List of Preconditions and Documentation
As of September 1, 2013, CAEP will no longer be accepting Intent to Seek forms or new precondition reports. EPPs that are interested in CAEP accreditation should seek information related to CAEP eligibility.”

Precondition #1

The institution recognizes a professional education unit that has responsibility and authority for the preparation of teachers and other school professionals, and identifies a unit head such as a dean, director, or chair.
1.1 A letter from the CEO (1) designates the unit as having primary authority and responsibility for the preparation of educators and (2) identifies the person who has been assigned the authority and responsibility for the unit’s overall administration and operations.
1.2 A chart or narrative lists all professional education programs offered for the preparation of educators. If the unit’s offerings include programs at other sites, a separate chart or narrative should be prepared for each location.
1.3 An organizational chart depicts the professional education unit and indicates the unit’s relationship to other administrative units within the organization.
Precondition #2

Written policies and procedures guide the operations of the unit and include published criteria for admission to and exit from all initial teacher preparation and advanced programs.
2.1 Electronic links connect to unit policies and procedures such as policy manuals, the program catalog, student teaching/internship handbook, and faculty handbook.
2.2 Electronic links connect to public listings of the requirements for entry to, retention in, and completion of educator preparation programs, including any alternative, distance learning, and off-campus programs.
Precondition #3

If the institution is located in a non-partner state or in a partner state that requires the submission of program reports for national review through NCATE, the unit has committed to submitting program reports for each program for which NCATE has approved program standards at least one year prior to the visit.
3.1 A list of programs indicates those that will be submitted to NCATE for review one year prior to the visit. For additional information, check NCATE’s website at
Precondition #4

The unit has a well developed conceptual framework that establishes the shared vision for a unit’s efforts in preparing educators to work in P-12 schools and provides direction for programs, courses, teaching, candidate performance, scholarship, service, and unit accountability.
4.1 A brief description provides an overview of the unit’s conceptual framework.
4.2 The vision and mission of both the institution and unit are clearly described.
4.3 The unit’s philosophy, purposes, and goals/organizational standards support its conceptual framework.
4.4 Knowledge bases, including theories, research, the wisdom of practice, and education policies support the unit’s conceptual framework.
4.5 Candidate proficiencies related to expected knowledge, skills, and professional dispositions, including proficiencies associated with diversity and technology, are aligned with the expectations in professional, state, and institutional standards.
4.6 A summarized description of the unit’s assessment system includes descriptions of

  1. the transition points;
  2. key assessments;
  3. process for assuring the unit’s assessments are fair, accurate, consistent, and free from bias;
  4. system for handling candidates who have not met unit expectations;
  5. plan for evaluating unit operations;
  6. summary of candidate performance on assessments conducted for admission into programs; and
  7. summary of a sample of candidate performance at exit.

Precondition #5

The unit's programs are approved by the appropriate state agency or agencies, and, in states with educator licensing examinations and required pass rates, the unit’s summary pass rate meets or exceeds the required state pass rate.
5.1 The most recent state approval letters and state list of approved programs indicate that all eligible programs are approved. If any program is not approved, the unit must provide a statement that it is not currently accepting new applicants into the non-approved program(s). For programs that are approved with qualifications or are pending approval, the unit must describe how it will bring the program(s) into compliance. To meet Precondition 5.1, an online institution must be approved by the state agency or agencies responsible for program approval of teacher education in the state in which the central administration offices are located. For additional information specific to online institutions, see ‘Guidelines for Online Institution Precondition Reports and BOE Visits’.

5.2 Title II report of candidate performance on state licensure tests. To meet Precondition 5.2, an online institution must report its summary pass rates in a table that indicates each state in which completers take licensure tests. The table must include the state pass rate for each state and the percent of the institution’s completers who passed the test.

Precondition #6

Institutions eligible for institutional or regional accreditation are accredited without probation or an equivalent status by the appropriate institutional accrediting agency recognized by the U.S. Department of Education. Institutions not eligible for accreditation have a clean audit, appropriate business plan, and effective organizational practices similar to an accredited institution.
6.1.a. The current accreditation letter and/or report indicate institutional accreditation status.


6.1.b. Providers ineligible for institutional accreditation[1] must submit information in response to the following questions:

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

Non-university providers must also submit:

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

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

Revised: April 2009