A Roadmap for Meeting the
NCATE Preconditions*
*(and keeping everyone in the unit on
speaking terms)
Pamela Ehrenberg
NCATE
Purpose of Preconditions
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To ensure that institutions are ready to host
a site visit
To give institutions a chance to start
collecting and aggregating the kind of
information that will be needed for visits
What does it mean to meet the
preconditions?
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It means the unit will be nominated for
candidacy at the next Unit Accreditation
Board meeting.
It means the unit meets the minimum
requirements to host a visit.
It does not mean the conceptual framework
and assessment plan will be automatically
free from challenge during the site visit.
The preconditions section of the NCATE
website (www.ncate.org/accred/precon.htm)
contains information on:
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Deadlines
Formatting
Sample conceptual frameworks
Tip: Check the website to ensure
you are using the most up-todate information.
Precondition #1: The institution recognizes and
identifies a professional education unit that has
responsibility and authority for the preparation of
teachers and other professional education personnel.
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1.1 A letter from the institution’s chief executive officer
that designates the unit as having primary authority and
responsibility for teacher education programs.
The letter should:
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Be on institutional letterhead
Be addressed to NCATE’s president,
Dr. Arthur Wise
State the name of the unit
State that the unit has primary authority and
responsibility for teacher education programs
Be signed by the CEO of your institution
Usually be 1-2 sentences long
Precondition #1: The institution recognizes and
identifies a professional education unit…

1.1 A letter from the institution’s CEO…
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1.2 A chart or narrative that lists all professional
education programs offered by the institution (including
any nontraditional/alternative programs). The chart or
narrative report should depict (a) the degree or award
levels for each program; (b) the administrative location
for each program—for example, School of Education,
Department of Music; and (c) the structure or structures
through which the unit implements its oversight of all
programs. If the unit’s offerings include off-campus
programs, a separate chart or narrative as described
above should be prepared for each location at which offcampus programs are geographically located.
In a chart, include:
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All programs offered by the unit
Where they are administratively housed
“Structure for oversight” (how the unit keeps track
of programs that are housed in various places)
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In a small institution, all programs might be within the
Department of Education
In a larger institution, oversight might be provided by one
or more committees
Tip: This chart is used later to
ensure that preconditions 7 and
8 are met.
Tip: Remember to include a
separate chart for each offcampus location so it’s clear
what’s offered where.
Precondition #1. The institution recognizes and
identifies a professional education unit …
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1.1 A letter from the institution’s CEO…
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1.2 A chart or narrative that lists all professional
education programs…
1.3 An organizational chart of the institution that depicts
the professional education unit and indicates the unit’s
relationship to other administrative units within the
college or university.
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In one or two organizational charts,
depict:
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The structure of the unit
How the unit fits into the structure of the
institution
Any committees mentioned in 1.2
Precondition # 2
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A dean, director or chair is designated as
head of the unit and is assigned authority
and responsibility for overall administration
and operation.
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2.1 Job description of the professional education
unit head
This job description is usually:
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Of a type issued by a Human Resources
department
About one page long
Precondition # 3
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The unit has written policies and
procedures that guide the operations of the
unit.
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3.1 The cover page and table of contents for the
documents that contain codified policies and
procedures for the unit’s operations, including
policies and procedures pertaining to its
candidates.
This precondition requires
evidence of TWO kinds of policies:
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Policies related to candidates (may be
found in student handbook or student
teaching handbook)
Policies related to unit operations (may be
found in faculty handbook)
Tip: Evidence of policies is fine
(web-based or print-based tables
of contents). Actual policies aren’t
needed at this stage.
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.
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4.1 The vision and mission of the institution
and unit.
Tip: The conceptual framework is the only
precondition reviewed by the Annual Report
and Preconditions Audit Committee.
Therefore, it should be a self-contained
document that includes everything the
committee needs for review.
What are the mission and
vision?
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Mission: What is the unit going to do? (an
action statement)
Vision: What does the unit hope to achieve
for the future?
Tip: It is helpful if the unit’s mission
aligns clearly with the institution’s
mission.
Precondition # 4: The unit has a well
developed conceptual framework …
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4.1 The vision and mission…
4.2 The unit’s philosophy, purposes, and
goals.
What are philosophy, purposes,
and goals?
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Philosophy: What is the unit’s overarching
belief system?
Purposes/goals (sometimes called
“outcomes”): More specific statement of
how the unit will use the philosophy to
achieve the mission
Precondition # 4: The unit has a well
developed conceptual framework …
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4.1 The vision and mission…
4.2 The unit’s philosophy, purposes, and
goals.
4.3 Knowledge bases, including theories,
research, the wisdom of practice, and
education policies, that inform the unit’s
conceptual framework.
Knowledge bases
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What theories/research undergird the belief
that these purposes/goals are worthwhile?
Tip: This section should be
sufficiently fleshed out to describe
how these sources influenced
section 4.2.
Precondition # 4: The unit has a well
developed conceptual framework …
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4.1 The vision and mission…
4.2 The unit’s philosophy, purposes, and
goals.
4.3 Knowledge bases…
4.4 Candidate proficiencies aligned with the
expectations in professional, state, and
institutional standards.
How specific candidate
proficiencies align with…
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Institutional standards (these are the
purposes/goals from 4.2)
State standards
National standards
Tip: “Align with” = show it in a chart
Precondition # 4: The unit has a well
developed conceptual framework …
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4.1 The vision and mission…
4.2 The unit’s philosophy, purposes, and goals.
4.3 Knowledge bases…
4.4 Candidate proficiencies aligned with …
standards
4.5 A description of the system by which
candidate performance is regularly assessed.
How does the unit assess whether
candidates meet the proficiencies
listed in 4.4?
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When are candidates assessed?
What assessments are used?
How does the unit ensure (or plan to ensure) that
assessments are accurate and consistent?
What are the consequences for candidates
performing at different levels on the assessments
(counseling, remediation, etc.)?
Precondition # 5:
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The unit regularly monitors and evaluates its operations,
the quality of its offerings, the performance of
candidates, and the effectiveness of its graduates.
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5.1 A description of the unit’s system for
evaluating its operations, the quality of its
offerings, the performance of candidates, and the
effectiveness of its graduates.
The assessment system
should:
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Include assessments for candidates and for
unit operations
Give evidence that it will be in line with the
NCATE transition plan in time for the visit
In an assessment system,
Candidate assessments
should:
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Include multiple data
sources
Be formative (i.e., they
should take place at
multiple checkpoints)
Be required of everyone in
a given cohort
Unit assessments should:
Include multiple data sources
Be collected and analyzed
regularly and
systematically
“Multiple data sources” could
include surveys of graduates,
employers, and cooperating
teachers; student teaching
evaluations; state test results…
Precondition #6: The unit has published criteria for
admission to and exit from all initial teacher
preparation and advanced programs and can provide
summary reports of candidate performance.
6.1 A photocopy of published documentation (e.g.,
from a catalog, student teaching handbook,
application form, or web page) listing the basic
requirements for entry to, retention in, and
completion of professional education programs
offered by the institution, including any
nontraditional/alternative and off-campus
programs.
In other words:
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Published admission, retention, and exit
requirements for all programs
Precondition #6: The unit has published criteria for
admission to and exit from all initial teacher
preparation and advanced programs and can provide
summary reports of candidate performance.
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6.1 Published documentation listing the basic
requirements…
6.2 A brief summary of candidate performance on
assessments conducted for admission into
programs and exit from them. This summary
should include (a) the portion of Title II
documentation related to candidate admission
and completion
that was prepared for the state
.
and (b) compilation of results on the unit’s own
assessments.
Results of assessments
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At entry
For example, “50% of undergraduate applicants
had an SAT score between 900 and 1100.”
 At exit
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External assessments (e.g., state licensing test
results)
Internal assessments that the unit designed
(portfolios, student teaching assessments, etc.)
Tip: This is the only precondition
that asks for data/assessment
results.
Precondition # 7: In states with a program approval
process, the unit’s programs are approved by the
appropriate state agency or agencies.
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7.1 The most recent state approval letters, including or
appended by a list of approved programs. If any
program is not approved, the unit must provide a
statement that it is not currently accepting new
applicants into the non-approved program(s). For
programs that are approved with qualifications or are
pending approval, the unit must describe how it will
bring the program(s) into compliance.
The list might look familiar…
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It’s probably the same list of programs provided in
1.2.
Any differences (e.g., programs being phased out
or new programs seeking state approval) should
be explained in a cover memo.
Cover memo should also explain how the unit will
achieve state approval for programs approved
with qualifications or pending approval.
Precondition # 8:
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
submitted program reports for each program for which
NCATE has approved program standards.
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8.1 A list of program reports that have been
submitted to NCATE
Tip: NCATE’s program review staff
check this list against the list of
programs in 1.2 and against the
program reports actually submitted.
Precondition # 9:
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The institution is accredited, without probation
or an equivalent status, by the appropriate
institutional accrediting agency recognized by
the U.S. Department of Education.
9.1 Current accreditation letter and/or report that
indicates institutional accreditation status.
This accreditation letter should
be:
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The most recent one available
From one of the six regional accrediting
bodies or USDE-recognized national
accrediting body
Closing Tip #1: Start planning
early.
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Preconditions require collaboration, and
people may not be available during
summer and winter holidays.
It is difficult for NCATE to give extensions,
because deadlines are tied to meeting
schedules of the ARPA committee and the
Unit Accreditation Board.
Closing Tip #2: Practice documenting
things as clearly as you would for the
site visit.
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If the most important piece of information is in
Appendix 37, it could easily be missed. If possible,
avoid appendices altogether.
It might be helpful to have someone outside your
institution look at a draft version of the
preconditions to see how easily the document is
understood.
Closing Tip #3: Remember the
purpose of preconditions.
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If you’re spending hours doing something
that feels useless, that’s a sign that what
you’re doing may not be required. It might
also be taking time and energy away from
something that is required.
Closing Tip #4: There are no silly
questions.
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It is helpful for NCATE staff to know when
many people have the same question.
It takes less staff time to answer your
question than to process a precondition
that had to be resubmitted.