CNA - Guide 02 - 2021

Ministry of National Education Republic of Colombia

GUIDE 02

INITIAL CONDITIONS ASSESSMENT OF

ACADEMIC PROGRAMS AND HIGHER

EDUCATION INSTITUTIONSCOUNCIL MEMBERS

Iván Enrique Ramos Calderón Council Coordinator Technical and Technological Department

José William Cornejo Ochoa Council Member Health Sciences Department

Álvaro Acevedo Tarazona Council Member Social and Human Sciences Department

AD HOC COUNCIL MEMBERS

Álvaro Zapata Domínguez Economic, Administrative and Accounting Sciences Department Fernando Cantor Rincón Council Member Basic and Natural Sciences Department

Helmuth Trefftz Gómez Council Member Engineering Department

Carmen Amalia Camacho Sanabria Council Member Education Department

Franco Alirio Vallejo Cabrera Agronomy, Veterinary and Related Programs Department

FORMER COUNCIL MEMBERS

Guillermo Murillo Vargas

Álvaro Andrés Motta Navas

Jhoniers Guerrero Erazo

Álvaro Campo Cabal

Martha Vitalia Corredor Montagut

Fernando Chaparro Osorio

Edgar Díaz Puentes

José Uriel Giraldo Gallón

Pedro Pastor Polo Verano

Harold José Rizo Otero

Jaime Restrepo Cuartas

Bernardo Restrepo Gómez

Alberto Enrique Roa Valero

Guillermo Londoño Restrepo

Diana Elvira Lago de Vergara

Jaime Eduardo Bernal Villegas

Pedro Prieto Pulido

Álvaro Zapata Domínguez

Alberto Enrique Roa Valero

Guillermo Londoño Restrepo

Diana Elvira Lago de Vergara

Jaime Eduardo Bernal Villegas

Pedro Prieto Pulido

Álvaro Zapata Domínguez

María Lorena Gartner Isaza Franco Alirio Vallejo Cabrera

Carlos Augusto Hernández Rodríguez

Luis Enrique Orozco Silva

Diana María Ramírez Carvajal

Carl Henrik Langebaek Rueda

Emilio Armando Zapata

Jairo Alfonso Téllez Mosquera

Cecilia Dolores Correa de Molina

Guillermo Paramo Rocha

Emilio Aljure Nasser (+)

Darío Abad Arango (+)

Ramsés Hakim Murad (+)

Guillermo Hoyos Vásquez (+)

Jesús Virgilio Niño Cruz (+)

José Neftalí Revelo Revelo (+)

Rafael Serrano Sarmiento (+)

EDUCATION TEMPORARY

CHAMBER

Claudia Patricia Salazar Blanco

Gilma Mestre de Mogollón

Jorge Oswaldo Sánchez BuitragoTECHNICAL SECRETARIAT TEAM - CNA

Luis Enrique Silva Segura Technical and Academic Secretary

Patricia del Pilar Amórtegui Perilla Planning and International Certification Advisor

Jenny Patricia Martín Buitrago Legal Counsel

Judith Alexandra Rodríguez Meza Internationalization Advisor

Gina Marcela Parra Marín Communications Advisor

Yenny Paola Cadena Medina Accreditation Process Management

Carlos Campo Rodríguez SACES - CNA Application Manager

Catalina Jiménez Díaz

Internationalization Advisor

Gina Marcela Parra Marín Communications Advisor

Yenny Paola Cadena Medina Accreditation Process Management

Carlos Campo Rodríguez SACES - CNA Application Manager

Catalina Jiménez Díaz Specialized Professional - Administrative and Financial Management

Joshua Gutiérrez Peer Management Support Professional

Diana Carolina Wilches Pérez Technical Assistance Professional

Nydia Constanza Romero Technical Assistance Professional

Ludy Martínez Technical Assistance Professional

Marlly Estefanía González Peña Support Professional

Amparo Peñaloza Archive and Documentation Center Professional

Tatiana Guzmán General ServicesTABLE OF CONTENTS

INTRODUCTION .......................................................................................................................................................................... 5 INTRODUCTION .......................................................................................................................................................................... 6

1. PURPOSE ............................................................................................................................................................................ 7

2. ACTIVITIES OF THE INITIAL CONDITIONS ASSESSMENT STAGE .................................................................................. 9 2.1 Request for Initial Conditions ........................................................................................................................ 11 2.2 Verification of the request to assess initial conditions .............................................................................. 11 2.3 Visit to assess initial conditions ..................................................................................................................... 11 2.4 Report of the visit to assess initial conditions ............................................................................................. 12 2.5 Opinion on the assessment of initial conditions ............................................................................. 12

3. INITIAL CONDITIONS OF ACADEMIC PROGRAMS ......................................................................................... 14

4. INITIAL CONDITIONS OF INSTITUTIONS ...................................................................................................................... 21 4.1 MULTICAMPUS INSTITUTIONS........................................................................................................ 26 4.1.1 Request for initial conditions assessment....................................................................................... 26 4.1.2 Verification of the request to assess initial conditions..................................................................... 26 4.1.3 Visit to assess initial conditions ...................................................................................................... 26 4.1.4 Report of the visit to assess initial conditions ................................................................................. 27 4.1.5 Opinion on the initial conditions assessment ................................................................................. 27

4.1.2 Verification of the request to assess initial conditions..................................................................... 26 4.1.3 Visit to assess initial conditions ...................................................................................................... 26 4.1.4 Report of the visit to assess initial conditions ................................................................................. 27 4.1.5 Opinion on the initial conditions assessment ................................................................................. 27

5. SUPPLEMENTARY INFORMATION AND MASTER TABLES.......................................................................................... 33

6. DEFINITIONS ................................................................................................................................................................... 335

Guide 02 - Initial conditions assessment of academic programs and higher education institutions

INTRODUCTION

The National Accreditation Council, throughout its 25 years of continuous operation, has conceptualized and built an accreditation model aimed at higher education institutions as part of a system that respects and recognizes university autonomy, diversity and the particularities of institutional contexts, which has allowed the development of guidelines for undergraduate academic programs, master's and doctoral programs, medical-surgical specializations and higher education institutions. As part of the updating of the Higher Education Quality Assurance System undertaken by the Ministry of National Education with the support of the National Higher Education Council (CESU), the National Accreditation Council (CNA), the National Intersectoral Commission for Quality Assurance in Higher Education (CONACES, for the Spanish original), the Permanent Quality Commission and the national academic community, the updating of the high quality accreditation model was consolidated through Agreement 02/July 1, 2020 of the National Higher Education Council, and, previously by the amendment of Decree 1075/2015 through Decree 843/2020.

The updating of the high qu ality accreditation model incorporates the most relevant international trends in accreditation matters and the recommendations provided by leading national and international organizations in these matters, especially those contained in the external assessment reports received in compliance with good practices for certifying agencies, carried out by the National Accreditation Council before the International Network for Quality Assurance Agencies in Higher Education (INQAAHE, for the Spanish original) and the IberoAmerican Network for Quality Assurance in Higher Education (RIACES, for the Spanish original). Similarly, it is based on the

practices for certifying agencies, carried out by the National Accreditation Council before the International Network for Quality Assurance Agencies in Higher Education (INQAAHE, for the Spanish original) and the IberoAmerican Network for Quality Assurance in Higher Education (RIACES, for the Spanish original). Similarly, it is based on the history and processes of assessment of high quality in the country, building on what is already in place, recognizing the diversity of institutions, the different modalities and levels of academic programs, and the standardization of the Higher Education Quality Assurance System.

For the purposes of implementation of Agreement 02/2020 by the National Accreditation Council and the internalization by higher education institutions, and in general by the academic and scientific community, procedural guidelines must be developed to guide the accreditation processes in their different stages and enable their implementation by institutions within their communities and provide them with elements for the preparation of the documents that must support the specific stages that the institution shall go through. In order to facilitate the work of the institutions, the guides have been summarized in four documents:

• Guide 01 refers to the accreditation procedure and explains the steps and timelines. • Guide 02 provides guidelines for the initial conditions assessment of academic programs and institutions. • Guide 03 provides guidelines for the self-assessment of academic programs and institutions. • Guide 04 provides guidelines for carrying out assessment and follow -up visits regarding the improvement plans of both academic programs and institutions.

This guide, "Initial conditions assessment of academic programs and higher education institutions" , from the perspective of quality assurance, provides guidelines for institutions to prepare themselves to undergo the initial conditions stage in order to begin high quality accreditation processes.

The National Accreditation Council explicitly recognizes the different areas and people of the higher education sector, the Minister, the Vice-Minister of Higher Education, the Directorate of Quality, the National Council of Higher Education, the CONACES Chambers, and the Permanent Quality Commission, among others, for their support throughout this process of updating the high quality accreditation model.6

Guide 02 - Initial conditions assessment of academic programs and higher education institutions

INTRODUCTION

Education, the CONACES Chambers, and the Permanent Quality Commission, among others, for their support throughout this process of updating the high quality accreditation model.6

Guide 02 - Initial conditions assessment of academic programs and higher education institutions

INTRODUCTION

The high quality accreditation of academic programs and institutions [1] 1, aims to establish whether they meet the highest standards of quality and that they achieve their purposes and objectives, considering the legal nature, identity, mission, type, training levels and modalities; this recognition is granted by the Ministry of National Education, after the completion of the assessment process conducted by the National Accreditation Council (CNA) for high quality accreditation purposes with the National Accreditation Council.

The accreditation process was initially regulated by Decree 2904/1994, which regulated Articles 53 and 54 of Law 30/1992 and established in Article 3 that "The accreditation process begins with the self -assessment, followed by the external assessment performed by academic peers, followed by the comprehensive assessment performed by the National Accreditation Council and ends, if the outcome is positive, with the act of accreditation by the State." However, in the ordinary course of activities of the National Accreditation Council, it became evident that the institutions and academic programs required guidance before starting accreditation processes, so that they could move forward to self -assessment for accreditation purposes while being informed of the National Accreditation System and the high quality accreditation model in order to prepare to carry out a self -assessment process in the best conditions; thus, the initial conditions assessment stage was established.

As an important part of the updating of the accreditation model, through Agreement 02/2020 of the National Council of Higher Education (CESU), it was established that the initial conditions assessment of academic programs and higher education institutions had to be an integral part of the accreditation process, and for this purpose the Ministry of National Education managed the issuance of Decree 843 [2]2/June 13, 2020, which amended Decree 1075/2015, which states that "The procedure for accreditation of both academic programs and institutions shall be carried out

of National Education managed the issuance of Decree 843 [2]2/June 13, 2020, which amended Decree 1075/2015, which states that "The procedure for accreditation of both academic programs and institutions shall be carried out through the following stages: (i) initial conditions assessment, (ii) self -assessment, (iii) external assessment by academic peers, (iv) comprehensive assessment, and (v) issuance of the administrative act granting accreditation or providing recommendations for the institution”. This decree also integrates the actors of the National Accreditation System and establishes the high quality accreditation model as the foundation of the system.

In this regard, the initial conditions are a set of qualities and requirements to be met by the institution or academic programs that voluntarily wish to apply for high quality accreditation and provide a consistent baseline that addresses the factors and characteristics of assessment defined in CESU Agreement 02/2020. The initial conditions assessment is carried out as part of the National Accreditation Council's function of guiding institutions in their selfassessment processes for accreditation purposes. For this purpose, the council members carry out the respective verification, which is not meant to be a complete assessment of the institution or its academic programs.

[1] For all purposes, institutions are understood to be the higher education institutions, as well as all those authorized by law to offer and develop higher education academic programs. [2] This decree adds Chapter 7 to Title 3 of Part 5 of Book 2 of Decree 1075/2015 - Single Regulatory Decree for the Education Sector.7

Guide 02 - Initial conditions assessment of academic programs and higher education institutions

1. PURPOSE

The purpose of the initial conditions assessment stage is to establish whether an academic program or a higher education institution that voluntarily aims to obtain high quality accreditation for the first time, has the potential to continue with the accreditation procedure.

The purpose of the initial conditions assessment is to have a preliminary overview of the dynamics and functioning of the institution as a whole, for which, considering the level of training and modality of the academic program, and

continue with the accreditation procedure.

The purpose of the initial conditions assessment is to have a preliminary overview of the dynamics and functioning of the institution as a whole, for which, considering the level of training and modality of the academic program, and the legal nature, identity, type and institutional mission, the degree of association between the different institutional conditions and str ategies and the resources available for the proper performance of the functions of teaching, research, social outreach and internationalization are analyzed, using indicators that measure achievement of the teaching-learning processes by the students and i ndicators that measure the impact of the institutions in their different regional contexts.

It also allows the academic program or higher education institution to advance in the high quality accreditation procedure through the identification and validation of a culture of continuous improvement in the processes of selfregulation and self-assessment, as well as of its strengths and the implementation of the recommendations by the National Accreditation Council provided as part of the opinion issued in the initial conditions assessment.

Multicampus institutions may opt for multicampus institutional accreditation, for which purpose they shall submit a single document at the initial conditions assessment stage, in which the conditions set forth in Article 25 of Agreement 02/2020 are discussed, for districts and municipalities in special categories 1 and 2.

When the institution also has higher education academic offerings in municipalities in categories 3, 4, 5 or 6, in addition to the aforementioned document, it must submit the regionalization plan and the progress thereof. The National Accreditation Council shall conduct the visit to assess initial conditions in the districts and municipalities of special categories 1 and 2 and determine the relevance of said visit in those of different categories [3] 3.

However, if the main campus of the multicampus institution is located in a municipality in categories 3, 4, 5 or 6, a document must be submitted discussing the initial conditions provided in Article 25 of Agreement 02/2020, in which the districts and municipalities of Special categories 1 and 2 shall be incorporated, if the institution has an academic offering of higher education in these categories.

document must be submitted discussing the initial conditions provided in Article 25 of Agreement 02/2020, in which the districts and municipalities of Special categories 1 and 2 shall be incorporated, if the institution has an academic offering of higher education in these categories.

In the case of accreditation by place of development, the multicampus institution shall submit the information corresponding to the place(s) of development it intends to accredit.

[3] Subsection b) of Article 7 of CESU Agreement 02/2020.8

Guide 02 - Initial conditions assessment of academic programs and higher education institutions

ACTIVITIES

OF THE INITIAL

CONDITIONS

ASSESSMENT STAGE9

Guide 02 - Initial conditions assessment of academic programs and higher education institutions

2. ACTIVITIES OF THE INITIAL CONDITIONS

ASSESSMENT STAGE

The initial conditions assessment is the first stage to be carried out in order to access the National Accreditation System and is applicable when the institution decides to apply for the accreditation of academic programs or of the institution itself for the first time.

The initial conditions assessment includes five activities, as follows:

(I) Request for initial conditions assessment by the institution's Registered Agent. (II) Verification of the request for initial conditions assessment. (III) Visit to assess initial conditions. (IV) Report of the visit to assess initial conditions. (V) Opinion of the initial conditions assessment.

The initial c onditions assessment stage for academic programs and institutions begins with the request by the Institution's registered agent in which he/she expresses the desire to initiate the accreditation process and ends with an opinion issued by the Council indicating compliance with the initial conditions, when it is demonstrated that the academic program or institution has met the conditions to advance to the self-assessment stage for the purpose of high quality accreditation, or an opinion of strengths and aspec ts to be improved has been provided when it is

with an opinion issued by the Council indicating compliance with the initial conditions, when it is demonstrated that the academic program or institution has met the conditions to advance to the self-assessment stage for the purpose of high quality accreditation, or an opinion of strengths and aspec ts to be improved has been provided when it is considered that the academic program or institution does not fully comply with such conditions [4] 4. The sequence of this activity is described in Figure 1.

If the General Chamber of the National Accreditation Council considers that the institution or the academic program does not meet the conditions, it shall confidentially provide the institution's Registered Agent with recommendations for improvement, and the institution may file a new request for an initial conditions assessment, in which in addition to the information related to the aspects established in Articles 24 and 25 of CESU Agreement 02/2020, it must submit the documentation that provides evidence of the actions taken to address the aspects to be improved contained in the opinion issued by the National Accreditation Council in the previous request [5] 5.

The request for an initial conditions assessment shall be submitted by the institution’s Registered Agent through the Higher Education Quality Assurance System (SACES-CNA, for the Spanish original) or its equivalent, indicating the intention of initiating the high quality accreditation procedure, either for one of its academic programs or for the institution [6]6.

Undergraduate academic programs of institutions with current high quality institutional accreditation do not require the initial conditions assessment [7].7

[4] Article 30 of CESU Agreement 02/2020. [5] Article 30 of CESU Agreement 02/2020. [6] Article 26 of CESU Agreement 02/2020. [7] Paragraph 1 of Article 26 of CESU Agreement 02/2020.10

Guide 02 - Initial conditions assessment of academic programs and higher education institutions

Figure 1. Initial conditions assessment stage

All institutions, with or without institutional accreditation, must undergo the initial conditions assessment stage for the first-time accreditation of postgraduate programs [8] 8.

Guide 02 - Initial conditions assessment of academic programs and higher education institutions

Figure 1. Initial conditions assessment stage

All institutions, with or without institutional accreditation, must undergo the initial conditions assessment stage for the first-time accreditation of postgraduate programs [8] 8.

If the institutional or academic program's high quality accreditation expires without the corresponding selfassessment report having been submitted for renewal, the institution must once again request the initial conditions

[8] In the case of undergraduate programs of institutions with high quality accreditation, compliance with the requirements must be guaranteed. Request for Initial Conditions Verification of Information of the Request Visit to Assess Initial Conditions by CNA Council Members Report on the Visit to Assess Initial Conditions Opinion on the Assessment of I.C. Move on to the SelfAssessment Stage The institution may submit a new request for the initial conditions assessment of the academic program or the institution, in compliance with the provisions of Articles 24 and 25 of CESU Agreement 02/2020 and attaching the documentation that demonstrates the actions taken to address the aspects to be improved described in the opinion regarding the strengths and aspects to improve in the previous procedure. The academic program or the Institution may comply with the CNA's request within thirty (30) calendar d ays, otherwise the request shall be considered withdrawn (Article 27 of CESU Agreement 02/2020). Does not comply Complies Complies11

Guide 02 - Initial conditions assessment of academic programs and higher education institutions

assessment [9]9. In the case of academic programs that have a single qualified registration, for the first time high quality accreditation, the initial conditions shall be assessed jointly and simultaneously.

Academic programs that have high quality accreditation and are subject to modification due to an extension of the place of development or due to a single qualification certification in which new places of development and/or

quality accreditation, the initial conditions shall be assessed jointly and simultaneously.

Academic programs that have high quality accreditation and are subject to modification due to an extension of the place of development or due to a single qualification certification in which new places of development and/or modalities are included, shall not require the initial conditions assessment for the new places of development and/or modalities.

In the case of academic programs designed based on preparatory curricular cycles, the institution must request the initial conditions assessment for each and every one of the programs that make up the training proposal by cycles, and not separately.

2.1 Request for Initial Conditions

The Registered Agent of the higher education institution shall submit the request for the initial conditions assessment through the Higher Education Quality Assurance System (SACES -CNA) or its equivalent, stating the intention to initiate the high quality accreditation procedure, either of one or more of its academic programs or of the institution, attaching the appropriate information to address the matters set forth in Articles 24 and 25 of CESU Agreement 02/2020, and in the guides or technical documents established by the National Accreditation Council [10]10.

2.2 Verification of the request to assess initial conditions

The National Accreditation Council shall verify, within the following ten (10) business days, whether the information referred to in Articles 24 and 25 of CESU Agreement 02/2020 is complete, and within the same term may request additional information.

If the institution of higher education does not comply with the request of the National Accreditation Council within the following thirty (30) calendar days, the request shall be deemed withdrawn, unless before the expiration of this term the institution requests an extension for up to the same term, which shall be granted one time only [11]11.

2.3 Visit to assess initial conditions

Once the verification of the request for the initial conditions assessment has been completed, the National Accreditation Council shall appoint, within t he following fifteen (15) business days, the council members who shall

2.3 Visit to assess initial conditions

Once the verification of the request for the initial conditions assessment has been completed, the National Accreditation Council shall appoint, within t he following fifteen (15) business days, the council members who shall carry out the corresponding visit, which shall be carried out upon arrangement of the dates and agenda with the institution's Registered Agent. The visit must be carried out within thir ty (30) calendar days following the date of appointment of the council members responsible for the visit.

The initial conditions assessment of academic programs, for the first time, shall be carried out at all places of development.

In the case of multic ampus institutional accreditation, the National Accreditation Council shall visit the places of development located in municipalities or districts of Special categories 1 and 2 and determine whether those in different categories are relevant.

The initial conditions assessment can be carried out in person or using digital technologies according to the recommendation of the National Accreditation Council and subject to acceptance by the institution.

[9] Paragraph 2 of Article 26 of CESU Agreement 02/2020. [10] Article 26 of CESU Agreement 02/2020. [11] Article 27 of CESU Agreement 02/2020.12

Guide 02 - Initial conditions assessment of academic programs and higher education institutions

In the initial conditions assessment visit, both in person and using digital technologies, the institution must provide the council members with all the logistical support and information required.

Logistical support includes:

• An office or similar space, computer, Internet connection and meeting table. • Availability of the institution's staff for interviews with the commission, as agreed upon in the agenda.

If the initial conditions assessment visit is carried out using information and communication technologies, the Technical Secretariat of the National Accreditation Council shall make the respective agreement with the appointed council members and the institution, in relation to times and mechanisms of interaction, as well as the platform to be used and the access links.

The agenda of the visit must include at least the following activities:

Technical Secretariat of the National Accreditation Council shall make the respective agreement with the appointed council members and the institution, in relation to times and mechanisms of interaction, as well as the platform to be used and the access links.

The agenda of the visit must include at least the following activities:

• Meeting with the President and Directors, which includes a general presentation of the institution. • Interviews with students and professors. • Interviews with employers and graduates. • Tour of the facilities and visit to the premises. • Private work meeting of the council members who conducted the visit. • Final meeting with the President and Directors in which the council members shall verbally report general aspects on the initial conditions assessment.

When the visit is conducted using information and communication technologies, the tour of the fac