Kentucky/NCATE Joint Protocol
PROTOCOL FOR CONTINUING ACCREDITATION
KENTUCKY
State Program Approval and State and NCATE Unit Accreditation
In 1989, NCATE's State Partnership Board entered into a partnership agreement with the
Kentucky Department of Education to work jointly with NCATE to conduct state program
approval and national unit accreditation. In September 1994, NCATE renewed the partnership
agreement with the Kentucky Department of Education's Education Professional Standards
Board (EPSB) under NCATE's performance-based licensing and accreditation framework. The
partnership will be conducted as a special pilot project under the conditions listed below. The
state must renew its partnership agreement with NCATE in 1999. The protocol for accreditation
and state program approval is in effect for visits during the 1998 -1999 academic year through
the academic year of 2000.
Dates of Visit:
Timelines:
*NOTE: Reference for
Acronyms on Page 15.
NCATE Requirements
State Requirements
Semesters and years are
negotiated with the state to
keep NCATE-accredited
institutions in the same
five-year cycle as the
scheduled state visits for
these institutions.
NCATE's timelines by
semester/year are included
in the NCATE handbooks
for continuing visits.
Information to prepare for
continuing accreditation
visits is sent to the
institution two years prior
to the visit.
Visits to all teacher
preparation institutions are
coordinated through the
Education Professional
Standards Board (EPSB).
A schedule of accreditation
visits is mailed annually to
each institution.
Also see pages 12-14 for
explanations of Kentucky
policies.
CONTINUING PROTOCOL FOR KENTUCKY/NCATE VISITS
NCATE Requirements
Program Folios:
(Folios Optional)
NCATE requires a
program approval
process. An institution
can use the NCATE
process or the EPSB
process.
NCATE coordinates folio
reviews by national
specialty organizations
when requested by
individual Kentucky
institutions. An institution
may choose to seek a
review by the national
associations, but this is
optional.
For continuing visits,
curriculum folios must
be prepared at the fifth
year accreditation if one
or more of the following
situations apply: 1. The
program was not
approved under the
national guidelines at the
previous review; 2.
Guidelines for the
program did not exist at
the time of the previous
review; and/or 3.
Guidelines for the
program have undergone
major revision since the
previous review.
Otherwise, interim reports
should be submitted in the
prescribed NCATE
format.
State Requirements
Program folios for all
programs to prepare school
personnel are sent to EPSB,
reviewed by staff for
accuracy and completeness,
and then reviewed by a
Folio Review Committee
and EPSB-appointed
Reading Committee for
congruence with standards
of nationally recognized
specialty organizations and
appropriate state
performance standards
adopted by the EPSB.
Reviews by national
associations are to be
available in the Exhibit
Room. If received in time
by the state Reading
Committee, national
reviews will be considered
by that committee when it
makes its report to the
BOE. Program folios
submitted to the state must
address appropriate
national professional
guidelines regardless of
whether the institution
seeks national specialty
organization approval.
The Reading Committee
prepares a summary of and
recommendations for each
program. The BOE receives
summaries of the state
program reviews.
Folio preparation is
required for all programs.
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CONTINUING PROTOCOL FOR KENTUCKY/NCATE VISITS
NCATE Requirements
Standards:
The NCATE standards
in effect at the time of
the visit apply to the
professional education
unit.
State Requirements
For initial and advanced
programs, the performance
standards listed below as
approved by the EPSB also
apply. The products and
summary data of
performance assessments
are used as indicators of the
on-going health of the unit.
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New teachers
Experienced teachers
Interdisciplinary early
childhood teachers
New and experienced
school counselors
Administrators (principals
and superintendents)
The unit's continuous
assessment plan for
students and program or
unit and demonstrated
improvements related to
national standards are
critical to program
approval.
NCATE standards most
closely aligned to
performance assessment
include:
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CONTINUING PROTOCOL OR KENTUCKY/NCATE VISITS
I.A. Conceptual Framework
I.C. Content Studies
I.D. Professional and
Pedagogical Studies
I.E. Integrative Studies
I.F. Advanced Studies
I.G. Quality of
Instruction
I.H. Quality of Field
Experiences
I.I. Professional
3
State Requirements
Standards:
(Cont.)
Performance Measures:
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Community
II.A. Qualifications
II.C. Monitoring the
Progress of Candidates
II.D. Ensuring
Competence of
Candidates
 III.A. Qualifications of
Faculty (as it relates to
faculty involvement in
schools)
 III.C. Professional
Assignments
 III.D. Professional
Development
IV.A. Governance and
accountability
Samples of Authentic
Performance Assessment
Measures should be
available to teams in the
Exhibit Room.
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4
Basic skills testing for
academic proficiency
GPA
Faculty
recommendations
Clinical/field
evaluations
On-demand
performance tasks
Portfolios (showing
growth throughout
program)
Course performance
events
Research/concept
papers
P-12 professional
recommendations
Interviews
Videotapes
PRAXIS
Student teaching
CONTINUING PROTOCOL FOR KENTUCKY/NCATE VISITS
NCATE Requirements
Performance Measures:
(Copt.)
Continuing Accreditation
Report by the Institution:
State Requirements
performance
assessment
 Course grades
 Microteaching
 Journals
 Competency
examinations
Internship performance
A 25-page report is
prepared that addresses
within the context of each
standards category changes
since the last visit. (See
The state accepts the
institution's 25-page
NCATE report, which
should address the three
criteria listed below:
NCATE's Handbook for
Continuing Accreditation
Visits.)
Pre-Visit:
The institution sends one
copy of the institutional
report and undergraduate
and graduate (if
applicable) catalogs to
each BOE member, state
team member, state
consultant, and invited
team participants; and two
copies to NCATE.
The NCATE chair
coordinates with the State
chair, EPSB staff, and the
institution's unit head
and/or designee in planning
for the visit. The pre-visit
will occur at the institution
30 to 60 days prior to the
scheduled visit.
The institution pays
travel expenses for the
NCATE chair to attend.
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Overview of the
institution
Summary of changes
and new initiatives for
each category of
standards
Future directions
The EPSB staff consultant
coordinates state/NCATE
activities with NCATE BOE
Chair, state BOE Chair,
and institution's unit head
and/or designee prior to
and following the visit.
The state pays travel
expenses for the state chair
and EPSB staff to
participate in the pre-visit.
CONTINUING PROTOCOL OR KENTUCKY/NCATE VISITS
5
NCATE Requirements
Board of Examiners
(BOE): (Joint)
Team Size:
Team Chairs:
Team Decisions:
6
State Requirements
A BOE team is selected by
NCATE. All members of
the BOE have complete
NCATE training in which
performance standards
have been emphasized
The state selects a BOE
team from a pool of
,-individuals who have
been trained by NCATE or
through the official state
training approved by
NCATE. BOE members
have been given a special
training on performance
standards and assessment
criteria.
A profile or biographical
sketch of each NCATE
appointed BOE member is
sent to the institution for
its review; the institution
may challenge the
inclusion of a specific
BOE member for cause,
such as conflict of interest.
A profile of each stateappointed BOE member is
sent to the institution for its
review; the institution may
challenge the inclusion of a
specific BOE member for
cause, such as conflict of
interest.
The size of the team will
be three to five members,
depending on the level and
number of the programs.
NCATE appoints the BOE
chair. The chair has overall
responsibility for the joint
visit and BOE report to
NCATE, except thevisit.
section on state program
approvals.
All BOE members,
NCATE and state, jointly
gather information and
discuss findings on
standards and program
specific recommendations
to share information,
clarify questions, and
enable informed decisions
The size of the state team
will be one less than that of
the NCATE team.
A state team chair is
assigned by staff of the
EPSB. This person serves
as the co-chair for the joint
The state chair
completes the state chair's
checklist and gives I to the
EPSB staff at the end of
the visit.
Collaboration between the
NCATE and state team
members is expected.
The results of consensus, or
voting, if necessary, by
members of the state BOE
serve as the basis for state
CONTINUING PROTOCOL FOR KENTUCKY/NCATE VISITS
NCATE Requirements
Team Decisions:
(font.)
about national
accreditation and state
program
recommendations.
State Requirements
accreditation and program
approval decisions.
Emphasis is placed on the
collaborative joint efforts
of the NCATE and state
team members.
The results of consensus
by members of the joint
team serve as the basis for
decisions on NCATE
accreditation.
Team Expenses:
Team Training:
Other Team
Participants:
(Consultants,
Representatives,
Observers)
The institution covers all
travel expenses for the
members of the NCATE
BOE team.
BOE team members
participate in NCATE's
official training session.
Training on state
expectations is scheduled
for the first session of the
BOE on-site visit.
NCATE invites the EPSB
to appoint consultants and
the state affiliates of NEA
and AFT to appoint a
representative for the onsite visit. Observers from
appropriate organizations
may join the on-site visit.
All expenses for
participants are covered by
the respective agencies.
CONTINUING PROTOCOL OR KENTUCKY/NCATE VISITS
The state covers all travel
expenses for the members
of the state BOE team.
State team members are
trained by NCATE or in
EPSB sponsored training
that is approved by
NCATE.
Training on state
expectations is conducted
by the state chair and/or
EPSB staff.
The EPSB invites a
representative for the on
site visits from either CPE
or AIKCU and KEA. All
representatives must meet
training requirements for
BOE members. Expenses
for participants are covered
by the respective agencies.
7
NCATE Requirements
Exhibit Room:
On-Site Visit:
State Requirements
The Exhibit Room should
contain documentation that
supports the continuing
accreditation report,
removal of previous
weaknesses, and the
continuing health of unit.
Examples of resources for
the Exhibit Room can be
found on page 34-37 of
NCATE's Handbook for
Continuing Accreditation
Visits.
A jointly developed
state/NCATE template is
used to guide the conduct
of the visit by the joint
BOE team. The NCATE
handbooks for Board of
Examiners and Continuing
Accreditation Visits are
used as guidelines.
The chair conducts a
planning meeting with the
state chair and the EPSB
staff.
Copies of the annual
reports since the previous
visit must be available in
the Exhibit Room. The
EPSB expects that
performance standards and
continuous assessment
plans will be included as a
major part of the exhibit.
As part of the join BOE
exit report, a brief report is
given outlining team
findings for the purpose of
state accreditation and
program approval. The
report is presented by the
state chair.
The NCATE team chair
will pair members of the
joint BOE to collect
evidence on both the unit
standards and follow-up on
program folios.
8
CONTINUING PROTOCOL FOR KENTUCKY/NCATE VISITS
NCATE Requirements
On-Site Visit:
(font.)
BOE Team Reports:
Before the team departs, a
brief exit report is
conducted to outline team
findings for the purpose of
NCATE accreditation. The
report is presented by the
NCATE chair, the state
chair, EPSB staff member,
and observers from CPE
or AIKCU and KEA are
present. The institution is
represented by the unit
head and NCATE
coordinator. The president
or provost may attend.
This report includes the
joint team's findings at
both the basic and
advanced levels. The
report serves as the basis
for decisions on NCATE
accreditation.
The summary of
recommendations for state
program approval is
appended to the NCATE
report.
The BOE team chair mails
a draft of the report to the
NCATE office and to each
member of the joint team
for review and editing. The
chair incorporates
suggestions and sends the
next draft to the unit head
to review for factual
accuracy. The unit has five
days to respond in writing.
The chair submits the final
report to NCATE and a
copy to each member of the
joint BOE team
State Requirements
The state BOE team has the
option of accepting the
NCATE report or writing a
separate section(s) if the
state team differs from
NCATE on rationale for
removing, continuing, or
citing weaknesses.
The recommendations for
state approval of each
program is appended to the
NCATE report.
In the event a separate
report is written, the state
team chair mails a draft of
the report to the EPSB
office and to each member
of the state team for review
and editing. The chair
incorporates suggestions
and sends the next draft to
the unit head to review for
factual accuracy. The unit
has five days to respond in
writing. The chair submits
the final report to the EPSB
and a copy to each member
CONTINUING PROTOCOL OR KENTUCKY/NCATE VISITS
9
NCATE Requirements
BOE Team Reports:
(Cont.)
within 30 days of the visit.
This report includes the
joint team's findings at
both the basic and
advanced levels. The
report serves as the basis
for decisions on NCATE
accreditation.
The summary of
recommendations for state
program approval is
appended to the NCATE
report.
The BOE team chair
mails a draft of the report
to the NCATE office and to
each member of the joint
team for review and
editing. The chair
incorporates suggestions
and sends the next draft to
the unit head to review for
factual accuracy. The unit
has five days to respond in
writing. The chair submits
the final report to NCATE
and a copy to each member
of the joint BOE team
within 30 days of the visit.
NCATE mails two copies
of the report to the
institution and two copies
to the EPSB.
Institutional Rejoinder:
The institution submits the
rejoinder to the NCATE
BOE report within 30 days
after the BOE report is
State Requirements
of the joint BOE team
within 20 days of the visit.
The state BOE team has the
option of accepting the
NCATE report or writing a
separate section (s) if the
state team differs from
NCATE on rationale for
removing, continuing, or
citing weaknesses.
The recommendations for
state approval of each
program is appended to the
NCATE report.
In the event a separate
report is written, the state
team chair mails a draft of
the report to the EPSB
office and to each member
of the state team for review
and editing. The chair
incorporates suggestions
and sends the next draft to
the unit head to review for
factual accuracy. The unit
has five days to respond in
writing. The chair submits
the final report to the EPSB
and a copy to each member
of the joint BOE team
within 30 days of the visit.
The EPSB mails two
copies of the report to the
institution and two copies to
NCATE.
The institution submits the
Rejoinder to the state BOE
report within 30 days after
the state BOE report is
CONTINUING PROTOCOL FOR KENTUCKY/NCATE VISITS
NCATE Requirements
Institutional Rejoinder:
(Cont.)
Final Decision:
Official Notification:
State Requirements
received. Six copies are
mailed to NCATE and two
copies to the EPSB.
After in-depth review of
documentation, an audit
committee makes a
recommendation to the
Unit Accreditation Board.
Decisions made include:
1. continuing
accreditation, or
2. continuing
accreditation with
probation
When probationary
accreditation is granted, an
on-site visit shall be
scheduled within two
years. The probation visit
mirrors the initial visit.
received. Two copies are
mailed to the EPSB.
Within a month after
NCATE's Unit
Accreditation Board takes
action on accreditation of
the unit, NCATE sends the
chief executive officer and
the head of the
professional education unit
a letter that indicates the
official action.
Within a month after the
EPSB takes action, EPSB
sends the chief executive
officer and the head of the
professional education unit
a letter that indicates
official action. A copy of
the action report is mailed
to NCATE.
NCATE mails two copies
of the action report to the
EPSB.
After in-depth review of
documentation, the
Accreditation Audit
Committee makes a
recommendation to the
program and Technical
Assistance Committee of
the EPSB. The Program and
Technical Assistance
Committee makes a
recommendation to the full
EPSB. Decisions may
include: 1. continuing
accreditation, or 2.
continuing accreditation
with probation. When
probationary accreditation
is granted, an on-site visit
shall be scheduled within
two years. The probation
visit mirrors the initial visit.
After accreditation action
has been completed by
NCATE, official notice of
that action is placed in
EPSB minutes.
CONTINUING PROTOCOL OR KENTUCKY/NCATE VISITS
Kentucky Education Reform Act
In 1985, sixty six (66) property-poor Kentucky school districts sued the Governor, legislature,
superintendent of public instruction and the state school board alleging that state school funding
was inadequate and inequitable. On June 9, 1989, the Kentucky Supreme Court declared
Kentucky's entire system of common schools to be unconstitutional. The court directed the
Kentucky general Assembly to re-create a substantially uniform system of schools to provide
each child an equal opportunity to have an adequate education. On April 11, 1990, the Kentucky
Education Reform Act (KERA) was signed into law.
KERA brought about systemic reform of curriculum, finance, and governance in Commonwealth
schools. KERA initiatives included high school restructuring, phase-in of school-based decision
making councils, formation of Family Resource and youth Services Centers and Regional
Service Centers, implementation of high stakes state-wide performance-based assessment, and a
major technology initiative was launched. A new funding formula, Support Education Excellence
in Kentucky (SEEK), allows state funds to be more equitably distributed to school districts.
School reform in P-12 classrooms demand new instructional approaches, leadership skills, and
knowledge of teaching areas. The General Assembly, through legislation, restructured the
Education Professional Standards Board in July 1990. Teacher certification is now linked to
standards established by the EPSB.
There are now performance-based standards for New Teachers, Experienced Teachers,
Administrators, Counselors, and Interdisciplinary Early Childhood Education. The standards
require continuous assessment which includes appraisal through performance assessment
plans.
Performance-based programs in Kentucky are currently involved in a two-stage
implementation process. During the first stage, initial level programs have completed the
approval process and as of September 1, 1997, all institutions must admit students into the
"new" performance-based programs. At the second stage, advanced performance-based
programs have completed the approval process and as of January 1997, all institutions must
admit students into the "new" advanced level programs.
State staff will provide additional information and answer questions on the
Kentucky requirements after the entire team has arrived on-site.
CONTINUING PROTOCOL FOR KENTUCKY/NCATE VISITS
Performance Assessment
Introduction:
Kentucky performance standards, while not mirror images of NCATE standards, embody the
same performance base and are correlated to NCATE standards.
Beginning in Fall 1997, performance-based programs are operational at the INITIAL program
level. January 1998, performance-based programs will also be operational at the advanced
program level.
Continuous assessment is an institution's internal quality control mechanism to ensure that
teacher preparation programs consistently address and integrate the appropriate performance
standards and the Educational Professional Standards Board's policies. A continuous assessment
plan honors each institution's human, financial, and physical resources and reflects the
institution's singular mission statement and student population. Each institution's plan is the
product of intense reflective analysis by faculty, administrators and staff, and supports the
institution's claim of a quality teacher preparation program. In that each teacher preparation
program is unique, so too is each assessment plan.
Continuous assessment goes beyond individual student assessments, which are necessary but
insufficient components of the assessment loop. Student assessments are part of the total
assessment plan that continually operates to improve the quality of the institution's programs and
its program graduates.
Premises for Authentic Performance Assessment
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Ensures the fulfillment of the unit's mission
Links assessment to the conceptual framework
Incorporates standards of competence
Includes multiple measures
Incorporates meaningful and relevant teacher tasks
Encourages active involvement in P-12 schools
Provides systematic monitoring of student progress
Renews the quality of professional instruction
Integrates content, pedagogical, and professional studies
Assists in the professional development of students and
faculty
Ensures program improvement
CONTINUING PROTOCOL FOR KENTUCKY/NCATE VISITS
13
Relationship of Performance Assessment to NCATE Standards:
Category I
Description
I.A.1
Provides coherence between conceptual framework and assessment of
outcomes
I.A.3
Results in fostering student achievement and program improvement
I.D.2
Incorporates formal and informal assessment strategies for evaluating
and ensuring development of the learner
I.E.1
Integrates content, professional, and pedagogical knowledge with
meaningful learning experiences
I.G.4
Upgrades overall quality of instruction
I.H.2
Provides opportunity for reflection and feedback by candidates, higher
education and P-12 faculty
I.I.1 + I.I.3 Enhances collaborative effort
Category II
II.A.1
II.A.3
II.C.1
II.C.2
II.C.3
II.C.5
II.D.2
Description
Uses a comprehensive system to assess qualifications for admissions.
Ensures application of admission criteria
Monitors candidate's progress by authentic performance measures
Uses multiple data sources
Uses data to assist candidates with unsatisfactory progress
Determines eligibility for student teaching/professional internships
Ensures exit outcomes are fulfilled via multiple sources
Category III
III.A.3
III.D.1
Description
Requires active involvement in P-12 schools
Encourages faculty to be continuous learners
Category IV
IV.A.1
IV.A.5
Description
Fulfills the unit's mission
Ensures the ongoing vitality of the unit
The following provide an example of potential checkpoints and their connection to the
NCATE standards:
Admission to Program
I.A.1, I.A.3,I.D.2, I.E. 1, I.G.4, I.H.2, I.I.1, I.I.3, II.A.1, II.C.2, II.C.3, III.A.3, III.D.1, IV.A.5
Admission to Student Teaching (Midpoint evaluation)
I.A.1, I.A.3., I.D.2, I.E.1, I.G.4, I.H.2, I.I.1, I.I.3, II.A.3, II.C.1, II.C.2, II.C.3, II.C.5, III.A.3, III.D.1,
IV.A. 1, IV.A. 5
Exit from Program
I.A.1, I.A.3, I.D.2, I.E.1, I.G.4, I.H.2,I.I.1,I.I.3, II.C.1, II.C.2, II.C.3, II.C.5, II.D.2, III.A.3, III.D.1,
IV.A.1, IV.A.5
Graduate Follow-up
I.A.1, I.A.3, I.D.2, I.E. 1, I.G.4, I.H.2, I.I.1, I.I.3, II.C.2, II.C.5, III.A.3, III.D.1, IV.A. 1, IV.A.5
CONTINUING PROTOCOL FOR KENTUCKY/NCATE VISITS
14
ACRONYMS
BOE
Board of Examiners
CPE
Council on Postsecondary
Education
KEA
Kentucky Education
Association
KERA
Kentucky Education
Reform Act
AIKCU
Association of
Independent Kentucky
Colleges and Universities
National Council of
Accreditation of teacher
Education
NCATE
KY Rev. 1/98
NCATE Format Rev. 5/98
CONTINUING PROTOCOL FOR KENTUCKY/NCATE VISITS
15