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2011State Authorization 101
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2011State Authorization 101



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  • 1. Dr. Pamela K Shay, DBA Vice President for Accreditation & Institutional Effectiveness Franklin University - non-profit, private institution Online & onsite academic offerings Students in 48-50 states at any point in timeSharyl Thompson, MS External Regulatory Affairs Manager Capella University – for-profit, online institution Students in all 50 states
  • 2.  Share our combined years of experience in managing state authorizations for two different types of institutions Share best practices of the management of state authorization processes Provide insights and experience on approaches to successfully navigate the state authorization environment
  • 3. Federal government published new regulationsExposed existing requirements for state authorization Institutions Many unaware they are regulated StatesUnaware of institutions operating in their jurisdiction Result Confusion and degree of panic for institutions Recent ActivityDistrict court “vacating” portion of regs; DOE appeal
  • 4.  Misconception that authorization is required only for distance education There are a number of triggers, including but not limited to: o Students residing in a state o Faculty residing in a state o Recruiting and advertising o Testing sites o Internships, practica, or clinicals o Branch campus located in a state
  • 5.  Start with official regulations ◦ Multiple resources are now available, but the foundation is what the regulations say ◦ Regulations are not always clear and are subject to interpretation If, where, and how to seek authorization depends on several factors including: ◦ Type of institution ◦ Delivery formats ◦ Types of activities conducted within states’ borders Create your own table
  • 6.  Understand the states’ terminology Adjust your terminology to match the states’ Higher education To Educational institution Physical services operate Agent presence Exemption provisions
  • 7.  Have multiple people providing information  Need one overall “manager” Manager A B C• Detail oriented • Strong understanding • Strategic perspective• Multi-tasker of entire institution • Facilitates decision• Strong project • Connected with making regarding management skills people across gray areas• Typing and formatting institution • Participates in risk skills • Condenses large analysis volume of info into useable documents/ sections
  • 8.  Need info from all areas of the institution, including (not exhaustive list): Enrollment & Marketing Recruiting Admissions Institutional Finance Catalog Reporting Library & Faculty Curriculum Student • Credentials • Development • Hiring Services • Assessment • Development
  • 9.  Develop relationship with state regulators First review regs and requirements, then approach with specific questions Understand regulators’ work load and perspective (consumer protection and enforcement of regulations)
  • 10.  Attend regulatory meetings and conferences (federal, state, agency) Serve on state/national task forces Represent your institution at meetings and conferences (WCET, CHEA, AIUCO, NASASPS) Network across agencies and institutions
  • 11.  Number of students in a state Activities institution wants/needs to conduct (internships, recruiting, advertising) Fees for initial approvals, renewals, bonds, etc. Cost of not serving existing students Cost of monitoring and maintaining authorizations These are strategic decisions and involve risk assessment
  • 12.  Ongoing authorization work ◦ Reauthorizations ◦ New program approvals ◦ Enrollment/revenue reporting ◦ Surety bond updates ◦ Agent licenses and renewals Ongoing work for exemptions ◦ Fees, enrollment reporting, reapplication Develop a system of regular review
  • 13. Contact InformationPamela K. Shay Sharyl ThompsonVice President for Accreditation & External Regulatory Affairs ManagerInstitutional Effectiveness Capella UniversityFranklin University Capella Tower201 S Grant Ave 225 South Sixth Street, Floor 9Columbus OH 43215 Minneapolis, MN sharyl.thompson@capella.edu614.947.6135 612.977.5449