Section 071-114-3 - PROCEDURES FOR THE INITIAL REVIEW AND APPROVAL OF EDUCATOR PREPARATION PROGRAMS3.1 These procedures are to be used with the standards found in Section 2, for the review and approval of programs preparing professionals for all categories of certification. "Educational personnel" encompasses all categories of professional personnel certified for service in Maine schools.3.2 Educator Preparation Programs a) A preparation program for educational personnel will meet the state-adopted standards and will allow an accredited degree-granting unit to recommend its graduates for certification. The applicant program will identify the professional roles for which the program is designed. The graduates recommended by the Dean or director of the program will receive certification which reflects the nature of their preparation and program recommendation. b) Candidates who graduate from units without state approved programs, including alternate routes certification, shall access initial certification by the process of transcript analysis through recognized coursework status set forth in section 3.9 or upon graduation from programs accredited by nationally recognized accreditation agencies as set forth in section 3.8. Such units will work with Department personnel to move to approved program status.c) All units preparing professional educators for certification, including alternate routes to certification, shall have approved programs. Program approval recommendation will be the avenue by which those persons who successfully complete the approved program will be recommended for certification in the appropriate categories for which the unit is approved.3.3Addressing Program Standardsa) The request for program approval should be directed to the Commissioner, who in turn will notify the State Board of Education of the intent to seek approval of a new or existing program. The request for initial program approval shall be made at least six four (4) months prior to the proposed on site inspection.b) The request shall contain a brief and explicit description of the programs. The request shall be signed by the Executive Officer of the unit involved. Such signature shall be the assurance that the governing body of the applicant unit has approved the request for program approval. In the case of a consortium, the governing body of each unit, through the chief Executive Officer, shall indicate its approval of the program approval request. The request shall identify a program liaison person who will serve as the contact person and in a coordinating role for the request on behalf of the program.3.4Preparation of the Self Assessmenta) The unit shall address the program approval standards through a self assessment. The applicant will describe its goals and objectives within the program components and will identify the extent to which its goals and objectives have been achieved. The Program Approval Handbook will provide the applicant with additional information and guidance.b) The self assessment shall provide information, evidence, and data descriptive of the request in terms of the six (6) program standards. The self assessment document may also include other relevant information and data as may be necessary to support the program request.c) Innovative Practices. The unit shall work cooperatively with P-12 school administrative unit personnel in establishing technical assistance services for the implementation of innovative instructional practices for Maine's Learning Results Standards the use of technology and innovative ways to address diverse populations. Those field experiences shall reflect the following: 1) Planned technical assistance is provided by the unit through local collaboratives which focus on curriculum, instruction, and staff development.2) Comprehensive field-based programs are promoted in which the unit assists local schools with the implementation of innovative school improvement and development strategies.3) The unit in collaboration with local schools conducts field-based research regularly. The focus of this activity is to promote effective practices in the classroom, building and district.d) The unit shall have two (2) options by which the program approval visit will be conducted. The options are as follows: 1) On-Site Visit: The On-Site Review Team will consist of 4-5 team members, plus the MDOE consultant and a State Board of Education Observer. The size will depend on the context and complexity of each professional education unit. i. An on-site visit by the State Board approved review team will commence mid-day on a Sunday and will end by mid-day on a Wednesday when the unit's candidates and faculty will be on campus. ii. Prior to arrival on the unit's campus the review team will read and weigh the unit's self assessment against the applicable candidate and program standards contained in this rule. iii. During the on-site visit the review team will look to affirm that the unit meets the applicable standards and is committed to continuous improvement. This process will involve examination of the unit's exhibits, as referenced in the self assessment document; individual and group interviews, both on-and-off-campus; observation of educator preparation classes; observation and interaction with candidates and cooperating teachers in clinical practice settings. iv. Through Team consensus building meetings it will be determined whether the unit has met the applicable standards. v. During an Exit Conference the Team's findings and next steps in the review process will be shared with unit representatives. With the exit conference the on-site visit is brought to a close. The on-site review process, which will depend on the context and complexity of each professional education unit, is outlined below:
Schedule
| Unit submits self study report | Initial: 4 months before the onsite visit Renewal: 2 months before on-site visit |
| Review Team formed and State Board approved | Up to 1 month following submission of Unit's self study |
| Pre-visit conducted with applicant Unit Head and other unit representatives | By Review Team Chair and Department's liaison consultant 30 days prior to Review Team's on-site visit |
| Review Team conducts on-site visit | Team visit from Sunday noon to late morning Wednesday when students, faculty, administration and cooperating teachers and administrators are available |
2) Off-Site and On-Site Visit: Approved by the State Board to provide formative feedback to professional education units before the on-site visit, an Off-Site Team will review the Unit's self assessment report, exhibits, Title II data, and appropriate other reports. i. The Off-Site Review Team will consist of 4-5 team members, plus the MDOE consultant and a State Board of Education Observer. The size will depend on the context and complexity of each professional education unit. The Off-Site Review Team and the On-Site Review Team members will be the same throughout the review process.ii. The off-site review will be conducted electronically approximately 1-3 months after the Unit's self study has been submitted to the Higher Education Specialist at the Maine Department of Education. iii. The electronic meeting of the Offsite Review Team will be conducted via conference call or some other medium. All team members must have access to the MDOE's limited access site and the Unit's electronic exhibits during the meeting. The meeting will be scheduled for four (4) hours and adjusted as needed for each review.iv. The Off-site Team will review the Unit's self study and supporting evidence by standard and discusses areas of concern related to each standard.v. The Unit head should be available to answer inquiries from the Offsite Review Team as needed during the team's electronic meeting.Off-Site Review Team Feedback Report
The Off-site Review Team will prepare a Feedback Report that provides the following information for the Unit as it prepares for its on-site visit. (The Unit will have the opportunity to respond to any areas of concern in a self study Addendum that should be available to the Onsite Review Team one to two months before the onsite visit.)
a. Statement about the evidence. i. Does the evidence make the case that standards continue to be met?ii. What, if any, key evidence was not available to the Team?b. Comments on the Unit's progress toward meeting the target level on one or more standards.c. Feedback on correcting previous areas for improvements.d. List of areas of concern related to continuing to meet a standard.e. List of evidence for the On-site Review Team to validate during the onsite visit. The Off-Site, On-Site review process, which will depend on the context and complexity of each professional education unit, is outlined below:
Schedule
| Unit submits Self Study Report | 6 months before the onsite visit |
| Offsite Review Team meets electronically | 1-3 months after Unit's Self Study is submitted |
| Review Team's Feedback Report is posted on MDOE (available on limited access site) | Generally within 1-2 weeks after Offsite Review Team meeting |
| Unit submits self study Addendum, which responds to the Review Team's Feedback Report | On-site pre-visit with the Review Team Chair and the MDOE consultant - 30 days before the onsite visit, self study Addendum must be available |
| Review Team conducts on-site visit | Team visit from Sunday noon to late morning Tuesday - students, faculty, administration, cooperating teachers and administrators must be available |
Staff Support to the Offsite Review Team
The MDOE consultant will provide Offsite Review Teams advice, give guidance, and explain how other teams have handled similar situations. The MDOE consultant may provide additional information to the Offsite Review Team, including explanations of problems related to standards that a Unit may be experiencing. Training of Offsite Review Team Members
Review Team members will receive appropriate training on the process which may include web seminars. 3.5Identification and Preparation of the Visitation Teama) The Commissioner shall select the Review Team members and shall submit these names to the unit for its approval to ensure that no selected member presents a conflict of interests. The list of potential members of a visitation team shall be submitted to the State Board for approval prior to the visitation. The size of the team will depend on the context and complexity of each professional education unit. For each program approval visit a member of the State Board of Education will be designated by the Board Chair to serve on the review team as a Board Observer. Team membership shall be broadly representative of those areas affected by the program and shall include one or more classroom teachers, when possible, and one or more education faculty members. Team members will receive training appropriate to the conduct of their role.b) The Review Team chair, shall be designated by the Commissioner and approved by the State Board. The Review Team chairperson and the Department liaison person shall ensure that team members have the materials necessary to conduct the review.c) Before the on-site visit, the Department shall conduct a preliminary visit to: 1) gain information about the program so that the assignments of team members can be made;2) develop a schedule identifying the major commitments, interviews, and team meetings3) request work space and equipment; and4) set the dates of the visitation with the number of days based upon the scope of the request. The duration of each visit will be appropriate to the size of the unit.3.6The Team VisitationThe purpose of the visitation is to review the self assessment document in the context of the six standards and develop the information and database upon which a team recommendation of approval status can be made to the State Board of Education. Information and data for the review and in support of the recommendations are to be developed through the interviews, study of facilities, curricula and other relevant reports and information, and observations the team members make during the visitation. A Summary Review session shall be conducted with team members and program staff members present so that both parties are aware of the conclusions that have been reached and the approval status to be recommended to the State Board of Education by the team. It is also an opportunity for both program staff and team members to question and to identify any items which should be the subject of some further clarification and to identify the specific steps which should be completed before the Chairperson drafts the final team report.
3.7 The Team Reporta) Following completion of the visitation, it is the responsibility of the chairp to write a draft of the final team report and share it with the team members for comment and suggestions. The chair shall send a copy of the final draft of the team report to the applicant unit for only corrections of factual errors.b) The final team report shall respond to each of the six (6) program standards. Each of the six (6) sections shall be organized into two sub-sections. 1) a sub-section narrative which identifies the validation activities and observations of the team members with reference to the specific areas of the self assessment validated and/or not validated; and2) a sub-section which identifies specific program commendations and the recommendations governing program adjustments and program modifications in accordance with the State Program Approval Standards and in the context of the self assessment.c) The final section of the report shall contain a specific team recommendation as to the approval status to be recommended by the team to the State Board of Education.d) The final team report shall be completed by the chairp within 60 days of the conclusion of the visitation. Upon completion of the final team report, copies will be furnished to the director of the applicant program, to the Commissioner and to the members of the team.3.8Joint Program Approval1)In lieu of meeting the standards for approval contained in Standards two (2) through six (6), in Section 2 of this rule, preparation programs may obtain approval for purposes of Maine Department of Education Regulation 115 under the following circumstances: a) The applicant unit is nationally accredited by the National Council for the Accreditation of Teacher Education (NCATE), the Teacher Education Accreditation Council (TEAC), or the Council for the Accreditation of Educator Preparation (CAEP).b) The applicant is accredited by another national accrediting agency that is recognized by the U. S. Department of Education and whose standards have been approved by the State Board of Education. The method of State participation includes the following:c) A joint visitation by State representatives and the accrediting authority will provide the basis for decisions of both state program approval and national accreditation. This process will result in a recommendation to the State Board and a report to the accrediting authority.2) The State Board policies establishing team composition and procedures are:a) use team members selected by the Commissioner and approved by the unit ensuring that no team members present a conflict of interest. These team members shall be submitted to and approved by the Board prior to visitation;b) use team members who are broadly representative of those areas affected by the program and shall in all cases include one or more classroom teachers, when possible, and one or more education faculty members;c) use team members who have been trained and have knowledge of the process of program evaluation according to State Board and accrediting authority standardsd) seek to achieve a balance in committee membership to include representatives from units of higher education, public schools, state education agencies, subject matter personnel and practitioners; ande) assign appropriate and adequate teams for the size of the unit, the scope and the tasks necessary. 1) Each State team member and State team chair will be approved by both the State Board and the accrediting authority.2) The State team members will be trained in the application of the accrediting authority unit Standards and accrediting authority team members will be trained in the application of the State Board standards set forth in standards one (1) through six (6) of Section 2 of this rule.3) The curriculum for educators must be in compliance with Maine Department of Education Regulation 115.4) Upon completion of the visitation, the joint team shall send the Department full copies of all reports issued by it to the unit under review, plus any response submitted by the unit, any rejoinder by the joint team, and any further reports and correspondence relating to the merits of the review;f) The Commissioner shall forward the materials received from the joint team to the State Board along with a recommended disposition. On the basis of the documents and information received from the Commissioner, and any other pertinent information, the State Board shall approve, approve with conditions, or deny approval to a preparation program. This final decision rests solely with the State Board.3.9Recognized Coursework StatusCoursework taken at a unit not approved under this rule may be recognized for purposes of certification by individual evaluation under Maine Department of Education Regulation 115 if:
a) The unit is accredited pursuant to Maine Department of Education Regulation 115; andb) The unit has demonstrated compliance with Subsection 2 (Standard 2.1 Initial Teacher Candidate Performance, Standard 2.3 - Field Experiences and Clinical Practice, Standard 2.5 - Faculty Qualifications, Performance and Development, Standard 2.6 - Unit Governance and Resources) with respect to each certificate as to which recognized coursework status is sought. Evidence of compliance submitted by the unit shall be reviewed by the Department liaison person rather than by a visitation team as provided in section 3.2 of this rule. However, the Commissioner's designee, with the assistance of such additional personnel as is required, may visit the unit to review the evidence submitted.3.10Introduction of New Programs and/or Major Revisions to Existing ProgramsUnits with approved programs may seek approval for new programs or for major revisions to existing programs during the term of an approval cycle. The procedures for seeking approval in either situation are as follows:
a) Introduction of new programs. In the event that a unit introduces a new program, | . . . (in an application for State program approval) the unit shall provide documentation that the new program demonstrates compliance with Subsection 2 (Standard 2.1 - Initial Teacher (Educator) Candidate Performance, Standard 2.3 - Field Experiences and Clinical Practice, Standard 2.5 - Faculty Qualifications, Performance and Development, Standard 2.6 - Unit Governance and Resources) with respect to each endorsement and/or certificate as to which approval is sought. |
Evidence of compliance shall be reviewed by the Commissioner's designee rather than by a visitation team as provided in section 3.2 of this rule. However, the Commissioner's designee, with the assistance of such additional personnel as are required, may visit the unit to review the evidence submitted.
b) Major revisions to existing approved programs. In the event that a unit makes major revisions to an existing approved program the unit shall provide documentation that the program revisions are in compliance with the standards utilized for the current approval status. Evidence of compliance shall be reviewed by the Department liaison person rather than by a visitation team as provided in section 3.2 of this rule. However, the Department liaison person, with the assistance of such additional personnel as (s)he requires, may visit the institute to review the evidence submitted.3.11Action by the State Board of Educationa) The Commissioner shall direct the preparation of the State Board of Education presentation on the unit's request. The presentation shall include the self assessment document for initial approval or the Status Report for renewal, the final Review Team report and any supplemental information and evidence relevant to the applicant program. The review Team chairperson and the unit liaison person, or their designees, shall represent the Review Team at the State Board of Education meetings and hearings relevant to approval. b) The applicant program may file with the Review Team chairperson and the Commissioner additional information or a clarifying statement with reference to the Review Team report and its recommendations at least fifteen (15) days prior to the action of the State Board of Education on the request.c) Final action of the State Board of Education shall be based upon submission and review of the program approval request, the self assessment document and the final Review Team report, included in the Presentation described in Section 3.7(a), above.d) Approval shall be granted by the State Board of Education in one of the following categories: 1) Seven (7) year approval. To be approved in this category the unit must be nationally accredited by NCATE (the National Council for the Accreditation of Teacher Education); by TEAC (the Teacher Education Accreditation Council); by the Council for Accreditation of Educator Preparation (CAEP); or any successor national accrediting entity that is recognized by the US Secretary of Education. [In the prior version of Chapter 114 this item appeared as 2) - it has been moved to 1].2) Five (5) year approval. If approved in this category, the unit must submit an annual program update, not to exceed five (5) pages, summarizing yearly data, changes, additions and deletions using a template provided by the Department. This update must be submitted by April 7th of each calendar year. [In the prior version of Chapter 114 this item appeared as 1) - it has been moved to 2].3) Two (2) year approval. If approved in this category, the unit must submit a report, which addresses the weaknesses identified in the Team Report the date to be determined by the Board, that addresses the standard(s) found to be in need of improvement in the Review Team Report. The Interim Report will serve as the basis for either: full program approval or a re-visit by the Review Team to determine eligibility for full program approval status. Depending upon the severity and/or the continuation of the weaknesses identified in the Interim Report, a conditionally approved unit may be required to develop and submit a full self assessment before a re-visit by a Review Team is conducted. The unit report will serve as the basis for the Board's decision to extend the current approval period to five years or to determine whether a re-visit to the unit needs to be conducted by a Board approved review team. 4) Approval denied for cause. Units denied approval may not reapply for one year following such action by the State Board of Education.e)Requests for extensions for existing approval, due to extraordinary circumstances, may be granted at the discretion of the State Board of Education; however, such extensions shall not extend the date when the subsequent approval is due. The Board will only consider such requests in emergency situations.3.12Annual Program UpdateApproved programs must submit an annual program update to the Commissioner by April 7th of each year. The program update should not exceed five (5) pages in length and will summarize yearly data, changes, additions, trends and deletions. The program update is to be submitted on forms provided by the Department.
3.13Savings Clausea)Programs. All programs approved by the State Board of Education shall retain their approved status until expiration of the approval or accreditation cycle currently in effect except when conditions warrant reconsideration of prior approval. These conditions include discontinuance of instruction or designation as a low-performing program.b)Students. Students matriculated in an approved program are eligible upon graduation to apply for initial certification under Maine Department of Education Regulation 115 as long as the program remains approved at time of graduation.3.14Costs Supported by the Department of EducationThe following costs of the program approval process shall be the responsibility of the Department of Education:
a) The expenses required to create, maintain, administer, and train a cadre of State Board approved qualified individuals to serve on Review Teams.3.15Costs Supported by the UnitIn addition to all materials preparation and documentation costs, the following costs of the program approval process shall be the responsibility of the unit:
a) Travel, meals, and overnight expenses of the members of the Review Teams in accordance with the same guidelines as apply to the unit;b) On-site costs of secretarial and clerical help to be used for activities related to the review such as: photocopying, faxing and other related services.c) Travel and overnight expenses of the State Board Observer will be covered by the State Board of Education.3.16Appealsa) The applicant unit has three appeal routes: 1) Administrative - Procedural Appeal At any point through the completion of the final Review Team report, the applicant unit may file an appeal of any procedural matter governed by sections 3.4, 3.5, 3.6 and 3.7 of this rule in writing directly to the Commissioner of Education. Such appeal must be made within five (5) days of the time of the action in question. At the discretion of the Commissioner, the processing of the request for approval may be delayed pending resolution of the issue in question. When the processing is delayed, every effort shall be made to resolve the question within ten (10) days. In all cases, requests and decisions must be made in writing but in no case shall any procedural appeal be made a part of the report for action by the State Board of Education except at the request of the applicant unit.
2) Substantive ReviewIn cases when the applicant unit wishes to question formally the recommendation(s) of the Review Team prior to action of the State Board of Education, it may do so by filing a description of its concern. The applicant unit must indicate its intent to take this action within ten (10) days of the receipt of the final Review Team report and have its description of concern on file with the Department within fifteen (15) days of the statement of intent. All such information then becomes a part of the record for review by the State Board of Education.
3) Appeal of State Board of Education ActionThe applicant unit may, in all cases when it does not accept the action of the State Board of Education, request a hearing before the State Board of Education at which time any new or additional information and evidence may be presented for the consideration of the Board. The State Board of Education shall then take action again on the request in one of the three approval categories as described in Section 3.11 (d, 1-4 of this rule), and such action will constitute final agency action.
05-071 C.M.R. ch. 114, § 3