Announced Compliance Inspection
The announced compliance inspection is a two-step process. The first step requests the institution to submit specific documentation to the Bureau for compliance review (desk review). The second step consists of an on-site inspection of the institution. If there are any minor violations outstanding at the end of the on-site inspection, a Notice to Comply is issued against the institution.
First Step: desk review
The Bureau mails to the institution a desk review packet. The packet consists of a cover letter and form documents that identify the submissions and responses requested by the Bureau. All requested responses and documentation are based on selected minimum requirements set out in the California Private Postsecondary Education Act of 2009 and corresponding regulations. The institution completes each form in its entirety and provides all requested documentation to the Bureau.
The institution's responses and documents are reviewed for compliance. Deficiencies and detected violations are referred to the on-site inspector for follow-up during the on-site inspection.
The desk review packet includes:
- Announced Compliance Inspection Letter
- General Information
- Student Tuition Recovery Fund (STRF) Minimum Requirements
- Catalog Minimum Requirements
- Enrollment Agreement Minimum Requirements
- Annual Report Minimum Requirements
- Annual Report Minimum Requirements Attachments
- Institutional Website and Advertisements Minimum Requirements
Second Step: On-Site Inspection
The Bureau inspector schedules an on-site compliance inspection with the institution. The on-site inspection will include follow-up on desk review referrals and a comprehensive inspection related to the minimum requirements set out in the California Private Postsecondary Education Act of 2009 and corresponding regulations.
During an on-site inspection, the institution is requested to:
- Avoid scheduling any examinations or field trips on date(s) of the on-site inspection;
- Provide a private room with accessible electrical outlets and sufficient table top space for the inspector to work comfortably;
- Make introductions to the institution's key leaders;
- Provide a comprehensive tour of the institution;
- Ensure that all personnel be made available to the inspector upon request;
- Provide a map of the institution;
- Provide the institution's current organizational chart;
- Provide class schedules (including break times, names of instructors, subjects, room numbers, and number of students in each class);
- Provide a list of all instructors broken down by educational program;
- Provide curriculum for each educational program offered (with copies of educational materials used);
- Provide a list of current students (by name) - broken down by program to include program total;
- Provide a list of graduates within the last 24 months;
- Provide a list of all drops/terminations within the last 24 months;
- Provide the school catalog;
- Provide a blank enrollment agreement;
- Provide all current advertising and promotional materials used by the institution in both the U.S. and other countries (e.g., brochures, audio scripts or telephone solicitations, and internet content).
- Provide all administrative manual including policies and procedures;
- Provide the most current quarterly STRF assessment payment verification;
- Provide faculty personnel files; and
- Provide Health & Safety reports / permits.
The on-site inspection consists of a brief orientation for the institution's administrator; introductions to key leaders of the institution; campus tour; survey and/or interview of students; interview of institution directors and staff; and review of institution policy, records, and files.
At the conclusion of the on-site inspection, an exit briefing is conducted with the institution's administrator and, if warranted, a Notice to Comply is issued to the institution.
94932. Enforcement Authority
The bureau shall determine an institution's compliance with the requirements of this chapter. The bureau shall have the power to require reports that institutions shall file with the bureau in addition to the annual report, to send staff to an institution's sites, and to require documents and responses from an institution to monitor compliance. When the bureau has reason to believe that an institution may be out of compliance, it shall conduct an investigation of the institution. If the bureau determines, after completing an investigation, that an institution has violated any applicable law or regulation, the bureau shall take appropriate action pursuant to this article.
94932.5. Announced and Unannounced Compliance Inspections
(a) As part of its compliance program, the bureau shall perform announced and unannounced inspections of institutions at least every five years.
(b) On or before January 1, 2017, the bureau shall adopt regulations setting forth policies and practices to ensure that student protections are the highest priority of inspections and that inspections are conducted based on risk and potential harm to students. The regulations shall also set forth policies and practices for providing notice to students enrolled at an institution of the results of each inspection of the institution.