Number: INST.E.20.010

Probation is a public sanction that attaches to an institution’s accreditation status. This status indicates that an accredited institution is no longer in compliance with one or more Criteria for Accreditation and/or is not in compliance with other HLC requirements, which may include the Assumed Practices or the Federal Compliance Requirements, such that Probation is warranted. The institution remains accredited while it is on Probation. An action to impose Probation is a final action not subject to appeal.

In placing an institution on Probation the Board of Trustees will identify in the letter notifying the institution of the action the specific areas of non-compliance that led to the Probation and the date for the institution’s next comprehensive evaluation.

The Board’s action will require that an institution initially placed on Probation: 

1. Submit in a timeframe defined by the Board a Provisional Plan comporting with HLC’s Teach-Out Requirements as articulated in applicable policies for such plans to the Institutional Actions Council for review and approval during the probation period;
2. Submit an Assurance Filing that provides clear evidence that the institution has ameliorated the areas of non-compliance and that it is otherwise in compliance with all the Criteria for Accreditation, the Federal Compliance Requirements and any applicable Assumed Practices specifically cited in the Board’s action; and
3. Host an on-site evaluation team to validate the report. 

The initial period for Probation shall generally be two (2) years commencing with the date of the Board’s action placing the institution on Probation and concluding with the Board’s determination that Probation should be removed or other action should be taken. The initial period for Probation may be less than two (2) years if the Board so determines at its discretion. Regardless of the initial period of Probation, under rare circumstances an institution may be eligible for one extension to its initial period of Probation as explained below and subject to the maximum timeframe for noncompliance articulated in INST.E.60.010 Denial or Withdrawal of Status.

The comprehensive evaluation process to consider removal of probation will take place within the time period for the sanction established by the Board. If the institution has been on Notice prior to the imposition of Probation, the Board may take that history into account in determining the length of Probation. An institution that receives Probation for less than two (2) years is not entitled to the remainder of the two (2) years if, at the end of the probationary period, separate from the good cause extension, it has not been able to demonstrate compliance with the Criteria for Accreditation and any cited HLC requirements.

The Board may at its sole discretion grant one extension of Probation at the end of the initial period of Probation if the institution is not able to demonstrate to the Board’s satisfaction that it has ameliorated the areas of noncompliance that led to the sanction or is otherwise in compliance with HLC requirements, but is able to demonstrate all of the following to show that it is eligible for the extension:

1. clear evidence of substantial progress towards meeting the Criteria for Accreditation (or Federal Compliance Requirements or cited Assumed Practices as applicable), including evidence of substantial implementation of necessary improvements, in the majority of areas in which the institution has been previously found to be non-compliant;
2. verifiable plans to cure the remaining areas of non-compliance or any other areas of non-compliance identified in the action granting the extension by the end of the extension period;
3. sufficient capacity and resources in place to cure the identified areas of non-compliance during the extension; and
4. likelihood that the institution will be able to demonstrate compliance with all the Criteria for Accreditation and any cited HLC requirements by the end of the extension.

The extension shall be for one year beyond the initial period of Probation subject to maximum timeframe for noncompliance articulated in INST.E.60.010 Denial or Withdrawal of Status.

The institution shall host a focused evaluation as soon as possible during the one-year extension to determine whether the improvements anticipated in the action granting the extension are in place and functioning to cure any areas of non-compliance identified in that action and whether HLC requirements are met such that Probation may be removed following the requirements for removal of Probation stipulated in this policy or whether accreditation shall be withdrawn or other action taken following HLC policy. The report of the focused evaluation team, and any response to that report filed by the institution, shall be considered by the Board of Trustees in determining its action at end the of extension period.

The Board is not required to have placed an institution on Notice prior to the imposition of Probation nor is the Board required to provide a period of Probation prior to issuing a Show-Cause Order or withdrawing accreditation. In making the judgment about whether to provide a period of Probation or an extension of Probation the Board will weigh the capacity of the institution to resolve the areas of non-compliance within the probationary period, any harm that might result to students and the public from allowing the institution time to resolve areas of non-compliance while remaining accredited, and other factors.

The Board also has the discretion at any time during the probationary period to reevaluate its decision to allow for a period of Probation if it receives evidence of additional non-compliance with HLC requirements or deteriorating conditions at the institution that have the capacity to affect the teaching and learning experience at the institution. In such cases the Board may issue a Show-Cause Order or take other action provided for in these policies.

At the end of the period of Probation or following the extension of Probation or at any time during Probation as specifically outlined in this policy, if the institution cannot provide evidence of ameliorating the areas of non-compliance within the timeframe specified by the Board for the Probation, or if further evidence surfaces that suggests the institution is found not to be in compliance with HLC requirements, whether or not the areas of non-compliance are the same or different from those originally identified, the Board shall withdraw the institution’s accreditation or take other action as provided for in these policies.

Process for Imposing or Removing Probation

Only the Board of Trustees, acting on the recommendation of any evaluation team, an Institutional Actions Council Committee, or the President, shall take action placing an institution on Probation. A team recommendation to place an institution on Probation or extend Probation, other than one arising from an advisory visit process, will automatically be referred to an Institutional Actions Council Hearing Committee. The Board will consider both the team recommendation and the Institutional Actions Council Hearing Committee recommendations in its deliberations. The Board may also act of its own accord to grant an extension of Probation at the time it considers removing Probation without a prior recommendation by an evaluation team or Institutional Actions Council. The President of HLC makes a recommendation for Probation resulting from an advisory visit process directly to the Board. In all cases, the Board of Trustees will act on a recommendation for Probation only if the institution’s chief executive officer has been given an opportunity of at least 14 days to place before the Board of Trustees a written response to the recommendation.

At the end of Probation the Board of Trustees will review recommendations from the comprehensive evaluation team that evaluated the institution and from the Institutional Actions Council Hearing Committee. In taking action, the Board of Trustees may choose to accept, reject, or modify these recommendations. The Board of Trustees may continue accreditation, withdraw accreditation or take other action as provided for in these policies.

Pathways Assignment

An institution placed on Probation is also removed from any reaffirmation pathway until it is removed from Probation. An institution removed from Probation will be placed on the Standard Pathway for its next reaffirmation cycle.

If the Board of Trustees removes the institution from Probation and does not withdraw accreditation or issue a Show-Cause Order, the Board shall reaffirm the institution’s accreditation and assign it to the Standard Pathway. The institution will have an evaluation to reaffirm accreditation no later than four (4) years after the Board acts to remove Probation although the Board may set the reaffirmation date earlier, and the institution will be placed in the Standard Pathway accordingly. The Board may also require interim monitoring as a part of its action. The institution will remain on the Standard Pathway until it completes the full ten (10) year cycle. If at that time accreditation is reaffirmed without further sanction, it may be considered to be eligible for the Open Pathway.

Substantive Change During the Probationary Period

An institution on Probation may file one or more applications for substantive change during the probationary period. However, the institution must address in its application the question of why the change is immediately necessary and how the institution will manage the change while continuing to work to remedy the areas of non-compliance; the application will be subject to strict scrutiny by HLC. The institution should anticipate that the application is likely to be denied or deferred by staff or by the Institutional Actions Council Committee for consideration by HLC after the Board has removed Probation. Under federal regulations, additional requirements for seeking prior approval for certain substantive changes apply specifically to institutions placed on Probation after July 1, 2020, as well as for three academic years following removal of such Probation. Such additional requirements may be found in HLC’s policies on substantive change (see INST.F.20.040 Substantive Change). An approval of a substantive change for an institution on Probation is not indicative of a determination by HLC that an institution has corrected identified areas of non-compliance.

An institution on Probation is not eligible for the Notification Program for Additional Locations and shall be removed from that program by staff after being placed on Probation and for a period of three years thereafter. Additional information may be found in HLC’s policies on substantive change (See INST.F.20.50 Review of Substantive Change).

Public Disclosure of Probation Actions

A Public Disclosure Notice for an institution on Probation will be available on HLC’s website shortly after, but not more than one (1) business day after, HLC notifies the institution of the action imposing Probation. An institution on Probation must notify its Board members, administrators, faculty, staff, students, prospective students, and any other constituencies about the action in a timely manner not more than seven (7) business days after receiving the action letter from HLC; the notification must include information on how to contact HLC for further information; the institution must also disclose this status whenever it refers to its HLC accreditation.

Comprehensive Evaluation Visit During Probation

The comprehensive evaluation conducted during the probationary period will be conducted in accordance with established HLC procedures for comprehensive evaluations but with the following modifications. Timing of the evaluation will be according to a schedule set by HLC’s Board of Trustees in placing the institution on Probation. While the evaluation will review the institution’s compliance with all the Criteria for Accreditation and Federal Compliance Requirements, it will also examine the institution’s conformity with the Assumed Practices specifically cited by the Board. HLC may also determine, if the institution has had a recent comprehensive evaluation within the previous three (3) years prior to the imposition of Probation, that the visit will focus primarily on those areas in which the institution has been found to be non-compliant; therefore HLC may attenuate some aspects of the visit unrelated to the issues involved in Probation.

The President of HLC shall determine whether the institutional liaison or other HLC staff member will accompany evaluation visits related to Probation.

Documentation Evaluated. The Assurance Filing assembled by the institution through a self-evaluative or self-study process should include evidence of remediation of the areas of non-compliance identified in the letter notifying the institution of Probation.

On-Site Visit. A team of Peer Reviewers appointed by HLC staff in accordance with HLC procedures shall conduct a visit to the institution’s main campus and other institutional locations as shall be determined by HLC based on its policies and procedures; for institutions that offer only distance or correspondence education, the team shall conduct its on-site visit to the institution’s administrative offices but may include other institutional locations.

HLC shall retain discretion to determine the length of the on-site visit or to require that team members conduct additional on-site visits to the institution’s facilities as a part of a particular Comprehensive Evaluation to examine specific issues.

Recommendations Arising From Comprehensive Evaluations During Probation. The team of HLC Peer Reviewers conducting a comprehensive evaluation during Probation shall in its written report make a recommendation to HLC’s Board of Trustees for HLC action.

The team shall recommend whether to remove Probation, specifying any interim monitoring that should be attached to the removal, or in the event of ongoing non-compliance, whether to extend Probation, issue a Show-Cause Order or withdraw accreditation. In recommending withdrawal of accreditation, the team may also recommend for the Board’s consideration an effective date for the withdrawal action.

These recommendations, along with the team’s written report, shall be forwarded to an Institutional Actions Council Hearing Committee and from there to HLC’s Board of Trustees.

Institutional Responses to Recommendations Arising From Comprehensive Evaluations During Probation. An institution shall have the opportunity to provide a written response to the written report of a comprehensive evaluation conducted during the probationary period following HLC policies for the provision of institutional responses. An institution shall have at least 14 days to prepare and submit an institutional response to the team report prior to review and action through HLC’s decision-making processes.

Policy History

Last Revised: November 2022
First Adopted: August 1988
Revision History: February 1998, May 2002, February 2011, June 2012, November 2012, February 2014, February 2015, November 2018, June 2020, February 2022, June 2022, November 2022
Notes: Policies combined November 2012 – 2.5(b), 2.5(b)1, 2.5(b)2, 2.5(b)3. In February 2021, references to the Higher Learning Commission as “the Commission” were replaced with the term “HLC.”