) An agency that has established and applies the standards in paragraph (a) of this section may 

establish any additional accreditation standards it deems appropriate. 

(g) Nothing in paragraph (a) of this section restricts-

(1) An accrediting agency from setting, with the involvement of its members, and applying 

accreditation standards for or to institutions or programs that seek review by the agency; 

(2) An institution from developing and using institutional standards to show its success with 

respect to student achievement, which achievement may be considered as part of any accreditation 

review;

(3) Agencies from having separate standards regarding an institution’s process for approving curriculum

in order to enable programs to more effectively meet the recommendations of:

(i) Industry advisory boards that include employers who hire program graduates;

(ii) Widely recognized industry standards and organizations;

(iii) Credentialing or other occupational registration or licensure; or

(iv) Employers in a given field or occupation in making hiring decisions.

(4) Agencies from having separate faculty standards for instructors teaching courses within a 

dual or concurrent enrollment program, as defined in 20 U.S.C. 7801, or career and technical education 

courses, as long as the instructors, in the agency’s judgment, are qualified by education or work 

experience for that role.
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(Approved by the Office of Management and Budget under control number 1845-0003) 

(Authority: 20 U.S.C. 1099b) 

[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55427, Oct. 27, 2009]

§602.17 Application of standards in reaching an accrediting decision.

The agency must have effective mechanisms for evaluating an institution's or program's compliance 

with the agency's standards before reaching a decision to accredit or preaccredit the institution or 

program. The agency meets this requirement if the agency demonstrates that it -

(a) Evaluates whether an institution or program—

(1) Maintains clearly specified educational objectives that are consistent with its mission and 

appropriate in light of the degrees or certificates awarded; 

(2) Is successful in achieving its stated objectives at both the institutional and program levels; and 

(3) Maintains requirements that at least conform to commonly accepted academic standards, or 

the equivalent, including pilot programs in 602.18(b).

(b) Requires the institution or program to engage in a self-study process that assesses the 

institution’s or program’s educational quality and success in meeting its mission and objectives, 

highlights opportunities for improvement, and includes a plan for making those improvements.

(c) Conducts at least one on-site review of the institution or program during which it obtains 

sufficient information to determine if the institution or program complies with the agency's standards; 

(d) Allows the institution or program the opportunity to respond in writing to the report of the onsite review; 

(e) Conducts its own analysis of the self-study and supporting documentation furnished by the 

institution or program, the report of the on-site review, the institution's or program's response to the 

report, and any other information substantiated by the agency from other sources to determine 

whether the institution or program complies with the agency's standards; 

(f) Provides the institution or program with a detailed written report that assesses the institution's 

or program's compliance with the agency's standards, including areas needing improvement, and the 

institution's or program's performance with respect to student achievement.

(g) Requires institutions to have processes in place through which the institution establishes that 

the student who registers in any course offered via distance education or correspondence is the same 

student who academically engages in the course or program. ; 

(h) Makes clear in writing that institutions must use processes that protect student privacy and 

notify students of any projected additional student charges associated with the verification of student 

identity at the time of registration or enrollment. 
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(Authority: 20 U.S.C. 1099b) [64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55427, Oct. 27, 2009]

§602.18 Ensuring consistency in decision-making.

The agency must consistently apply and enforce standards that respect the stated mission of the 

institution, including religious mission, and that ensure that the education or training offered by an 

institution or program, including any offered through distance education, correspondence courses, or 

direct assessment education is of sufficient quality to achieve its stated objective for the duration of any 

accreditation or preaccreditation period.

(a) The agency meets this requirement if the agency -

(1) Has written specification of the requirements for accreditation and preaccreditation that 

include clear standards for an institution or program to be accredited;

(2) Has effective controls against the inconsistent application of the agency's standards;

(3) Bases decisions regarding accreditation and preaccreditation on the agency's published 

standards;

(4) Has a reasonable basis for determining that the information the agency relies on for making 

accrediting decisions is accurate; 

(5) Provides the institution or program with a detailed written report that clearly identifies any 

deficiencies in the institution's or program's compliance with the agency's standards; and 

 (6) Publishes any policies for retroactive application of an accreditation decision, which must not 

provide for an effective date that predates either –

(i) An earlier denial by the agency of accreditation or preaccreditation to the institution or 

program; or 

(ii) The agency’s formal approval of the institution or program for consideration in the agency’s 

accreditation or preaccreditation process.

(b) Nothing in this part prohibits an agency, when special circumstances exist, to include 

innovative program delivery approaches or, when an undue hardship on students occurs, from applying

equivalent written standards, policies, and procedures that provide alternative means of satisfying one 

or more of the requirements set forth in 34 CFR 602.16, 602.17, 602.19, 602.20, 602.22 and 602.24, as 

compared with written standards, policies, and procedures the agency ordinarily applies, if-

(1) The alternative standards, policies, and procedures, and the selection of institutions or 

programs to which they will be applied, are approved by the agency’s decision-making body and 

otherwise meet the intent of the agency’s expectations and requirements; 

(2) The agency sets and applies equivalent goals and metrics for assessing the performance of 

institutions or programs;
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(3) The agency’s process for establishing and applying the alternative standards, policies, 

procedures, is set forth in its published accreditation manuals; 

(4) The agency requires institutions or programs seeking the application of alternative standards 

to demonstrate the need for an alternative assessment approach, that students will receive equivalent 

benefit, and that students will not be harmed through such application; and 

(c) Nothing in this part prohibits an agency from permitting the institution or program to be out 

of compliance with one or more of its standards, policies and procedures adopted in satisfaction of 34 

CFR 602.16, 602.17, 602.19, 602.20, 602.22, and 602.24 for a period of time, as determined by the 

agency, not to exceed three years unless the agency determines there is good cause to extend the 

period of time, and if –

(1) The agency and the institution or program can show that the circumstances requiring the 

period of non-compliance are beyond the institution’s or program’s control, such as –

(i) A natural disaster or other catastrophic event significantly impacting an institution’s or 

program’s operations;

(ii) Accepting students from another institution that is implementing a teach-out or closing;

(iii) Significant and documented local or national economic changes, such as an economic 

recession or closure of a large local employer;

(iv) Changes relating to State licensure requirements;

(v) The normal application of the agency’s standards creates an undue hardship on students; or 

(vi) Instructors who do not meet the agency’s typical faculty standards, but who are otherwise 

qualified by education or work experience, to teach courses within a dual or concurrent enrollment 

program, as defined in 20 U.S.C. 7801, or career and technical education courses.

(2) The grant of the extended period of non-compliance is approved by the agency’s decisionmaking body;

(3) The agency projects that the institution or program has the resources necessary to achieve 

compliance with the standard, policy, or procedure postponed within the time allotted; and

(4) The institution or program demonstrates to the satisfaction of the agency that the extended 

period of non-compliance will not –

(i) Contribute to the cost of the program to the student without the student’s consent;

(ii) Create and undue hardship or harm on students; or

(iii) Compromise the program’s academic quality.

(Authority: 20 U.S.C. 1099b) 

[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55427, Oct. 27, 2009]
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§602.19 Monitoring and reevaluation of accredited institutions and programs.

(a) The agency must reevaluate, at regularly established intervals, the institutions or programs it 

has accredited or preaccredited. 

(b) The agency must demonstrate it has, and effectively applies, monitoring and evaluation 

approaches that enable the agency to identify problems with an institution's or program's continued 

compliance with agency standards and that take into account institutional or program strengths and 

stability. These approaches must include periodic reports, and collection and analysis of key data and 

indicators, identified by the agency, including, but not limited to, fiscal information and measures of 

student achievement, consistent with the provisions of §602.16(f). This provision does not require 

institutions or programs to provide annual reports on each specific accreditation criterion.

(c) Each agency must monitor overall growth of the institutions or programs it accredits and, at 

least annually, collect headcount enrollment data from those institutions or programs. 

(d) Institutional accrediting agencies must monitor the growth of programs at institutions 

experiencing significant enrollment growth, as reasonably defined by the agency. 

(e) Any agency that has notified the Secretary of a change in its scope in accordance with 602.27(a)

must monitor the headcount enrollment of each institution it has accredited that offers distance 

education or correspondence courses. The Secretary will require a review, at the next meeting of the 

National Advisory Committee on Institutional Quality and Integrity, of any change in scope undertaken 

by an agency if the enrollment of an institution that offers distance education or correspondence 

courses that is accredited by such agency increases by 50 percent or more within any one institutional 

fiscal year. If any such institution has experienced an increase in headcount enrollment of 50 percent or 

more within one institutional fiscal year, the agency must report that information to the Secretary 

within 30 days of acquiring such data. 

(Authority: 20 U.S.C. 1099b) 

[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55427, Oct. 27, 2009]

§602.20 Enforcement of standards.

(a) If the agency’s review of an institution or program under any standard indicates that the 

institution or program is not in compliance with that standard, the agency must --

(1 Follow its written policy for notifying the institution or program of the finding of noncompliance;

(2) Provide the institution or program with a written timeline for coming into compliance that is 

reasonable, as determined by the agency’s decision-making body, based on the nature of the finding,

the stated mission, and educational objectives of the institution or program. The timeline may include 

intermediate checkpoints on the way to full compliance and must not exceed 150 percent of the -

(i) Length of the program in the case of a programmatic accrediting agency, or 
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(ii) Length of the longest program at the institution in the case of an institutional accrediting 

agency;

(3) Follow its written policies and procedures for granting a good cause extension that may exceed

the standard timeframe described in paragraph (a)(2) when such an extension is determined by the 

agency to be warranted; 

(4) Have a written policy to evaluate and approve or disapprove monitoring or compliance reports 

it requires, provide ongoing monitoring, if warranted, and evaluate an institution’s or program’s 

progress in resolving the finding of noncompliance;

(b) Notwithstanding paragraph (a), the agency must have and follow its policy for taking an 

immediate adverse action when the agency has determined such action is warranted.

 (c) If the institution or program does not bring itself into compliance within the period specified in 

paragraph (a), the agency must take adverse action against the institution or program, but may 

maintain the institution’s or program’s accreditation or preaccreditation until the institution or program 

has had reasonable time to complete the activities in its teach-out agreement to assist students in 

transferring or completing their programs.

(d) An agency that accredits institutions may limit the adverse or other action to particular 

programs that are offered by the institution or to particular additional locations of an institution, 

without necessarily taking action against the entire institution and all of its programs, provided the 

noncompliance was limited to that particular program or location. 

(e) All adverse actions taken under this subpart are subject to the arbitration requirements in 20 

U.S.C. 1099b(e).

(f) An agency is not responsible for enforcing requirements in 34 CFR 668.14, 668.15, 668.16, 

668.41, or 668.46, but if, in the course of an agency’s work, it identifies instances or potential instances 

of non-compliance with any of these requirements, it must notify the Department.

(g) The Secretary may not require an agency to take action against an institution or program that 

does not participate in any title IV, HEA or other Federal program as a result of a requirement specified 

in this Part.

(Authority: 20 U.S.C. 1099b)

§602.21 Review of standards.

(a) The agency must maintain a comprehensive systematic program of review that involves all 

relevant constituencies and that demonstrates that its standards are adequate to evaluate the quality of 

the education or training provided by the institutions and programs it accredits and relevant to the 

educational or training needs of students. 

(b) Before finalizing any changes to its standards, the agency must -

(1) Provide notice to all of the agency's relevant constituencies, and other parties who have made 

their interest known to the agency, of the changes the agency proposes to make; 
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(2) Give the constituencies and other interested parties adequate opportunity to comment on the 

proposed changes; and

(3) Take into account and be responsive to any comments on the proposed changes submitted 

timely by the relevant constituencies and by other interested parties.

(Authority: 20 U.S.C. 1099b)

Required Operating Policies and Procedures

§602.22 Substantive changes and other reporting requirements.

(a) If the agency accredits institutions, it must maintain adequate substantive change policies that 

ensure that any substantive change to the institution’s or program's mission after the agency has 

accredited or preaccredited the institution does not adversely affect the capacity of the institution to 

continue to meet the agency's standards. The agency meets this requirement if -

(1) The agency requires the institution to obtain the agency's approval of the substantive change 

before the agency includes the change in the scope of accreditation or preaccreditation it previously 

granted to the institution; and

(2) The agency's definition of substantive change covers high-impact, high-risk changes, including

at least the following - 

(i) Any substantial change in the established mission or objectives of the institution or its programs.

(ii) Any change in the legal status, form of control, or ownership of the institution.

(iii) The addition of programs that represent a significant departure from the existing offerings or 

educational programs, or method of delivery, from those that were offered when the agency last 

evaluated the institution.

(iv) The addition of graduate programs by an institution that previously offered only undergraduate 

programs or certificates.

(v) A change in the way an institution measures student progress, including whether the institution 

measures progress in clock hours or credit-hours, semesters, trimesters, or quarters; or uses time-based 

or non-time based methods.

(vi) A substantial increase in the number of clock hours or credit hours awarded, or an increase in 

the level of credential awarded, for successful completion of one or more programs.

(vii)The acquisition of any other institution or any program or location of another institution.

(viii) The addition of a permanent location at a site at which the institution is conducting a teachout for students of another institution that has ceased operating before all students have completed 

their program of study.
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(ix) The addition of each new location or branch campus, except as provided in paragraph (c) of this 

section. The agency’s review must include assessment of the institution’s fiscal and administrative 

capability to operate the location or branch campus, the regular evaluation of locations, and verification 

of the following:

(A) Academic control is clearly identified by the institution; 

(B) The institution has adequate faculty, facilities, resources, and academic and student support 

systems in place; 

(C) The institution is financially stable; and 

(D) The institution had engaged in long-range planning for expansion.

(x) Entering into a written arrangement under 34 CFR 668.5 under which an institution or 

organization not certified to participate in the title IV, HEA programs offers more than 25 and up to 50 

percent of one or more of the accredited institution's educational programs; and

(3)(i)For substantive changes under only paragraphs (a)(2), (iii), (v), (vi), (viii), or (x), and additions 

of locations that are not branch campuses, the agency’s decision making body may designate agency 

senior staff to approve or disapprove the request in a timely, fair, and equitable manner; and

(ii) In the case of a request under paragraph (a)(2)(x), the agency must make a final decision within 

90 days of receipt of a materially complete request, unless the agency or its staff determine significant 

circumstances related to the substantive change require a review by the agency’s decision making body

to occur within 180 days.

(b) Institutions that have been placed on probation or equivalent status, have been subject to 

negative action by the agency over the prior three academic years, or are under a provisional 

certification, as provided in 34 CFR 668.13, must receive prior approval for the following additional 

substantive changes (all other institutions must report these changes within 30 days to their accrediting 

agency):

(1) A change in an existing program’s method of delivery; 

(2) A change of 25 percent or more of a program since the agency’s most recent accreditation

review;

(3) The development of customized pathways or abbreviated or modified courses or programs to –

(i) Accommodate and recognize a student’s’ existing knowledge, such as knowledge attained 

through employment or military service; and 

(ii) Close competency gaps between demonstrated prior knowledge or competency and the full 

requirements of a particular course or program.
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(4) Entering into a written arrangement under 34 CFR 668.5 under which an institution or 

organization not certified to participate in the title IV, HEA programs offers up to 25 percent of one or 

more of the accredited institution's educational programs. 

(c) Institutions that have received agency approval for the addition of a first additional location or 

branch campus as provided in paragraph (a)(2)(ix) of this section, that have not been placed on 

probation or equivalent status or been subject to a negative action by the agency over the prior three 

academic years, and that are under a provisional certification, as provided in 34 CFR 668.13, need not 

apply for agency approval of subsequent additions of locations and branch campuses, and may report 

these changes to the accrediting agency within 30 days, if the institution has met criteria established by 

the agency indicating sufficient capacity to add additional locations or branch campuses without 

individual prior approvals, including at a minimum satisfactory evidence of a system to ensure quality 

across a distributed enterprise that includes—

(1) Clearly identified academic control;

(2) Regular evaluation of the locations;

(3) Adequate faculty, facilities, resources, and academic and student support systems;

(4) Financial stability; and

(5) Long-range planning for expansion.

(d) The agency must have an effective mechanism for conducting, at reasonable intervals, visits to 

a representative sample of additional locations approved under paragraphs (a)(2)(viii) and (a)(2)(ix) of 

this section. 

(e) The agency may determine the procedures it uses to grant prior approval of the substantive 

change. However, these procedures must specify an effective date, on which the change is included in 

the program's or institution's accreditation, and that does not pre-date either an earlier agency denial of 

the substantive change, or the agency’s formal approval of the substantive change for consideration by 

the agency for inclusion in the program’s or institution’s accreditation or preaccreditation. An agency 

may designate the date of a change in ownership as the effective date of its approval of that substantive 

change if the accreditation decision is made within 30 days of the change in ownership. Except as 

provided in paragraphs (d) and (f) of this section, these procedures may, but need not, require a visit by 

the agency.

(f) If the agency's accreditation of an institution enables the institution to seek eligibility to 

participate in title IV, HEA programs, the agency's procedures for the approval of an additional location 

that is not a branch campus where at least 50 percent of an educational program is offered must -

(1)Conduct a visit, within six months, to each additional location the institution establishes, if the 

institution – 

(i) Has a total of three or fewer additional locations; 

(ii) Has not demonstrated, to the agency's satisfaction, that the additional location is meeting all of 

the agency’s standards that apply to that additional location; or 
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(iii) Has been placed on warning, probation, or show cause by the agency or is subject to some 

limitation by the agency on its accreditation or preaccreditation status; 

(2) A mechanism for conducting, at reasonable intervals, visits to a representative sample of 

additional locations of institutions that operate more than three additional locations; and 

(3) A mechanism, which may, at the agency's discretion, include visits to additional locations, for 

ensuring that accredited and preaccredited institutions that experience rapid growth in the number of 

additional locations maintain educational quality. 

(g) The purpose of the visits described in paragraph (f) of this section is to verify that the additional 

location has the personnel, facilities, and resources it claimed to have in its application to the agency for 

approval of the additional location. 

(h) The agency's substantive change policy must define when the changes made or proposed by an 

institution are or would be sufficiently extensive to require the agency to conduct a new comprehensive 

evaluation of that institution.

(Authority: 20 U.S.C. 1099b) 

[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55428, Oct. 27, 2009]

§602.23 Operating procedures all agencies must have.

(a) The agency must maintain and make available to the public written materials describing -

(1) Each type of accreditation and preaccreditation it grants; 

(2) The procedures that institutions or programs must follow in applying for accreditation, 

preaccreditation, or substantive changes and the sequencing of those steps relative to any applications 

or decisions required by States or the Department relative to the agency’s preaccreditation, 

accreditation or substantive change decisions; 

(3) The standards and procedures it uses to determine whether to grant, reaffirm, reinstate, 

restrict, deny, revoke, terminate, or take any other action related to each type of accreditation and 

preaccreditation that the agency grants; 

(4) The institutions and programs that the agency currently accredits or preaccredits and, for each 

institution and program, the year the agency will next review or reconsider it for accreditation or 

preaccreditation; and 

(5) A list of the names, academic and professional qualifications, and relevant employment and 

organizational affiliations of -

(i) The members of the agency's policy and decision-making bodies; and 

(ii) The agency's principal administrative staff. 
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(b) In providing public notice that an institution or program subject to its jurisdiction is being 

considered for accreditation or preaccreditation, the agency must provide an opportunity for third-party 

comment concerning the institution's or program's qualifications for accreditation or preaccreditation. 

At the agency's discretion, third-party comment may be received either in writing or at a public hearing, 

or both. 

(c) The accrediting agency must—

(1) Review in a timely, fair, and equitable manner any complaint it receives against an accredited 

institution or program that is related to the agency's standards or procedures. The agency may not 

complete its review and make a decision regarding a complaint unless, in accordance with published 

procedures, it ensures that the institution or program has sufficient opportunity to provide a response 

to the complaint; 

(2) Take follow-up action, as necessary, including enforcement action, if necessary, based on the 

results of its review; and 

(3) Review in a timely, fair, and equitable manner, and apply unbiased judgment to, any complaints 

against itself and take follow-up action, as appropriate, based on the results of its review. 

(d) If an institution or program elects to make a public disclosure of its accreditation or 

preaccreditation status, the agency must ensure that the institution or program discloses that status 

accurately, including the specific academic or instructional programs covered by that status and the 

name and contact information for the agency. 

(e) The accrediting agency must provide for the public correction of incorrect or misleading 

information an accredited or preaccredited institution or program releases about -

(1) The accreditation or preaccreditation status of the institution or program; 

(2) The contents of reports of on-site reviews; and 

(3) The agency's accrediting or preaccrediting actions with respect to the institution or program. 

(f)(1) If preaccreditation is offered --

(i) The agency’s preaccreditation policies limit the status to institutions or programs that the 

agency has determined are likely to succeed in obtaining accreditation. 

(ii) The agency must require all preaccredited institutions to have a teach-out plan, which must 

ensure students completing the teach-out would meet curricular requirements for professional 

licensure or certification, if any, and which includes a list of academic programs offered by the 

institution, and the names of other institutions that offer similar programs and that could potentially 

enter into a teach-out agreement with the institution. 

(iii) An agency that denies accreditation to an institution it has preaccredited may maintain the 

institution’s preaccreditation for currently enrolled students until the institution has had a reasonable 

time to complete the activities in its teach-out plan to assist students in transferring or completing their 

programs, but for no more than 120 days unless approved by the agency for good cause; and

(iv) The agency may not move an accredited institution or program from accredited to 

preaccredited status unless, following the loss of accreditation, the institution or program applies for 
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initial accreditation and is awarded preaccreditation status under the new application. Institutions that 

participated in the title IV, HEA programs before the loss of accreditation are subject to the 

requirements of 34 CFR 600.11(c).

(2) All credits and degrees earned and issued by an institution or program holding 

preaccreditation from a nationally recognized agency are considered by the Secretary to be from an 

accredited institution or program.

(g) The agency may establish any additional operating procedures it deems appropriate. At the 

agency's discretion, these may include unannounced inspections. 

(Approved by the Office of Management and Budget under control number 1845-0003) 

(Authority: 20 U.S.C. 1099b) 

[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55428, Oct. 27, 2009]

§602.24 Additional procedures certain institutional agencies must have.

If the agency is an institutional accrediting agency and its accreditation or preaccreditation enables 

those institutions to obtain eligibility to participate in title IV, HEA programs, the agency must 

demonstrate that it has established and uses all of the following procedures: 

(a) Branch campus. The agency must require the institution to notify the agency if it plans to 

establish a branch campus and to submit a business plan for the branch campus that describes—

(1) The educational program to be offered at the branch campus;

(2) The projected revenues and expenditures and cash flow at the branch campus.

(b) Site visits. The agency must undertake a site visit to a new branch campus or following a change 

of ownership as soon as practicable, but no later than six months after the establishment of that campus

or the change of ownership. 

(c) Teach-out plans and agreements.

(1) The agency must require an institution it accredits to submit a teach-out plan as defined in 34 

CFR 600.2 to the agency for approval upon the occurrence of any of the following events: 

(i) For a non-profit institution, the Secretary notifies the agency of a determination by the 

institution’s independent auditor expressing doubt with the institution’s ability to operate as a going 

concern or indicating an adverse opinion or a finding of material weakness related to financial stability;

(ii) For a proprietary institution, the Secretary notifies the agency that the institution has a 

composite score of less than 1.0 as calculated under 34 CFR 668.172;

(iii) The agency acts to place the institution on probation or equivalent status; or
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(iv) The Secretary notifies the agency that the institution is participating in title IV, HEA programs 

under a provisional program participation agreement and the Secretary has required a teach-out plan as 

a condition of participation.

(2) The agency must require an institution it accredits or preaccredits to submit a teach-out plan

and, if possible, teach-out agreement as defined in 34 CFR 600.2 to the agency for approval upon the 

occurrence of any of the following events:

(i) The Secretary notifies the agency that it has placed the institution on the reimbursement 

payment method under 34 CFR 668.162(c) or the heightened cash monitoring payment method 

requiring the Secretary’s review of the institution’s supporting documentation under 34 CFR 

668.162(d)(2); 

(ii) The Secretary notifies the agency that the Secretary has initiated an emergency action against 

an institution, in accordance with section 487(c)(1)(G) of the HEA, or an action to limit, suspend, or 

terminate an institution participating in any title IV, HEA program, in accordance with section 

487(c)(1)(F) of the HEA;

(iii) The agency acts to withdraw, terminate, or suspend the accreditation or preaccreditation of 

the institution;

(iv) The institution notifies the agency that it intends to cease operations entirely or close a 

location that provides one hundred percent of at least one program, including if the location is being 

moved and is considered by the Secretary to be a closed school; or

(v) A State licensing or authorizing agency notifies the agency that an institution's license or legal 

authorization to provide an educational program has been or will be revoked. 

(3) The agency must evaluate the teach-out plan to ensure it includes a list of academic programs 

offered by the institution, and the names of other institutions that offer similar programs and that could 

potentially enter into a teach-out agreement with the institution.

(4) If the agency approves a teach-out plan that includes a program or institution that is accredited 

by another recognized accrediting agency, it must notify that accrediting agency of its approval. 

(5) The agency may require an institution it accredits or preaccredits to enter into a teach-out 

agreement as part of its teach-out plan. 

(6) The agency must require the closing institution to include in its teach-out agreement–

(i) A complete list of students currently enrolled in each program at the institution and the 

program requirements each student has completed;

(ii) A plan to provide all potentially eligible students with information about how to obtain a closed 

school discharge and, if applicable, information on State refund policies;

(iii) A record retention plan to be provided to all enrolled students that delineates the final 

disposition of teach-out records (e.g., student transcripts, billing, financial aid records);

(iv) Information on the number and types of credits the teach-out institution is willing to accept; 

and
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(v) A clear statement to students of the tuition and fees of the educational program at the teachout institution.

(7) The agency must require an institution it accredits or preaccredits that enters into a teach-out 

agreement, either on its own or at the request of the agency, to submit that teach-out agreement for 

approval. The agency may approve the teach-out agreement only if the agreement meets the 

requirements of 34 CFR 600.2 and this section, is consistent with applicable standards and regulations, 

and provides for the equitable treatment of students being served by ensuring that the teach-out 

institution-

(i) Has the necessary experience, resources, and support services to provide an educational 

program that is of acceptable quality and reasonably similar in content, delivery modality, and 

scheduling to that provided by the institution that is ceasing operations either entirely or at one of its 

locations; however, while an option via an alternate delivery modality may be made available to 

students, such an option is not sufficient unless an option via the same delivery modality as the original 

educational program is also provided; 

(ii) Has the capacity to carry out its mission, and meet all obligations to existing students; and

(iii) Demonstrates that it can provide students access to the program and services—

(A) Without requiring them to move or travel for substantial distances or durations and

(B) That it will provide students with information about additional charges, if any. 

(8) The agency must not permit an institution to serve as a teach-out institution under the 

following conditions:

(i) The institution is subject to the conditions in paragraphs (c)(1) or (c)(2); or

(ii) The institution is under investigation related to academic quality, misrepresentation, fraud, or 

other severe matters by a law enforcement agency.

(9) The agency is permitted to waive requirements regarding the percentage of credits which must 

be earned by a student at the institution awarding the educational credential if the student is 

completing his or her program through a written teach-out agreement.

(10) The agency must require the institution to provide copies of all notifications from the 

institution related to the institution’s closure or to teach-out options to ensure the information 

accurately represents students’ ability to transfer credits and may require corrections.

(d) Closed institution. If an institution the agency accredits or preaccredits closes without a teachout plan or agreement, the agency must work with the Department and the appropriate State agency, to 

the extent feasible, to assist students in finding reasonable opportunities to complete their education 

without additional charges. 

(e) Transfer of credit policies. The accrediting agency must confirm, as part of its review for initial 

accreditation or preaccreditation, or renewal of accreditation, that the institution has transfer of credit 

policies that-
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(1) Are publicly disclosed in accordance with §668.43(a)(11); and

(2) Include a statement of the criteria established by the institution regarding the transfer of credit 

earned at another institution of higher education.

(f) Agency designations. In its accrediting practice, the agency must -

(1) Adopt and apply the definitions of “branch campus” and “additional location” in 34 CFR 600.2; 

(2) On the Secretary’s request, conform its designations of an institution’s branch campuses and 

additional locations with the Secretary’s if it learns its designations diverge; and

(3) Ensure that it does not accredit or preaccredit an institution comprising fewer than all of the 

programs, branch campuses and locations of an institution as certified for title IV participation by the 

Secretary, except with notice to and permission from the Secretary.

(Approved by the Office of Management and Budget under control number 1845-0003) 

(Authority: 20 U.S.C. 1099b) 

[ 64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55428, Oct. 27, 2009; 75 FR 66947, Oct. 29, 2010]

§602.25 Due process.

The agency must demonstrate that the procedures it uses throughout the accrediting process satisfy 

due process. The agency meets this requirement if the agency does the following: 

(a) Provides adequate written specification of its requirements, including clear standards, for an 

institution or program to be accredited or preaccredited. 

(b) Uses procedures that afford an institution or program a reasonable period of time to comply 

with the agency's requests for information and documents. 

(c) Provides written specification of any deficiencies identified at the institution or program 

examined. 

(d) Provides sufficient opportunity for a written response by an institution or program regarding 

any deficiencies identified by the agency, to be considered by the agency within a timeframe 

determined by the agency, and before any adverse action is taken. 

(e) Notifies the institution or program in writing of any adverse accrediting action or an action to 

place the institution or program on probation or show cause. The notice describes the basis for the 

action. 

(f) Provides an opportunity, upon written request of an institution or program, for the institution or 

program to appeal any adverse action prior to the action becoming final. 

(1) The appeal must take place at a hearing before an appeals panel that— -
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(i) May not include current members of the agency's decision-making body that took the initial 

adverse action; 

(ii) Is subject to a conflict of interest policy; 

(iii) Does not serve only an advisory or procedural role, and has and uses the authority to make the 

following decisions: to affirm, amend, or remand adverse actions of the original decision-making body; 

and 

(iv) Affirms, amends, or remands the adverse action. A decision to affirm, or amend the adverse 

action is implemented by the appeals panel or by the original decision-making body, at the agency's 

option; however, in the event of a decision to remand the adverse action to the original decision-making 

body for further consideration, the appeals panel must explain the basis for a decision that differs from 

that of the original decision-making body and the original decision-making body in a remand must act in 

a manner consistent with the appeals panel's decisions or instructions. 

(2) The agency must recognize the right of the institution or program to employ counsel to 

represent the institution or program during its appeal, including to make any presentation that the 

agency permits the institution or program to make on its own during the appeal. 

(g) The agency notifies the institution or program in writing of the result of its appeal and the basis 

for that result. 

(h)(1) The agency must provide for a process, in accordance with written procedures, through 

which an institution or program may, before the agency reaches a final adverse action decision, seek 

review of new financial information if all of the following conditions are met: 

(i) The financial information was unavailable to the institution or program until after the decision 

subject to appeal was made. 

(ii) The financial information is significant and bears materially on the financial deficiencies 

identified by the agency. The criteria of significance and materiality are determined by the agency. 

(iii) The only remaining deficiency cited by the agency in support of a final adverse action decision 

is the institution's or program's failure to meet an agency standard pertaining to finances. 

(2) An institution or program may seek the review of new financial information described in 

paragraph (h)(1) of this section only once and any determination by the agency made with respect to 

that review does not provide a basis for an appeal. 

(Authority: 20 U.S.C. 1099b) 

[74 FR 55429, Oct. 27, 2009]

§602.26 Notification of accrediting decisions.

The agency must demonstrate that it has established and follows written procedures requiring it to 

provide written notice of its accrediting decisions to the Secretary, the appropriate State licensing or 

authorizing agency, the appropriate accrediting agencies, and the public. The agency meets this 

requirement if the agency, following its written procedures—
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...

(c) Provides written notice to the public of the decisions listed in paragraphs (b)(1), (b)(2), and 

(b)(3) of this section within one business day of its notice to the institution or program; 

(d) For any decision listed in paragraph (b)(2) of this section, makes available to the Secretary, the 

appropriate State licensing or authorizing agency, and the public, no later than 60 days after the 

decision, a brief statement summarizing the reasons for the agency's decision and the official comments 

that the affected institution or program may wish to make with regard to that decision, or evidence that 

the affected institution has been offered the opportunity to provide official comment. 

(e) Notifies the Secretary, the appropriate State licensing or authorizing agency, the appropriate 

accrediting agencies, and, upon request, the public if an accredited or preaccredited institution or 

program -

(1) Decides to withdraw voluntarily from accreditation or preaccreditation, within 10 business days 

of receiving notification from the institution or program that it is withdrawing voluntarily from 

accreditation or preaccreditation; or 

(2) Lets its accreditation or preaccreditation lapse, within 10 business days of the date on which 

accreditation or preaccreditation lapses. 

(Approved by the Office of Management and Budget under control number 1845-0003) 

(Authority: 20 U.S.C. 1099b) 

[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55429, Oct. 27, 2009]

§602.27 Other information an agency must provide the Department.

(a) The agency must submit to the Department—

(1) A list, updated annually, of its accredited and preaccredited institutions and programs, which 

may be provided electronically; 

(2) A summary of the agency's major accrediting activities during the previous year (an annual data 

summary), if requested by the Secretary to carry out the Secretary's responsibilities related to this part; 

(3) Any proposed change in the agency's policies, procedures, or accreditation or preaccreditation 

standards that might alter its -

(i) Scope of recognition, except as provided in paragraph (a)(4) of this section; or 

(ii) Compliance with the criteria for recognition; 

(4) Notification that the agency has expanded its scope of recognition to include distance 

education or correspondence courses as provided in section 496(a)(4)(B)(i)(I) of the HEA. Such an 

expansion of scope is effective on the date the Department receives the notification; 
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(5) The name of any institution or program it accredits that the agency has reason to believe is 

failing to meet its title IV, HEA program responsibilities or is engaged in fraud or abuse, along with the 

agency's reasons for concern about the institution or program; and

(6) If the Secretary requests, information that may bear upon an accredited or preaccredited 

institution's compliance with its title IV, HEA program responsibilities, including the eligibility of the 

institution or program to participate in title IV, HEA programs. 

(b) If an agency has a policy regarding notification to an institution or program of contact with the 

Department in accordance with paragraph (a)(5) or (a)(6) of this section, it must provide for a case-bycase review of the circumstances surrounding the contact, and the need for the confidentiality of that 

contact. When the Department determines a compelling need for confidentiality the agency must 

consider that contact confidential upon specific request of the Department. 

(Authority: 20 U.S.C. 1099b) 

[74 FR 55430, Oct. 27, 2009]

§602.28 Regard for decisions of States and other accrediting agencies.

...

(Approved by the Office of Management and Budget under control number 1845-0003) 

(Authority: 20 U.S.C. 1099b)

Subpart C—The Recognition Process

SOURCE: 74 FR 55430, Oct. 27, 2009, unless otherwise noted.

Application and Review by Department Staff

§602.30 [Reserved]

§602.31 Agency applications and reports to be submitted to the Department

(a) Applications for recognition or renewal of recognition. An accrediting agency seeking initial or 

continued recognition must submit a written application to the Secretary. Each accrediting agency must 

submit an application for continued recognition at least once every five years, or within a shorter time 

period specified in the final recognition decision, and, for an agency seeking renewal of recognition, 24 

months prior to the date on which the current recognition expires. The application, to be submitted 

concurrently with information required by 34 CFR 602.32(a) (and 34 CFR 602.32(b), if applicable), must 

consist of—

(1) A statement of the agency's requested scope of recognition; and
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(2) Documentation, that the agency complies with the criteria for recognition listed in subpart B of 

this part, including a copy of its policies and procedures manual, and its accreditation standards.

(3) Documentation, of how an agency that includes or seeks to include distance education or 

correspondence courses in its scope of recognition applies its standards in evaluating programs and 

institutions it accredits that offer distance education or correspondence courses.

(b) Applications for expansions of scope. An agency seeking an expansion of scope by application 

must submit a written application to the Secretary. The application must—

(1) Specify the scope requested; and

(2) Provide copies of any relevant standards, policies, or procedures developed and applied by the 

agency for its use in accrediting activities conducted within the expansion of scope proposed and 

documentation of the application of these standards, policies, or procedures.

(3) Provide the materials required by § 602.32(i) and, if applicable, § 602.32(l).

(c) Compliance or monitoring reports. If an agency is required to submit a compliance or 

monitoring report, it must do so within 30 days following the end of the period for achieving compliance 

as specified in the decision of the senior Department official or Secretary, as applicable.

(d) Review following an increase in headcount enrollment. If an agency that has notified the 

Secretary in writing of its change in scope to include distance education or correspondence courses in 

accordance with 602.27(a)(4) reports an increase in headcount enrollment in accordance with 602.19(e) 

for an institution it accredits, or if the Department notifies the agency of such an increase at one of the 

agency's accredited institutions, the agency must, within 45 days of reporting the increase or receiving 

notice of the increase from the Department, as applicable, submit a report explaining—

(1) How the agency evaluates the capacity of the institutions or programs it accredits to 

accommodate significant growth in enrollment and to maintain educational quality;

(2) The specific circumstances regarding the growth at the institutions or programs that triggered 

the review and the results of any evaluation conducted by the agency; and

(3) Any other information that the agency deems appropriate to demonstrate the effective 

application of the criteria for recognition or that the Department may require.

(e) Consent to sharing of information. By submitting an application for recognition, the agency 

authorizes Department staff throughout the application process and during any period of recognition—

(1) To observe its site visits to one or more of the institutions or programs it accredits or 

preaccredits, on an announced or unannounced basis;

(2) To visit locations where agency activities such as training, review and evaluation panel 

meetings, and decision meetings take place, on an announced or unannounced basis;

(3) To obtain copies of all documents the staff deems necessary to complete its review of the 

agency; and

(4) To gain access to agency records, personnel, and facilities.

(f) Public availability of agency records obtained by the Department. (1) The Secretary's processing 

and decision making on requests for public disclosure of agency materials reviewed under this part are 
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governed by the Freedom of Information Act, 5 U.S.C. 552; the Trade Secrets Act, 18 U.S.C. 1905; the 

Privacy Act of 1974, as amended, 5 U.S.C 552a; the Federal Advisory Committee Act, 5 U.S.C. Appdx. 1; 

and all other applicable laws. In recognition proceedings, agencies must, before submission to the 

Department —

(i) Redact the names and any other personally identifiable information about individual students 

and any other individuals who are not agents of the agency or of an institution the agency is reviewing;

(ii) Redact the personal addresses, personal telephone numbers, personal email addresses, Social 

Security numbers, and any other personally identifiable information regarding individuals who are acting 

as agents of the agency or of an institution under review;

(iii) Designate all business information within agency submissions that the agency believes would 

be exempt from disclosure under exemption 4 of the Freedom of Information Act (FOIA), 5 U.S.C. 

552(b)(4). A blanket designation of all information contained within a submission, or of a category of 

documents, as meeting this exemption will not be considered a good faith effort and will be 

disregarded; and

(iv) Ensure documents submitted are only those required for Department review or as requested 

by Department officials.

(2) The agency may, but is not required to, redact the identities of institutions that it believes are 

not essential to the Department’s review of the agency and may identify any other material the agency 

believes would be exempt from public disclosure under FOIA, the factual basis for the request, and any 

legal basis the agency has identified for withholding the document from public disclosure.

(3) The Secretary processes FOIA requests in accordance with 34 CFR part 5 and makes all 

documents provided to the Advisory Committee available to the public.

(4) Upon request by Department staff, the agency must disclose to Department staff any specific 

material the agency has redacted that Department staff believes is needed to conduct the staff review. 

Department staff will make any arrangements needed to ensure that the materials are not made public 

if prohibited by law. 

(g) Length of submissions. The Secretary may publish reasonable, uniform limits on the length of 

submissions described in this section.

(Authority: 20 U.S.C. 1099b)

§602.32 Procedures for applying for recognition, renewal of recognition, or 

for expansion of scope, compliance reports, and increases in enrollment.

(a) An agency preparing for renewing recognition will submit, 24 months prior to the date on 

which the current recognition expires, and in conjunction with the materials required by 602.31(a), a list 

of all institutions or programs that the agency plans to consider for an award of initial or renewed 

accreditation over the next year or, if none, over the succeeding year, as well as any institutions or 

programs currently subject to compliance report review or reporting requirements. An agency that does

not anticipate a review of any institution or program for an initial award of accreditation or renewed 

accreditation in the 24 months prior to the date of recognition expiration may submit a list of 

institutions or programs it has reviewed for an initial award of accreditation or renewal of accreditation 
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at any time since the prior award of recognition or leading up to the application for an initial award of 

recognition.

(b) An agency seeking initial recognition must follow the policies and procedures outlined in 

section (a), but in addition must also submit—

(1) Letters of support for the agency from at least three accredited institutions or programs, 

three educators, and if appropriate, three employers or practitioners, explaining the role for such an 

agency and the reasons for their support; and

(2) Letters from at least one program or institution that will rely on the agency as its link to a 

Federal program upon recognition of the agency, or intends to seek multiple accreditation which will 

allow it in the future to designate the agency as its Federal link.

(c) Department staff publishes a notice of the agency's submission of an application in 

the FEDERAL REGISTER inviting the public to comment on the agency's compliance with the criteria for 

recognition and establishing a deadline for receipt of public comment.

(d) The Department staff analyzes the agency's application for initial or renewal of recognition, 

to determine whether the agency satisfies the criteria for recognition, taking into account all available 

relevant information concerning the compliance of the agency with those criteria and in the agency's 

consistency in applying the criteria. The analysis of an application includes—

(1) Observations from site visits, on an announced or unannounced basis, to the agency or to a 

location where agency conducts activities such as training, review and evaluation panel meetings, or

decision meetings;

(2) Observations from site visits, on an announced or unannounced basis, to one or more of the 

institutions or programs the agency accredits or preaccredits;

(3) A file review at the agency of documents, at which time Department staff may retain copies 

of documents needed for inclusion in the administrative record;

(4) Review of the public comments and other third-party information Department staff receives 

by the established deadline, the agency's responses to the third-party comments, as appropriate, and

any other information Department staff obtains for purposes of evaluating the agency under this part;

and

(5) Review of complaints or legal actions involving the agency; however, although complaints or 

legal actions brought by a third party against an accredited or preaccredited institution or program may 

be considered, they are not determinative of compliance unless the complaint or legal action results in a 

final judgment on the merits by a court or administrative agency.

(e) (e) The Department may view as a negative factor when considering an application for initial, 

or expansion of scope of recognition as proposed by an agency, among other factors, any evidence that 

the agency was part of a concerted effort to unnecessarily restrict the qualifications necessary for a 

student to sit for a licensure or certification examination or otherwise be eligible for entry into a 

profession.
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(f) Department staff's evaluation of an agency may also include a review of information directly 

related to institutions or programs accredited or preaccredited by the agency relative to their 

compliance with the agency's standards, the effectiveness of the standards, and the agency's application 

of those standards, but must make all materials relied upon in the evaluation available to the agency for 

review and comment. 

(g) If, at any point in its evaluation of an agency seeking initial recognition, Department staff 

determines that the agency fails to demonstrate compliance with the basic eligibility requirements in 

§§602.10 through 602.15, the staff—

(1) Returns the agency's application and provides the agency with an explanation of the 

deficiencies that caused staff to take that action; and

(2) Requires that the agency withdraw its application and instructs the agency that it may reapply 

when the agency is able to demonstrate compliance.

(h) Except with respect to an application that has been returned and is withdrawn under paragraph 

(f) of this section, when Department staff completes its evaluation of the agency, the staff—

(1) Prepares a written draft analysis of the agency’s application;

(2) Sends to the agency the draft analysis including any identified areas of potential noncompliance and all third-party comments and complaints, if applicable, and any other materials the 

Department received by the established deadline or is including in its review;

(3) Invites the agency to provide a written response to the draft analysis and third-party comments

or other material included in the review, specifying a deadline that provides at least 180 days for the 

agency's response;

(4) Reviews the response to the draft analysis the agency submits, if any, and prepares the written 

final analysis–

(i) Indicating that the agency is in full compliance, substantial compliance, or non-compliance with 

each of the criteria for recognition; and

(ii) Recommending that the senior Department official approve, renew with compliance reporting 

requirements due in 12 months, renew with compliance reporting requirement with a deadline in excess 

of 12 months based on a finding of good cause and extraordinary circumstances, approve with 

monitoring or other reporting requirements, deny, limit, suspend, or terminate recognition; and

(5) Provides to the agency, no later than 30 days before the Advisory Committee meeting, the final 

staff analysis and any other available information provided to the Advisory Committee under 602.34(c).

(i) The agency may request that the Advisory Committee defer acting on an application at that 

Advisory Committee meeting if Department staff fails to provide the agency with the materials 

described, and within the timeframes provided, in paragraphs (g)(3) and (g)(5) of this section. If the 

Department staff's failure to send the materials in accordance with the timeframe described in 

paragraph (g)(3) or (g)(5) of this section is due to the failure of the agency to submit reports to the 

Department, other information the Secretary requested, or its response to the draft analysis, by the 

deadline established by the Secretary, the agency forfeits its right to request a deferral of its application.

(i) An agency seeking an expansion of scope, either as part of the regular renewal of recognition 

process or during a period of recognition, must submit an application to the Secretary, separately or as 
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part of the policies and procedures outlined in section (a), that satisfies the requirements of 34 CFR §§

602.12(a) and 602.31(b) and-

(1) States the reason for the expansion of scope request;

(2) Includes letters from at least three institutions or programs that would seek accreditation 

under one or more of the elements of the expansion of scope; and

(3) Explains how the agency must expand capacity in order to support the expansion of scope, if 

applicable and, if necessary, how it will do so, and how its budget will support that expansion of 

capacity.(j) If an agency submits an application for expansion of scope-

(1) Department staff will--

(i) Analyze the application (including in accordance with the criteria in this section and in 

602.12(b)), and 

(ii) Provide a written analysis to the agency, to include any areas of non-compliance with the

criteria for recognition.

(2) (i) if the application was submitted outside of the regular renewal of recognition process, 

(A) Department staff will provide 90 days for the agency to provide supplemental information 

addressing those areas, and provide to the senior Department official a written recommendation

regarding the approval or denial of the application, based on the review of the application and any 

responses provided by the agency to the written analysis;

(B) Within 90 days of receiving a recommendation from Department staff, the senior Department 

official will issue a decision regarding the expansion of scope application, including approval, approval 

with conditions, or denial;

(C) The agency will have 30 days to appeal that decision to the Secretary, following the procedures 

in 602.37;

(j) If the application was submitted as part of the renewal of recognition process, it will be 

considered in conjunction with the renewal application under paragraphs (d)-(h) of this section.

(3) The Department staff analyzes the materials submitted in support of an application for 

expansion of scope to ensure that the agency has the requisite experience, to the extent possible, and 

policies that comply with subpart B of this part, and capacity and performance record to support the 

request; 

(k) The Department may view as a negative factor when considering an application for initial or 

expansion of scope of recognition as proposed by an agency, among other factors, any evidence that the 

agency was part of a concerted effort to unnecessarily restrict the qualifications necessary for a student 

to sit for a licensure or certification examination or otherwise be eligible for entry into a profession.
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(l) Department staff's evaluation of a compliance report includes review of public comments 

solicited by Department staff in the Federal Register received by the established deadline, the agency's 

responses to the third-party comments, as appropriate, other third-party information Department staff 

receives, and additional information described in paragraphs (d) and (e) of this section, as appropriate. 

(m) If an agency is required to be reviewed by the Advisory Committee under § 602.19(e), the 

Department will follow the process outlined in 602.32(a)-(h). 

(Authority: 20 U.S.C. 1099b)

§602.33 Procedures for review of agencies during the period of recognition, 

to include the review of monitoring reports.

(a) Department staff may review the compliance of a recognized agency with the criteria for 

recognition at any time—

(1) Based on the submission of a monitoring report as directed by a decision by the senior 

Department official or Secretary; or 

(2) Based on any information that, as determined by Department staff, appears credible and raises 

issues relevant to the criteria for recognition.

(b) The review may include, but need not be limited to, any of the activities described in 602.32(d) 

and (e).

(c) If, in the course of the review, and after provision to the agency of the documentation 

concerning the inquiry and consultation with the agency, Department staff notes that one or more 

deficiencies may exist in the agency's compliance with the criteria for recognition or in the agency's 

effective application of those criteria, it—

(1) Prepares a written draft analysis of the agency's compliance with the criteria of concern;

(2) Sends to the agency the draft analysis including any identified areas of non-compliance and all 

supporting documentation to the agency; and

(3) Invites the agency to provide a written response to the draft analysis within 90 days. 

(4) Reviews the response provided by the agency, including any monitoring report submitted, and 

either –

(i) Concludes the review;

(ii) Continues monitoring of the agency’s areas of deficiencies; or

(iii)(A) Notifies the agency, in the event that the agency’s response or monitoring report does not

satisfy the staff, that the draft analysis will be finalized for presentation to the Advisory Committee;
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(B) Publishes a notice in the FEDERAL REGISTER with an invitation for the public to comment on the 

agency's compliance with the criteria in question and establishing a deadline for receipt of public 

comment;

(C) Provides the agency with a copy of all public comments received and invites a written response 

from the agency;

(D) Finalizes the staff analysis as necessary to reflect its review of any agency response and any 

public comment received;

(E) Provides to the agency, no later than 30 days before the Advisory Committee meeting, the final 

staff analysis and a recognition recommendation and any other information provided to the Advisory 

Committee under 602.34(c); and

(F) Submits the matter for review by the Advisory Committee reviews the matter in accordance 

with 602.34.

(Authority: 20 U.S.C. 1099b)

Review by the National Advisory Committee on Institutional 

Quality and Integrity

§602.34 Advisory Committee meetings.

(a) Department staff submits a proposed schedule to the Chairperson of the Advisory Committee 

based on anticipated completion of staff analyses.

(b) The Chairperson of the Advisory Committee establishes an agenda for the next meeting and, in 

accordance with the Federal Advisory Committee Act, presents it to the Designated Federal Official for 

approval.

(c) Before the Advisory Committee meeting, Department staff provides the Advisory Committee 

with—

(1) The agency's application for recognition, renewal of recognition, or expansion of scope when 

Advisory Committee review is required, or the agency's compliance report and supporting 

documentation submitted by the agency;

(2) The final Department staff analysis of the agency developed in accordance with §602.32 or 

§602.33, and any supporting documentation;

(3) The agency's response to the draft analysis;

(4) Any written third-party comments the Department received about the agency on or before the 

established deadline;

(5) Any agency response to third-party comments; and

(6) Any other information Department staff relied upon in developing its analysis.

(d) At least 30 days before the Advisory Committee meeting, the Department publishes a notice of 

the meeting in the FEDERAL REGISTER inviting interested parties to make oral presentations before the 

Advisory Committee.
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(e) The Advisory Committee considers the materials provided under paragraph (c) of this section in 

a public meeting and invites Department staff, the agency, and other interested parties to make oral 

presentations during the meeting. A transcript is made of all Advisory Committee meetings.

(f) The written motion adopted by the Advisory Committee regarding each agency's recognition 

will be made available during the Advisory Committee meeting. The Department will provide each 

agency, upon request, with a copy of the motion on recognition at the meeting. Each agency that was 

reviewed will be sent an electronic copy of the motion relative to that agency as soon as practicable 

after the meeting.

(g) After each meeting of the Advisory Committee, the Advisory Committee forwards to the senior 

Department official its recommendation with respect to each agency, which may include, but is not 

limited to,–

(1)(i) For an agency that is fully compliant, approve initial or renewed recognition;

(ii) Continue recognition with a required compliance report to be submitted to the Department 

within 12 months from the decision of the senior Department official;

(iii) In conjunction with a finding of exceptional circumstances and good cause, continue 

recognition for a specified period in excess of 12 months pending submission of a compliance report; 

(iv) In the case of substantial compliance, grant initial recognition or renewed recognition and 

recommend a monitoring report with a set deadline to be reviewed by Department staff to ensure that 

corrective action is taken and full compliance is achieved or maintained (or for action by staff under 

§602.33 if it is not); or

(v) Deny, limit, suspend, or terminate recognition;

(2) Grant or deny a request for expansion of scope; or

(3) Revise or affirm the scope of the agency.

(Authority: 20 U.S.C. 1099b)

§602.35 Responding to the Advisory Committee's recommendation.

(a) Within ten business days following the Advisory Committee meeting, the agency and 

Department staff may submit written comments to the senior Department official on the Advisory 

Committee's recommendation. The agency must simultaneously submit a copy of its written comments, 

if any, to Department staff. Department staff must simultaneously submit a copy of its written 

comments, if any, to the agency.

(b) Comments must be limited to—

(1) Any Advisory Committee recommendation that the agency or Department staff believes is not 

supported by the record;

(2) Any incomplete Advisory Committee recommendation based on the agency's application; and

(3) The inclusion of any recommendation or draft proposed decision for the senior Department 

official's consideration.
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(c)(1) Neither the Department staff nor the agency may submit additional documentation with its 

comments unless the Advisory Committee's recognition recommendation proposes finding the agency 

noncompliant with, or ineffective in its application of, a criterion or criteria for recognition not identified 

in the final Department staff analysis provided to the Advisory Committee.

(2) Within ten business days of receipt by the Department staff of an agency's comments or new 

evidence, if applicable, or of receipt by the agency of the Department staff's comments, Department 

staff, the agency, or both, as applicable, may submit a response to the senior Department official. 

Simultaneously with submission, the agency must provide a copy of any response to the Department 

staff. Simultaneously with submission, Department staff must provide a copy of any response to the 

agency. No additional comments or new documentation may be submitted after the responses 

described in this paragraph are submitted.

(Authority: 20 U.S.C. 1099b)

Review and Decision by the Senior Department Official

§602.36 Senior Department official's decision.

(a) The senior Department official makes a decision regarding recognition of an agency based on 

the record compiled under §§602.32, 602.33, 602.34, and 602.35 including, as applicable, the following:

(1) The materials provided to the Advisory Committee under §602.34(c).

(2) The transcript of the Advisory Committee meeting.

(3) The recommendation of the Advisory Committee.

(4) Written comments and responses submitted under §602.35.

(5) New documentation submitted in accordance with §602.35(c)(1).

(6) A communication from the Secretary referring an issue to the senior Department official's 

consideration under §602.37(e).

(b) In the event that statutory authority or appropriations for the Advisory Committee ends, or 

there are fewer duly appointed Advisory Committee members than needed to constitute a quorum, and 

under extraordinary circumstances when there are serious concerns about an agency's compliance with 

subpart B of this part that require prompt attention, the senior Department official may make a decision 

on an application for renewal of recognition or compliance report on the record compiled under 

§602.32 or §602.33 after providing the agency with an opportunity to respond to the final staff analysis. 

Any decision made by the senior Department official under this paragraph from the Advisory Committee 

may be appealed to the Secretary as provided in §602.37.

(c) Following consideration of an agency's recognition under this section, the senior Department 

official issues a recognition decision.

(d) Except with respect to decisions made under paragraph (f) or (g) of this section and matters 

referred to the senior Department official under §602.37(e) or (f), the senior Department official notifies 

the agency in writing of the senior Department official's decision regarding the agency's recognition 

within 90 days of the Advisory Committee meeting or conclusion of the review under paragraph (b) of 

this section.
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(e) The senior Department official's decision may include, but is not limited to, approving for 

recognition; approving with a monitoring report; denying, limiting, suspending, or terminating 

recognition following the procedures in paragraph (g); granting or denying an application for an 

expansion of scope; revising or affirming the scope of the agency; or continuing recognition pending 

submission and review of a compliance report under §§602.32 and 602.34 and review of the report by 

the senior Department official under this section.

(1)(i) The senior Department official approves recognition if the agency has demonstrated 

compliance or substantial compliance with the criteria for recognition listed in subpart B of this part. The 

senior Department official may determine that the agency has demonstrated compliance or substantial 

compliance with the criteria for recognition if the agency has a compliant policy or procedure in place 

but has not had the opportunity to apply such policy or procedure.

(ii) If the senior Department official approves recognition, the recognition decision defines the 

scope of recognition and the recognition period. The recognition period does not exceed five years, 

including any time during which recognition was continued to permit submission and review of a 

compliance report.

(iii) If the scope of recognition is less than that requested by the agency, the senior Department 

official explains the reasons for continuing or approving a lesser scope.

(2)(i) Except as provided in paragraph (e)(3) of this section, if the agency either fails to comply with 

the criteria for recognition listed in subpart B of this part, the senior Department official denies, limits, 

suspends, or terminates recognition.

(ii) If the senior Department official denies, limits, suspends, or terminates recognition, the senior 

Department official specifies the reasons for this decision, including all criteria the agency fails to meet 

and all criteria the agency has failed to apply effectively.

(3)(i) If the senior Department official concludes an agency is non-compliant, the senior 

Department official may continue the agency's recognition, pending submission of a compliance report

that will be subject to review in the recognition process, provided that-

(A)The senior Department official concludes that the agency will demonstrate compliance with,

and effective application of the criteria for recognition within 12 months from the date of the senior 

Department official’s decision; or

(B) the senior Department official identifies a deadline more than 12 months from the date of the 

decision by which the senior Department official concludes the agency will demonstrate full compliance 

with, and effective application of the criteria for recognition, and also identifies exceptional 

circumstances and good cause for allowing the agency more than 12 months to achieve compliance and 

effective application.

(ii) In the case of a compliance report ordered under paragraph (e)(3)(i) of this section, the senior 

Department official specifies the criteria the compliance report must address, and the time period for 

achieving compliance and effective application of the criteria. The compliance report documenting 

compliance and effective application of criteria is due not later than 30 days after the end of the period 

specified in the senior Department official's decision.

(iii) If the record includes a compliance report required under paragraph (e)(3)(i) of this section, 

and the senior Department official determines that an agency has not complied with the criteria for 

recognition, or has not effectively applied those criteria, during the time period specified by the senior 
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Department official in accordance with paragraph (e)(3)(i) of this section, the senior Department official 

denies, limits, suspends, or terminates recognition, except, in extraordinary circumstances, upon a 

showing of good cause for an extension of time as determined by the senior Department official and 

detailed in the senior Department official's decision. If the senior Department official determines good 

cause for an extension has been shown, the senior Department official specifies the length of the 

extension and what the agency must do during it to merit a renewal of recognition.

(f) If the senior Department official determines that the agency is substantially compliant, or is fully 

compliant but has concerns about the agency maintaining compliance, the senior Department official 

may approve the agency’s recognition or renewal of recognition and require periodic monitoring reports 

that are to be reviewed and approved by Department staff;

(g) If the senior Department official determines, based on the record, that a decision to deny, limit, 

suspend, or terminate an agency's recognition may be warranted based on a finding that the agency is 

noncompliant with one or more criteria for recognition, or if the agency does not hold institutions or 

programs accountable for complying with one or more of the agency’s standards or criteria for 

accreditation that were not identified earlier in the proceedings as an area of noncompliance, the senior 

Department official provides—

(1) The agency with an opportunity to submit a written response documentation addressing the 

finding; and

(2) The staff with an opportunity to present its analysis in writing.

(h) If relevant and material information pertaining to an agency's compliance with recognition 

criteria, but not contained in the record, comes to the senior Department official's attention while a 

decision regarding the agency's recognition is pending before the senior Department official, and if the 

senior Department official concludes the recognition decision should not be made without consideration 

of the information, the senior Department official either—

(1)(i) Does not make a decision regarding recognition of the agency; and

(ii) Refers the matter to Department staff for review and analysis under §602.32 or §602.33, as 

appropriate, and consideration by the Advisory Committee under §602.34; or

(2)(i) Provides the information to the agency and Department staff;

(ii) Permits the agency to respond to the senior Department official and the Department staff in 

writing, and to include additional documentation relevant to the issue, and specifies a deadline;

(iii) Provides Department staff with an opportunity to respond in writing to the agency's 

submission under paragraph (g)(2)(ii) of this section, specifying a deadline; and

(iv) Issues a recognition decision based on the record described in paragraph (a) of this section, as 

supplemented by the information provided under this paragraph.

(i) No agency may submit information to the senior Department official, or ask others to submit 

information on its behalf, for purposes of invoking paragraph (h) of this section. Before invoking 

paragraph (h) of this section, the senior Department official will take into account whether the 

information, if submitted by a third party, could have been submitted in accordance with §602.32(a) or 

§602.33(e)(2).
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(j) If the senior Department official does not reach a final decision to approve, deny, limit, suspend, 

or terminate an agency's recognition before the expiration of its recognition period, the senior 

Department official automatically extends the recognition period until a final decision is reached.

(k) Unless appealed in accordance with §602.37, the senior Department official's decision is the 

final decision of the Secretary.

(Authority: 20 U.S.C. 1099b)

§602.37 Appealing the senior Department official's decision to the 

Secretary.

(a) The agency may appeal the senior Department official's decision to the Secretary. Such appeal 

stays the decision of the senior Department official until final disposition of the appeal. If an agency 

wishes to appeal, the agency must—

(1) Notify the Secretary and the senior Department official in writing of its intent to appeal the 

decision of the senior Department official, no later than 10 business days after receipt of the decision;

(2) Submit its appeal to the Secretary in writing no later than 30 days after receipt of the decision; 

and

(3) Provide the senior Department official with a copy of the appeal at the same time it submits the 

appeal to the Secretary.

(b) The senior Department official may file a written response to the appeal. To do so, the senior 

Department official must—

(1) Submit a response to the Secretary no later than 30 days after receipt of a copy of the appeal; 

and

(2) Provide the agency with a copy of the senior Department official's response at the same time it 

is submitted to the Secretary.

(c) Once the agency’s appeal and the senior Department official’s response, if any, have been 

provided, no additional written comments may be submitted by either party.

(d) Neither the agency nor the senior Department official may include in its submission any new 

documentation it did not submit previously in the proceeding.

(e) On appeal, the Secretary makes a recognition decision, as described in §602.36(e). If the 

decision requires a compliance report, the report is due within 30 days after the end of the period 

specified in the Secretary's decision. The Secretary renders a final decision after taking into account the 

senior Department official's decision, the agency's written submissions on appeal, the senior 

Department official's response to the appeal, if any, and the entire record before the senior Department 

official. The Secretary notifies the agency in writing of the Secretary's decision regarding the agency's 

recognition.

(f) The Secretary may determine, based on the record, that a decision to deny, limit, suspend, or 

terminate an agency's recognition may be warranted based on a finding that the agency is noncompliant 

with, or ineffective in its application with respect to, a criterion or criteria for recognition not identified 

as an area of noncompliance earlier in the proceedings. In that case, the Secretary, without further 
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consideration of the appeal, refers the matter to the senior Department official for consideration of the 

issue under §602.36(f). After the senior Department official makes a decision, the agency may, if 

desired, appeal that decision to the Secretary.

(g) If relevant and material information pertaining to an agency's compliance with recognition 

criteria, but not contained in the record, comes to the Secretary's attention while a decision regarding 

the agency's recognition is pending before the Secretary, and if the Secretary concludes the recognition 

decision should not be made without consideration of the information, the Secretary either—

(1)(i) Does not make a decision regarding recognition of the agency; and

(ii) Refers the matter to Department staff for review and analysis under §602.32 or §602.33, as 

appropriate, and review by the Advisory Committee under §602.34; and consideration by the senior 

Department official under §602.36; or

(2)(i) Provides the information to the agency and the senior Department official;

(ii) Permits the agency to respond to the Secretary and the senior Department official in writing, 

and to include additional documentation relevant to the issue, and specifies a deadline;

(iii) Provides the senior Department official with an opportunity to respond in writing to the 

agency's submission under paragraph (g)(2)(ii) of this section, specifying a deadline; and

(iv) Issues a recognition decision based on all the materials described in paragraphs (e) and (g) of 

this section.

(h) No agency may submit information to the Secretary, or ask others to submit information on its 

behalf, for purposes of invoking paragraph (g) of this section. Before invoking paragraph (g) of this 

section, the Secretary will take into account whether the information, if submitted by a third party, 

could have been submitted in accordance with §602.32(a) or §602.33(e)(2).

(i) If the Secretary does not reach a final decision on appeal to approve, deny, limit, suspend, or 

terminate an agency's recognition before the expiration of its recognition period, the Secretary 

automatically extends the recognition period until a final decision is reached.

(Authority: 20 U.S.C. 1099b)

§602.38 Contesting the Secretary's final decision to deny, limit, suspend, or 

terminate an agency's recognition.

...

(Authority: 20 U.S.C. 1099b)

Subpart D—Department Responsibilities

SOURCE: 64 FR 56617, Oct. 20, 1999. Redesignated at 74 FR 55435, Oct. 27, 2009, unless otherwise 

noted.
Session 4

40 4/1/2019 9:27 AM

§602.50 What information does the Department share with a recognized

agency about its accredited institutions and programs?

...

(Authority: 20 U.S.C. 1099b)

PART 603—SECRETARY'S RECOGNITION PROCEDURES FOR 

STATE AGENCIES

§603.24 Criteria for State agencies.

The following are the criteria which the Secretary will utilize in designating a State agency as a reliable 

authority to assess the quality of public postsecondary vocational education in its respective State.

***

(c) Capacity to foster ethical practices. The State agency must demonstrate its capability and willingness 

to foster ethical practices by showing that it:

(i) Promotes a well-defined set of ethical standards governing institutional or programmatic practices, 

including recruitment, advertising, transcripts, fair and equitable student tuition refunds, and student 

placement services;

(ii) Maintains appropriate review in relation to the ethical practices of each approved institution or 

program.

(Authority: 20 U.S.C. 1094(c)(4))

[39 FR 30042, Aug. 20, 1974, as amended at 75 FR 66947, Oct. 29, 2010]