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Section I. The Ethical Core of College Admission

Section II. The Responsible Practice of College Admission

Section III. Definitions of Procedures and Glossary

Section IV. Education, Monitoring, and Compliance Procedures

Statement of Principles of Good Practice: NACAC’s Code of Ethics and Professional Practices

Approved by the2017 Assembly

Contents

Preamble and Core Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Section I . The Ethical Core of College Admission

A . Truthfulness and Transparency: Guiding Principles and Rationale . . . . . . . . . . . . . . . . . . . . . . 2

B . Professional Conduct: Guiding Principles and Rationale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

C. RespectforConfidentiality:GuidingPrinciplesandRationale . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Section II . The Responsible Practice of College Admission

A . Application Plans for First-Time Undergraduates in the United States: Guiding Principles and Rationale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

B . Admission Cycle Dates, Deadlines, and Procedures for First-Time Fall Entry Undergraduates: Guiding Principles and Rationale . . . . . . . . . . . . . . . . . . . . . . . . . . 6

C . Wait Lists: Guiding Principles and Rationale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

D . Transfer Admission: Guiding Principles and Rationale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

E . The Use of Commissioned Agents in International Student Recruitment: Guiding Principles and Rationale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

SectionIII.DefinitionsofProceduresandGlossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Section IV . Education, Monitoring, and Compliance Procedures . . . . . . . . . . . . . . . . . . . . . . . . 13

IntroductionThisdocumentreflectsNACAC’slong-standingcommitmenttoprincipledconductamongprofessionalswhosupportstudentsinthecollegetransitionprocessfromsecondaryschooltopostsecondaryeducationandinthetransferprocessbetweenpostsecondary institutions .

All NACAC members agree to abide by the Statement of Principles of Good Practice (SPGP): NACAC’s Code of Ethics and Professional Practices.SincemembershipinNACACanditsstateandregionalaffiliatesisinstitutional,organizational,andindividual,membersmust adhere to the Code of Ethics and Professional Practices and take responsibility for their institution’s actions, including the actions ofdepartmentsandofficesthatarenotunderthemember’spurview,aswellasagents,consultingfirms,vendors,andotherswhoacton behalf of their institution .

Evenwithourbestefforts,thisdocumentcannotanticipateeverynewadmissionorrecruitmentprocessorstrategythatmaybeenacted.Wehope,however,thatprofessionalswillalwayshonorthespiritandintentofthisdocument.Asthecollegeadmissionlandscapecontinuestochange,adjustmentstothelanguage,procedures,orbehaviorsadvancedinthisdocumentwillbeconsidered.

The SPGP: NACAC’s Code of Ethics and Professional Practicesisdividedintofoursections:

• Sections I and II articulate the ethics and practice of our profession .

• SectionIIIisaglossarythatfocusesondefinitionsandstipulationsthatareimportantforunderstandingthisdocument.Weurgereaderstopayparticularattentiontothedefinitionsforcolleges,candidatesforadmission,counselors,deadlinesandtimezones,lawsandregulations,deposits,secondaryschools,student-athletes,andtransferstudents.

• SectionIVoutlinesNACAC’sEducation,Monitoring,andComplianceprocedures.ItshowsreadershowtofileacomplaintandhowNACACfollowsuponcomplaints.Italsospecifiestheconsequencesofnoncompliance.

PreamblePostsecondaryeducationhasthepowertotransformanindividual’slifebyprovidingapathtopersonalfulfillment,ameaningfulcareer,andtherealizationofdreams.Itspowercanleadoursocietytoafuturethatincludesengagedcitizensandamoreprosperous21st century .

Collegeadmissionandcounselingprofessionalshelpstudentsmakethoughtfulchoicesabouttheirfutures.Ourworkisguidedbyprinciplesofhonesty,integrity,transparency,equity,fairness,andrespectforstudentsandfellowprofessionals.Thesevaluesguideusinourservicetostudentsandfamilies,ourinstitutions,society,andeachother.

Promoting ethical admission practices has been the cornerstone of the National Association for College Admission Counseling (NACAC) since our founding in 1937 . The Statement of Principles of Good Practice,whichwithpublicationofthisdocumentisrenamed SPGP: NACAC’s Code of Ethics and Professional Practices, protects the interests of both students and institutions by upholding a college admission process free from coercion and discrimination . The SPGP: NACAC’s Code of Ethics and Professional Practicesservesasthebasisofourprofessionandanaffirmationofwhatwestandfor.

Ourprofessionstrivestoensurethatthestudentsweserveandallofourcolleaguesarevaluedandsupported.Wethrivebyembracingandengagingouruniqueidentities,experiences,andperspectives,andwearecommittedtoincreasingtheenrollmentand success of historically underrepresented populations . We are dedicated to promoting college access and addressing systemic inequitiestoensurethatcollegecampusesreflectoursociety’smanycultures,stimulatetheexchangeofideas,valuedifferences,

andprepareourstudentstobecomeglobalcitizensandleaders.

The SPGP: NACAC’s Code of Ethics and Professional Practices is the conscience of our profession . Itguidesouractionsinthefaceofcurrentandemergingpressures.Itempowersus

tobuildtrustandfindcommongroundwhileweworktoensurethateverystudent’sdignity,worth,andpotentialarerealizedinthetransitionto

postsecondary education .

Core Values

EducationWebelieveinandarecommittedtoeducating students, their families, the public,felloweducationprofessionals,andourselvesaboutthetransitiontoandwithinpostsecondaryeducation.

FairnessandEquityWebelieveourmembershavearesponsibility to treat one another and students in a fundamentally fair and equitablemanner.Ourinstitutionalandindividualmembersstrivetoeliminate from the education system bias based on race, ethnicity, creed, sex,genderidentity,sexualorientation,socioeconomic status, age, political affiliation,nationalorigin,ordisability.Weviewthisasfundamentaltoourresponsibility as educators .

ProfessionalismWebelievethatethicalbehavioristhe foundation of the counseling, admission, and enrollment management profession . We are responsible for the integrity of our actionsand,insofaraswecanaffectthem, the actions of our member institutions,organizations, andindividuals.

CivilityWebelievemembersshouldconductdialoguewithrespectandopennesstodifferences,listeningtovariousperspectivesfromaplaceofsupportand understanding . Members should strivetodisagreewithoutbeingdisrespectful,abusive,ordemeaning.

CollaborationWebelievetheeffectivenessofourprofession—college counseling, admission, and enrollment management—isenhancedwhenweworktogethertoadvocateforstudentsand their best interests .

TrustWebelieveourprofessionisbasedupon trust, mutual respect, and honesty withoneanotherandwithstudents.

Social ResponsibilityWebelievewehaveadutytoservestudents responsibly by safeguarding their rights and their access to and withinpostsecondaryeducation.

SPGP: NACAC’s Code of Ethics and Professional Practices | Page 1 of 15

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A. Truthfulness and Transparency: Guiding Principles and Rationale

Counselingprofessionalsmustprovidetheirstudentsandcollegeswithcomplete,truthful,andfactualinformationthatwillallowthemtomakeinformeddecisions.

Collegesareequallyobligatedtoprovidecomplete,factual,andreadilyaccessibleinformationthatwillallowstudentsandtheircounselorstomakeinformedcollegecomparisonsandchoices.

Implementation:

1 . All members agree: a. theywillaccuratelydescribe,represent,andpromote

theirschools,institutions,organizations,andservicestostudentsandtocolleaguesandwillnotmisrepresentthemselvesortheirinstitutions.Thisincludesthedatathatappearonprofiles,websites,and promotional materials and data that are reported tothegovernment,privateagencies,andthemedia

b. whentheyshareinformationaboutstudents,itwillberelevanttothecollegeadmissionprocessandwillbeaccurate,up-to-date,complete,andfreefrommisrepresentations of fact or material omissions

c. whentheypublishtranslations,thosetranslationswillfullyandaccuratelyreflectthemeaningofthetextinthe original language

d. theywillcomplywithalllocal,state,provincial,andfederallawsandlawfulregulations.

2. Collegesmustmakepubliclyavailableaccurate,complete, and current information concerning: a . deadlines for applying for admission, scholarships,

financialaid,andhousingb. thefactorsconsideredinmakingadmission,financial

aid, and scholarship decisions, including, but not limited to, students’ demonstrated interest, social media presence, personal conduct, legacy status, andfinancialneed

c . academic majors and other academic offerings and programs, such as honors programs, off-campus study, conditional admission, and post-graduation outcomes

d. theavailabilityandselectionprocessforinstitutionalhousing, deadline dates for housing deposits, housingdepositrefunds,andpoliciesforrenewalofinstitutional housing

e. costsandtheavailabilityofscholarshipsandfinancialaid.InaccordancewiththeCodeofConductof the National Association of Student Financial AidAdministrators(NASFAA),institutionalawardnotificationsand/orotherinstitutionallyprovidedmaterialswilluseNASFAA’sstandardterminologyandincludethefollowing:• aclearidentificationoftheindividual

components of the institution’s cost of attendance that distinguishes direct costs (potential billable charges) from indirect costs (such as books and supplies)

• aclearidentificationofeachcomponentofafinancialaidawardtoindicatewhetheritisgiftaid (such as a grant or scholarship), a loan that the student must repay, a loan that another party must repay, or employment (such as Federal Work-Study)

• therenewalrequirementsforeachaward.

3. Secondaryschoolswillprovideaccurate,legible,andcomplete transcripts and other school documents for all candidates for admission or scholarships . Secondary schools must: a. ensurethatthedatareportedonschoolprofilesand

other documents is accurate and current, and must betransparentaboutwhenthedataweregatheredandthegroupsthatareincludedorexcludedfromthe data

b . describe on their school’s transcripts or school profilestheirgradingscaleoranyothermethodof representing student progress, their grade distribution,theirpoliciesonweightingcoursesandonrepeatingcourses,andwhethergradesfrom all courses attempted are reported on transcriptsandincludedinanycumulativeGPAcalculation . Schools must also disclose their policy for reporting disciplinary infractions . Regardless of such policies, they must disclose to colleges any changeinastudent’senrollmentstatuswhetherpre- or post-admission .

Section I . A .



B. Professional Conduct: Guiding Principles and Rationale

Advocatingforthebestinterestsofstudentsintheadmissionprocessistheprimaryethicalconcernofourprofession.Thisrequiresthatstudentsreceivecollegeadmissioncounselingthattheycantrust.

Memberswillthereforeadheretohighstandardsofindividualandinstitutionalprofessionalconduct.Conflictsofinterest,whetherrealorperceived,andunprofessionalconductunderminethattrust.

Similarly,secondaryschools,colleges,individuals,andNACACmemberorganizationsandagenciesshouldworktogetherinanenvironmentthatfostersthattrust.Publicdiscoursethatisbasedonfalseorincompleteinformation,hearsay,ormaliceisdetrimentaltothatenvironmentandtothefairandethicalpracticesnecessaryfortheequitablerecruitmentofstudents.

Implementation:1. Toprovidecollegecounselinginthebestinterestof

students,memberswill:a. provideguidanceandinformationtohelpstudents

determine their best academic, personal, and financialcollegematch

b . inform students and families of their ethical responsibilities in the admission process, including counseling students that it is unethical to: • submitfalse,plagiarized,orfraudulentstatements

on applications or other documents • havemorethanonependingEarlyDecision

application • maintainanactiveenrollmentdepositorthe

equivalentatmorethanoneUScollege.(Itisunderstood that students admitted conditionally tocollegesoutsidetheUSmayhavenomorethanoneactivedepositpercountry.)

c . inform students that they should notify colleges once theyhavedecidedtodeclinetheiroffersofadmission.

2. Toavoidconflictsofinterestandtheappearanceofunethicalbehavior,memberswill:a . not be compensated by commissions, bonuses,

orotherincentivepaymentsbasedonthenumberof students referred, recruited, admitted, or enrolled . The use of commissioned agents to recruitstudentswhoareneitherUScitizensnorUSpermanentresidentsisarecognizedexception(See Section II .E ., The Use of Commissioned Agents in International Student Recruitment)

b. notofferoracceptanyrewardorremunerationtoinfluenceanadmission,housing,scholarship,financialaid,orenrollmentdecision

c. ensurethatrepresentatives,includingindividuals,vendors,consultants,agents,oragencies,willadhere to the SPGP: NACAC’s Code of Ethics and Professional Practiceswhileactingontheinstitution’s behalf .

3. Tomaintainacultureofprofessionalcivilityandrespect,memberswillnot:a . disseminate inaccurate or misleading information

about other secondary schools, colleges, organizations,orindividualprofessionals

b. engageinclearlyrecognizableoffensivebehaviororother egregious personal conduct that is contrary to the best interests and purposes of NACAC .

Section I . B .



C. Respect for Confidentiality: Guiding Principles and Rationale

The college admission and counseling community depends on trust . An important component in building thattrustisarespectforconfidentiality.

Implementation:1. Memberswillsendandreceiveinformationabout

candidatesinconfidenceandwillprotecttheconfidentialityofallinformationthatisshared.

2. Secondaryschoolmemberswillnotdivulgetocollegesanindividualstudent’scollegeapplication,admission,enrollment,orfinancialaidandscholarshipoffersduringtheadmissionprocesswithoutexpresspermissionfromthestudent.Norwillcollegemembersdisclosesuchinformationtoothercollegeswithoutexpresspermissionfromthestudent.Itisunderstood,however,thatifacandidate has been admitted Early Decision, then the college may notify the candidate’s high school and other colleges of the candidate’s application status .

3. Collegememberswillnotaskcandidates,theircounselors,theirschools,orotherstodivulgeorrankorder their college preferences on applications or other documents.Theymayaskthequestionverballyonlyiftheanswerwillnotbeusedtoinfluenceanadmission,scholarship,orfinancialaiddecision.

4. Collegesmay,however,requiredocumentationthatmightdivulgethenameofanotherinstitutionwhenitsupportsacandidate’sappealofanadmission,financialaid,orscholarshipdecision.Thisisonlypermissiblewhentheappealhasbeeninitiatedbythecandidateandwhentheappeal references an offer from another institution .

Section I . C .



A. Application Plans for First-Time Undergraduates in the United States: Guiding Principles and Rationale

TheapplicationplansknownasEarlyAction,EarlyDecision,Restrictive/SingleChoiceEarlyAction,RegularDecision,andRollingAdmissionarewidelyusedthroughouttheUnitedStatesbystudentsandcounselors.Byagreeingtouseonlytheseapplicationplans,collegesprovideclarityandconsistencytoaprocessthatwouldotherwisebecomplexandconfusing.Collegesmayusevariousapplicationformsortypes,buttheymustadheretotheapplicationplansoutlinedbelow.

ImplementationCollegesintheUnitedStatesagreetheywilluseonlytheplansdefinedbelowandwillabidebytheSPGP: NACAC’s Code of Ethics and Professional Practices’definitionsandstipulations.Theywillnotidentifytheseplansbyothernames,norwilltheyusetheseplannames to refer to other aspects of the college admission process .

1 . Standard application plans Regular Decision: Students submit their applications by

aspecifieddeadlineandarenotifiedofadecisionwithina clearly stated period of time .

Rolling Admission: Students apply at any time after a collegebeginsacceptingapplicationsuntilafinalclosingdate,whichmaybeaslateasthestartofthetermforwhichtheyareapplying.Studentsarenotifiedofadecisionastheirapplicationsarecompletedandarereviewed.

a. Studentswhoapplyunderthetwostandardapplica-tionplanswillnotberequiredtoacceptthecollege’soffer of admission prior to May 1 .

b. Collegesmustdisclosewhetheradmissiontotheirinstitution or to any of their programs or majors or se-lectionforscholarshipsisonafirst-come,first-servedbasis . In these cases, they must establish a priority deadline that assures students of full consideration, and that deadline must not be earlier than October 15 .

2 . Early application plan Early Action (EA): Students apply by an earlier deadline

toreceiveadecisioninadvanceofthecollege’sRegularDecisionnotificationdate.Studentswillnotbeaskedtoaccept the college’s offer of admission or to submit a deposit prior to May 1 .

3 . Restrictive early application plansa . Early Decision (ED): Studentscommittoafirst-

choice college and, if admitted, agree to enroll and withdrawtheirothercollegeapplications.CollegesmayofferEDIorIIwithdifferentdeadlines.Thisistheonlyapplicationplanwherestudentsarerequiredtoaccept a college’s offer of admission and submit a deposit prior to May 1 . i . Because it is a binding commitment, Early Deci-

sioncanneverbetheonlyapplicationoptionforadmission . Regular Decision or Rolling Admission mustalwaysbeanoptionaswell,thoughcollegesmust alert students if space may be limited for stu-dentswhochoosethoseoptions.Collegesmayadopt an Early Decision option that applies only to certain majors or programs (such as high-

demandmajorsthathavestrictenrollmentlimits).ii . Colleges must notify candidates of the decision

withinaclearlystatedperiodoftime.Anonrefund-abledepositmayberequiredbeforeMay1.

iii. Collegeswillrespondtoanapplicationforfinancialaidatornearthetimeofanofferofadmissionandbeforeadepositisrequired.Shouldastudentwhoappliesforfinancialaidnotbeofferedanawardthatmakesattendancepossible,thestudentmayrequestareleasefromthe Early Decision commitment .

iv. Ifacandidateisdeniedordeferred,anEarlyDecision application ceases to be binding .

v. WhilepursuingadmissionunderanEarlyDecisionplan, students may apply to other institutions under a Standard or Early Action Application plan, butmayhaveonlyoneEarlyDecisionapplicationpending at any time .

vi. Collegesmustnotofferincentivesexclusivetostudents applying or admitted under an Early Decisionapplicationplan.Examplesofincentivesinclude the promise of special housing, enhanced financialaidpackages,andspecialscholarshipsforEarlyDecisionadmits.Collegesmay,however,disclosehowadmissionratesforEarlyDecisiondiffer from those for other admission plans .

vii.Collegesthathaveadmissionpreferencesforspecificapplicantpopulations,suchaslegacies(typicallysiblingsortheoffspringofalumni/ae)orrecruited athletes, must state if those preferences areavailableonlytoEarlyDecisioncandidates.

b . Restrictive/Single Choice Early Action (REA): StudentsapplytoacollegeofpreferenceandreceiveadecisioninadvanceofitsRegularDecisionnoti-ficationdate.Collegesplacecertainrestrictionsonapplying under other early application plans . Stu-dentsadmittedunderRestrictiveEarlyActionarenotobligated to accept the college’s offer of admission or to submit a deposit prior to May 1 . i. CollegeswithRestrictive/SingleChoiceEarlyAction

must not restrict students from applying under other colleges’ Regular or Rolling application plans .

ii . Colleges must clearly articulate their restrictions intheirRestrictive/SingleChoiceEarlyActionpoliciesandagreementswithstudents.

iii. Collegesmustnotofferincentivesforapplyingun-deraRestrictive/SingleChoiceEarlyActionplan.

iv. Ifacandidateisdeniedordeferredadmission,aRestrictive/SingleChoiceEarlyActionapplicationceasestoberestrictive.

Section II . A .



B. Admission Cycle Dates, Deadlines, and Procedures for First-Time Fall Entry Undergraduates: Guiding Principles and Rationale

Collegechoicesshouldbeinformed,well-considered,andfreefromcoercion.Studentsrequireareasonableamountoftimetoidentifytheircollegechoices;completeapplicationsforadmission,financialaid,andscholarships;anddecidewhichofferofadmissiontoaccept.Oncestudentshavecommittedthemselvestoacollege,othercollegesmustrespectthatchoiceandceaserecruitingthem.

Similarly,collegesneedprotectionwhenotherinstitutionspressurestudentstosubmitapplicationsorenrollmentdepositsbeforeestablisheddeadlinesorwhentheycontinuetosolicitapplicationsorenrollmentsafterstudentshavefinalizedtheircollegedecisions.

Implementation in the United StatesCollegesintheUnitedStatesagreetheywilladheretotheSPGP: NACAC’s Code of Ethics and Professional Practices’ established datesanddeadlines,asspecifiedbelow,forthefallcollegeadmissioncycle.Theyalsoagreenottoestablishpoliciesorengageinpracticeswhoseeffectistocircumventthesedatesanddeadlines.Itisunderstoodthatprogramswherestudentsareduallyenrolledinbothhighschoolandcollegearearecognizedexceptiontothesedeadlines.

While the SPGP: NACAC’s Code of Ethics and Professional Practices providesdeadlinesforthefalladmissionoffirst-timeundergraduates,itissilentregardingapplicationsfortermsotherthanfallbecausethedifferencesinacademiccalendarsmakethisimpractical.However,col-legesarestillobligatedtostatetheirdeadlinesforapplications,financialaid,enrollmentdeposits,andhousingonwebsitesandpublications.

1 . Agreed upon dates and deadlinesa . October 15: This date is the earliest deadline colleges

mayrequirefirst-yearcandidatestosubmitanapplicationforfalladmission.Membersmustgiveequalconsiderationtoallapplicationsreceivedbythatdate.

b. Notificationofadmission:Membersmustnotnotifyfirst-yearcandidatesoftheirfalladmissionbeforetheofficialcompletionoftheirjunioryearofsecondaryschooloritsequivalent.

c. Notificationoffinancialaid:Collegesmustnotifyacceptedaidapplicantsoffinancialaiddecisionsatleasttwoweeksbeforetheinstitutionalenrollmentconfirmationdeadline,solongasthecandidateshavesubmittedallrequestedapplicationformsand supporting materials by the designated priority deadline.Notificationrequirementsforwaitlistproceduresarearecognizedexception.

d . May 1—National Candidates Reply Date: Colleges mustpermitfirst-yearcandidatesforfalladmissiontochoose among offers of admission and institutional financialaidandscholarshipsuntilMay1.BindingEarly Decision plans and recipients of athletic scholarshipsarerecognizedexceptions.

e. August1—Waitlistedcandidates:Thisisthefinaldatefornotifyingallcandidateswaitlistedforfalladmissionoftheresultsofthewaitlist.

2 . Colleges must not establish policies, engage in practices, implyadvantage,orofferincentiveswhoseeffectistocircumventtheSPGP: NACAC’s Code of Ethics and Professional Practices’establisheddeadlines.Incentivesareallowedwhenequallyavailabletostudentswhowaituntiltheestablisheddeadlines.Collegeswillnotguaranteeadmission,specificcollegeplacement,orinstitutionalfinancialaidorscholarshipawardspriortoanapplicationbeingsubmitted,exceptwhenpreexistingcriteriaarestatedinofficialpublications.

3 . The May 1 National Candidates Reply Datea. CollegesmuststatetheMay1deadlineexplicitlyin

theiroffersofadmissionandclearlyindicatewhetherdeposits submitted prior to May 1 are refundable or non-refundable . Making a deposit refundable, however,stillobligatesacollegetoabidebytheMay1 National Candidates Reply Date .

b. Collegeswillhonortheiradmission,scholarship,andfinancialaidcommitmentstostudentsandwillnotadverselyaltertheirofferspriortoMay1forcandidateswhochoosenottoreplyuntilthatdate.NorwilltheystateorimplythatcandidatesmightincursuchapenaltybywaitinguntilMay1tosubmitan enrollment deposit .

c . The May 1 deadline also applies to any academic major, institutional scholarship, or special program towhichthecandidatehasbeenofferedadmission.Examplesofspecialprogramsmayincludehonors programs and dual-enrollment graduate or professional degree programs .

d . The May 1 deadline also applies to summer session enrollmentsifthestudentisafallapplicantwhoisrequiredtoenrollinsummerclassesasaconditionoffall enrollment .

4 . Housing assignments and May 1 Colleges must not use on-campus housing assignments

to manipulate enrollment commitments prior to May 1 . Theonlyexceptionoccurswhencollegesareunabletohousealltheirfirst-yearstudents.Inthatcase,theymayassignhousingonafirst-come,first-servedbasisand alert candidates that on-campus housing is not guaranteediftheywaituntilMay1tosubmittheirhousing deposits . In such situations, colleges must refund their enrollment and housing deposits if students cancel their admission by May 1 .

Section II . B .



5. Collegeswillnotknowinglyrecruitorofferenrollmentincentivestostudentswhoarealreadyenrolled,registered,havedeclaredtheirintent,orsubmittedcontractual deposits to other institutions . May 1 is the pointatwhichcommitmentstoenrollbecomefinal,andcollegesmustrespectthat.Therecognizedexceptionsarewhenstudentsareadmittedfromawaitlist,studentsinitiateinquiriesthemselves,orcooperationissoughtbyinstitutionsthatprovidetransferprograms.

These statements capture the spirit and intent of thisrequirement:a . Whether before or after May 1, colleges may at

anytimerespondtoastudent-initiatedrequesttoreconsider an offer or reinstate an application .

b. Oncestudentshavedeclinedanofferofadmission,collegesmaynolongerofferthemincentivestochangeorrevisittheircollegedecision.BeforeMay1,however,collegesmayaskwhethercandidateswouldlikeareviewoftheirfinancialaidpackageorotherincentivesbeforetheiradmissioniscanceled,solongasthequestionisaskedatthetimethattheadmittedstudentsfirstnotifythemoftheirintenttocancel their admission .

c . After May 1, colleges may contact students whohaveneitherdepositednorwithdrawntheirapplicationstoletthemknowthattheyhavenotreceivedaresponsefromthem.Collegesmayneitheroffernorimplyadditionalfinancialaidorotherincentivesunlessstudentshaveaffirmedthattheyhavenotdepositedelsewhereandarestill interested in discussing fall enrollment .

6 . Deferred enrollment Deferredenrollment,sometimesknownasdeferred

admission or guaranteed transfer, means that the student is enrolling for a term that is later than the one forwhichthestudentoriginallyappliedforadmission.Therearetwokindsofdeferredenrollment:a. Student-requesteddeferral:Collegesmaygrant

theserequestsattheirdiscretionandsetanenrollment deposit deadline so long as it is notinadvanceofthedepositdeadlineforthetermforwhichthestudentoriginallyappliedfor admission . Colleges must clearly state their deferred enrollment policies and may prohibit deferredstudentsfromtakingcollege-levelclasseselsewherebeforetheyenroll.

b . College-initiated deferral: The college defers the student, declining to offer admission for the term for whichthestudentapplied,butofferingadmissionor “guaranteed transfer admission” for a later term.Collegesmayrequirestudentstocompletecollege-levelcreditselsewherebeforeenrollment.Collegesmust,however,allowstudentstochoosewhethertoearnthesecreditsasdegree-seekingornon-degree-seekingcandidates,exceptwheretheyhaveapartnershipagreementwithanotherinstitutionthatrequiresenrollment.

Implementation Outside the United States1 . While the admission cycle dates and deadlines are

specifictoinstitutionsintheUnitedStates,membersoutsidetheUSmuststillcomplywiththeremainingprovisions,whichincludeincentivesbeforestudentshaveappliedforadmission,notificationofadmission,andnotificationoffinancialaid.

2 . Postsecondary member institutions that meet the followingcriteriamustalsoadheretoadmissioncycledates and deadlines as described:a. Postsecondarymemberinstitutionswhoseprimary

location is outside the US, but maintain a campus withintheUS,mustadheretoadmissioncycledatesanddeadlinesforfirst-yearapplicantstotheirUS-based campuses .

b. PostsecondarymemberinstitutionswhoseprimarylocationiswithintheUS,butmaintainacampusoutside the US, must adhere to admission cycle datesanddeadlinesforfirst-yearapplicantstoallcampuses, including those located outside the US .

Section II . B .



C. Wait Lists: Guiding Principles and Rationale

Waitlistsgivestudentswhowerenotinitiallyadmittedanotheropportunitytobeconsideredforadmission,andtheyhelpcollegesmanagetheirenrollments.Byplacingastudentonthewaitlist,acollegedoesnotinitiallyofferordenyadmissionbutextendstothecandidatethepossibilityofadmissionnolaterthanAugust1shouldspacebecomeavailable.

Sincethenumberofstudentswillingtoacceptanofferofadmissionfromthewaitlistdeclineseachdaythatcollegeswaittoextendanofferofadmission,theSPGP: NACAC’s Code of Ethics and Professional Practicespermitscollegestoassessinadvanceawaitlistedcandidate’slevelofinterestandfinancialneedandtorequireatimelyverbalcommitmentonceanofferofadmissionhasbeenextended.

Timelywaitlistoffersandacceptancesbenefitotherwaitlistedstudentswhowanttoknowwhethertheywillbeadmitted.Theyalsoallowothercollegestoknowwhichoftheirdepositedstudentsarecancelingtheiradmissiontoacceptanothercollege’sofferfromthewaitlist.

Implementation1. Whentheyinitiallyofferstudentsaplaceonawaitlist,

collegesmuststatewhathistoricallyhasbeentherangeinnumbers or percentages of students offered admission from thewaitlistandwhathasbeentheavailabilityofhousingandfinancialaid.Collegesmaycountonlystudentswhoelectedtoremainonthewaitlistandmayusehowevermanyyearsof data they deem reasonable .

2. Collegesmustnotrequireadepositorsetafeeforremainingonawaitlist.

3. Collegesmayaskstudentswhohaveacceptedaplaceonthewaitlisttoindicatetheirlevelofinterest,butmustnotaskthem to rank order or identify their other college choices .

4. UntilMay1,studentswhoareofferedadmissionfromawaitlistmustbegivenatleastthroughMay1,or48hours,whicheverislonger,toaccepttheoffer.Thisappliesbothtoinformaloffers(suchasrequestsforverbalcommitments)aswellastoofficialoffersofadmission.Itisunderstoodthatbeforeadepositorotherfinalcommitmentisrequired,studentsmustbenotifiedoftheavailabilityofhousingandthosewhosefinancialaidapplicationiscompletemusthavereceivedtheirfinancialaidawardpackage.

5. AfterMay1,studentswhoareofferedadmissionfromawaitlistmaybeaskedtocommitverballywithin48hoursoftheoffer.Collegesmaysettheirowndeadlinesforsubmittingenrollmentdepositsafterstudentshaveverballycommitted . It is understood that before a deposit or other finalcommitmentisrequired,studentsmustbenotifiedoftheavailabilityofhousingandthosewhosefinancialaidapplicationiscompletemusthavereceivedtheirfinancialaidawardpackage.

6. CandidateswhoremainonawaitlistforfalladmissionmustbenotifiedofafinaladmissiondecisionnolaterthanAugust 1 .

Section II . C .



D. Transfer Admission: Guiding Principles and Rationale

Transferadmissioniscomplexinwaysthatmakeitimpracticaltoestablishuniversaldatesanddeadlinesforwhenapplicationsmaybeacceptedandwhencandidatesmustacceptordeclineoffersofadmission.Transferadmissionisoftencontingentontheavailablespaceintheundergraduateclassorinspecificmajorsorprograms,oronthenumberoffirst-yearstudentswhohaveacceptedoffersofadmission.Thissignificantvariationintransferrecruitmentandadmissionpracticesacrossinstitutionsmakesitdifficulttostandardizethetransitionfortransferstudents.

Fairnessandtransparencyrequirethattransfercandidatesnotbeaskedtomakeacommitmenttoenrolluntiltheyareabletoreviewtheirfinancialaidawardandanestimateofhowmanycreditsalreadyearnedwilltransferandadvancethemtowardadegreeatthereceivinginstitution.

Implementation1 . While the SPGP: NACAC’s Code of Ethics and Professional

Practicesdoesnotsetspecificdatesanddeadlinesfor transfer admission, colleges must clearly state their deadlinesforapplyingfortransferadmission,financialaid,scholarships, and housing . Colleges must make good faith effortstobeflexibleinenforcingcommitmentdeadlinessothatcandidateshavetheopportunitytoassessalloftheirtransfer,financialaid,courseregistration,andcreditevaluationoptions.

2. Collegeswillbetransparentinpublishingtheiradmissionrequirementsfortransfercandidates,includingrestrictionsorlimitations regarding particular majors or programs .

3. Collegeswillpublishup-to-datelistsoftheinstitutionswithwhichtheyhavearticulatedtransferagreements,includingwhichcoursesandcreditstransferandtheminimumcoursegrade that is acceptable for transfer .

4. Beforetransfercandidatesarerequiredtosubmitanenrollment deposit or other commitment to enroll, colleges willprovidethemwith:a. anevaluationoftheirpriorcollege-levelcreditsthat

isagoodfaithestimateofhowthosecreditswillbeappliedtowardtheirgraduationrequirements.Anonlinearticulatedtransferagreementwillmeetthisrequirement.

b. afinancialaidawardnotification,aslongastheyhavesubmittedallrequestedapplicationformsandsupporting materials by the designated deadline .

c. eitheradepositdeadlineextensionor,uponrequest,anenrollmentdepositrefund,ifcollegescannotprovidecreditevaluationsoraidnotificationandthestudentdecides not to enroll .

5 . Colleges must not solicit transfer applications from a previousyear’sapplicantorprospectpoolunlessthestudentshavethemselvesinitiatedatransferinquiryorthecollegehasverifiedpriortocontactingthestudentsthattheyareeitherenrolledatacollegethatallowstransferrecruitment from other colleges or are not currently enrolled in a college .

6. Tofacilitatetransfer,collegesfromwhichastudentistransferringwillprovideaccurate,legible,andcompletetranscripts and other school documents for all candidates for admission or scholarships .

Section II . D .



E. The Use of Commissioned Agents in International Student Recruitment: Guiding Principles and Rationale

Commissionedagentsarecontractedandpaidbycollegesthatpartnerwiththemtorecruitinternationalstudentstotheirinstitutionsandtoestablishalocalpresenceinparticularregionsabroad.Agentsadvisestudentsconcerningcurricula,programs,andpoliciesandmayalsoprovidein-countrymarketingorotherservicestotheirinstitutionalpartners.Someagentsarealsopaidbytheirstudentandfamilyclientsforcollegecounselingandsuchadditionalservicesasassistancewithvisaapplications,housing,andadaptingtoanewculture.

NACACprohibitsmemberinstitutionsfromusingcommissionedagentstorecruitUScitizensorUSpermanentresidentssincecommissions,bonuses,orotherincentivepaymentsprovidedonapercapitabasiscanleadtobiasedandself-servingcollegecounseling.Sincecommissionedagentsmaybeamainsourceofguidanceformanyfamiliesincountriesthatlackasignificantpresenceofschool-basedcollege counselors, independent educational consultants, and college fairs, the SPGP: NACAC’s Code of Ethics and Professional PracticesmakesalimitedexceptionwhenstudentsareneitherUScitizensnorUSpermanent residents .

The SPGP: NACAC’s Code of Ethics and Professional Practicesrequiresthatmemberinstitutionsthatengage agents must ensure that their relationship is completely transparent to students and families and conductedwithintegrityandaccountability.Thereareethicalobligationsthatmustbefollowedtoprotectstudents,provideawayforcollegestouseagentsresponsibly,andprovidethepublicwithabasisfordistinguishingagentswhoareethicalfromthosewhoarenot.

Implementation1. NACACmembersmayhavebusinessrelationshipsonlywith

agentswhofollowtheseSPGP: NACAC’s Code of Ethics and Professional Practices’ guidelines for commissioned international agents . a. Agentsmustabidebythelawsandlawfulregulations

oftheirownhomecountries,theirstudents’homecountries, and the countries of the postsecondary institutionswithwhichtheyhaveabusinessrelationshiportowhichtheyaredirectingtheirstudentclients.Thisincludes neither soliciting nor accepting commissions, bonuses,orotherincentivepaymentsprovidedonapercapitabasisforsecuringenrollmentofUScitizens,includingdualcitizensandpermanentresidents.

b . Agents must disclose to their student and family clients thenamesofallpostsecondaryinstitutionswithwhomtheyhaveabusinessrelationship.

c. Agentsmustprovidetoboththeirstudent/familyclientsandtheirpostsecondaryclientsawrittenagreementthatitemizestheirservicesandchargesandconfirmsthattheywillabidebytheseguidelinesforagents.

d . Agents must not be a party to fraudulent conduct ormisrepresentation.Thisincludesfraudulentvisaapplications, fraudulent test scores, and fraudulent admission documents, including applications, transcripts,essays,interviews,résumés,portfolios,andletters of recommendation .

e . Agents must not misrepresent their postsecondary client’s academic and non-academic offerings, costs, facilities,admissionrequirements,availabilityoffinancialaid,orpost-graduationoutcomes.

f . Agents must not guarantee admission to any postsecondary institution nor guarantee or offer a financialaidorscholarshipaward.

g . Agents must not offer secondary schools or their personnel any form of compensation for the referral of student or parent clients .

h . Agents must not engage in misleading or fraudulent advertisingoftheirservicesorpublishtranslationsthatdonotfullyandaccuratelyreflectthemeaningofthetextintheoriginallanguage.

2. NACACpostsecondarymemberswhohavebusinessrelationshipswithcommissionedagentsagreetomeetthefollowingethicalstandards:a. Membersmustrequireagentstoabidefullybythe

guidelines for agents that are set forth in the SPGP: NACAC’s Code of Ethics and Professional Practices .

b . Members must ensure institutional accountability by monitoring the actions of those commissioned agents actingontheinstitution’sbehalfandexerciseduediligence in responding to complaints of misconduct on the part of agents .

c. Membersmustdisclosethattheyareworkingwithagentsonallpromotionalinformationdirectedtowardinternationalapplicants.Institutionalwebsiteswilllistthe names and contact information of all commissioned agentswithwhomtheyhaveabusinessrelationship.

Section II . E .



Admission officers and offices: Admissionofficersareprofessionals employed by or representing colleges . Their workmayincludesomeorallofthefollowing:recruitingandcounseling students about the transition to college; informing studentsaboutundergraduateadmissionrequirements,programs,andotherofferingsandopportunities;reviewingandtaking action on applications for admission or scholarships . Admissionofficesmayalsobereferredtoasenrollmentmanagementofficesandadmissionprofessionalsmaybereferred to as enrollment managers or admission counselors .

Alleged violations of the SPGP: NACAC’s Code of Ethics and Professional Practices:ThesearecomplaintsfiledbyanyoneagainstaninstitutionorindividualfornoncompliancewiththeSPGP: NACAC’s Code of Ethics and Professional Practices.AllegedviolationsoftheSPGP: NACAC’s Code of Ethics and Professional Practices are referred to the national or affiliateAdmissionPracticesCommittee(s)foractionandareheldinstrictconfidencebyallparties.

Application plans: Colleges in the US must only use plans knownasEarlyAction,EarlyDecision,Restrictive/SingleChoice Early Action, Regular Decision, and Rolling Admission forstudentsapplyingasfirst-time,first-yearcandidates.Withintheseplans,collegeshaveavarietyofdeadlinesandtimelinesforstudentstosubmitanapplicationandtoreceivenotificationof a decision . Some colleges may also adopt a priority application deadline to alert students to academic programs andscholarshipsthatmayhavelimitedspaceorfunding.

Applications: Applications are the medium or tool used by astudenttoapplytocollege.Collegesmayusetheirowninstitution-specificapplicationform,formsthatallowstudentstoapplytomultiplecolleges,oracombinationofthetwo.Whilesometypesofapplicationsaredirectedatspecificstudentpopulationsandidentifiedaspriorityapplications,internationalstudentapplications,visualorperformingartsapplications,etc.,theapplicationplansunderwhichfirst-yearstudentsapplytoUS colleges (such as Regular Admission, Early Decision, Early Action,etc.)mustalwaysadheretothenamingconventionsand stipulations that the SPGP: NACAC’s Code of Ethics and Professional Practices has established .

Candidates for admission: Students are considered candidatesforadmissionuntiltheyhavewithdrawntheirapplications,officiallyconfirmedtheirintentiontoenroll(usuallyby submitting an enrollment deposit), declined their offer of admission,beendeniedadmission,orhavehadtheirofferofadmission canceled .

Colleges: Collegesaretwo-yearorfour-yearpostsecondaryinstitutions that enroll undergraduates, grant degrees, and areaccreditedandnot-for-profit.TheSPGP: NACAC’s Code of Ethics and Professional PracticesfollowscommonusageintheUnitedStateswherecollegereferstoanypostsecondaryinstitutionthatiseitheracollegeorauniversity.

Commissioned agents: Commissioned agents are individualsorotherthird-partyrecruiters,sometimesworkingwithinacompanyoragency,whoarecontractedandpaidbycolleges on a per capita basis to recruit international students to their institutions .

Conflict of interest: A situation that has the potential to undermine the impartiality of a person because of a clash betweentheperson’sself-interestandprofessionalinterestorpublicinterests.Conflictsofinterestinadmissionandcounseling may often be prohibited by employers, by professionalorganizations,bygovernmentregulations,andbyaccreditation agencies . Cost of Attendance (COA): AsdefinedbyNASFAA,“Costof Attendance is the estimated cost of attending an institution foroneacademicyear.COAincludesthefollowing:expectedcharges for one year of tuition and fees (tuition = charges assessed for classes; fees = charges assessed for other collegeservices);roomandboardforresidentstudents;estimatedlivingexpense(includesallowanceforrent,utilities,andfood)foroff-campusliving;estimatedtransportationcosts;estimated books and supplies; and miscellaneous costs .”

Counselors:Counselorsareprofessionalswhoadviseorcounsel students about making the transition from secondary school to college or about transferring from one college to another . The term typically refers to secondary school counselors, independent educational consultants, counselors associatedwithcommunity-basedorganizations,andtransferadvisersattwo-yearandfour-yearcolleges.

Credit evaluation:Thereceivingcollege’sreviewandevaluationofatransferstudent’sprioracademicrecordiscalledcreditevaluation.Theprocessisusedtodeterminewhichpriorcollegecoursesandcreditswillbeapplicabletothegraduationrequirementsatthenewinstitution.TheevaluationwillincludeallcourseworkcompletedatpostsecondaryinstitutionsaswellasanycreditsearnedthroughAdvancedPlacement (AP), International Baccalaureate (IB), Cambridge, andCollegeLevelExaminationProgram(CLEP)examscores.

Deadlines and time zones: When colleges specify deadlines for applications, deposits, or other commitments, the deadlines refertothepostmarkeddateifresponsesaresentbyground/airdelivery.Iftheyaresentelectronically,collegesmustalsospecifywhetherthedeadline’stimezoneisthesender’sorthetimezoneofthecollege.

Deferred/mid-year admission:Deferred/mid-yearadmissionreferstooffersofadmissiontofirst-time,first-yearstudentsforthespringsemester/winterquarter,insteadofthetypicalfallenrollment start date .

Deposits: Enrollmentdepositsarethefeesorwrittencommitmentsthatconfirmastudent’sintentiontoenroll.Theymay also be referred to as tuition deposits or enrollment fees . Housing depositsarethefeesthatcollegesrequiretoholdastudent’s place in on-campus housing .

Expected Family Contribution (EFC): As used in the US and asdefinedbyNASFAA,“ExpectedFamilyContributionisameasureofhowmuchthestudentandhisorherfamilycanbeexpectedtocontributeannuallytothecostofthestudent’seducationfortheyear.TheEFCiscalculatedwithaformulaspecifiedinthelawandisbasedupontheinformationprovidedby the student and his or her family during the FAFSA (Free ApplicationforFederalStudentAid)filingprocess.”

Section III . Glossary



Federal Work-Study (FWS): AsusedintheUSandasdefinedbyNASFAA,“Aprogramthatprovidespart-timeemploymenttostudentsattendinginstitutionsofhighereducationwhoneed the earnings to help meet their costs of postsecondary educationandencouragesstudentsreceivingFWSassistancetoparticipateincommunityserviceactivities.”

First-year students:Studentswhoapplyasfirst-timeundergraduatematriculantsareknownasfirst-yearstudents.Thesestudentstypicallyhavenopreviouscollegeexperiencesince graduating from high school .

Guaranteed transfer program: In the US, the term is used in twoways.Thefirstdescribesstatewideprogramsthatensurethatcommunitycollegestudentswhocompleteanassociatedegreewillbeautomaticallyeligibletotransfertofour-yearinstitutions.Thesecond,whichishowthetermisusedintheSPGP: NACAC’s Code of Ethics and Professional Practices, describesdeferredadmissionprogramswhereacollegedeclinestoadmitanapplicantasafirst-yearstudent,butguaranteesadmissionasatransferstudentforasubsequenttermsolongasthecandidatecompletescollege-levelcourseselsewhereandmeetscertainotherrequirements.

Independent educational consultants: Independent educa-tionalconsultantsorcounselorsareprofessionalsworkingonafeeforservicebasiswhoprovideservicesexclusivelytostudentsand families in the college selection and application process .

Individuals: In the SPGP: NACAC’s Code of Ethics and Profes-sional Practices,thewordindividualsreferstootherprofessionalsemployedbyorrepresentinganinstitutionororganization.

Laws and regulations: Membersmustcomply,whereapplicable,withlocal,state,orprovincial,andfederalornationallawsandregulations.Thisincludes,butisnotlimitedto,studentprivacy,misrepresentation,incentivecompensation,theissuanceofvisas,security,conflictsofinterest,civilrights,non-discrimination,disabilities, disclosures, reporting, and transparency . In the US theseinclude,forexample,theFamilyEducationalRightsandPrivacyAct(FERPA),theHigherEducationAct,theAmericanswithDisabilitiesAct(ADA),theCleryAct,andfederal,state,andlocalcivilrightslawsandregulationsthatprohibitdiscrimination.

Legacies:Legaciesareapplicantswhohavearelative(usuallyaparentorsibling)whoiseitheracurrentstudentatthecollegeor a graduate .

Members:Membersareindividuals,institutions,groups,ororga-nizationsthatfulfillallrequirementsformembershipinNACAC.

National Association of Student Financial Aid Administrators (NASFAA): AprofessionalorganizationforfinancialaidadministratorsintheUnitedStateswhichsetstheguidelinesandethicalpracticesfortheadministrationoffinancialaid.

Nontraditional undergraduate students: Nontraditional studentsareindividualswhodonotfallwithintheprofileofadependent student aged 18–24 . Nontraditional students may includethosewhodonotattendcollegeimmediatelyaftersecondaryschoolorwhoreturnafteraprolongedabsence,parentsofdependentchildren,andthosewhoaremarried.

Offers of admission:Officialoffersofadmissionmaybetrans-mittedbymail,electronically,oronofficialwebsitesasdeterminedandapprovedbythecollege’schiefenrollmentofficer.

Organizations: In the SPGP: NACAC’s Code of Ethics and Professional Practices,thewordorganizationsreferstogroupswhoseprimaryactivitiesconsistofprovidingcounseling,admission,orfinancialaidservicestostudentsorprovidingconsultingservicestocollegeadmissionprofessionals.

Permanent resident:Lawfulpermanentresidents,alsoknownasgreencardholders,arenon-citizenswhoarelawfullyauthorizedtolivepermanentlywithintheUnitedStates.

Priority application: Colleges often use the term priority applica-tiontodescribeanapplicationcreatedforspecificpopulationsofstudents applying for general admission, particular programs or majors,orscholarships.Itisnottobeconfusedwithapplicationplans,whichrefertowhenstudentswillbenotifiedofadmissionandwhentheymustmakeacommitmenttoenroll.

Priority deadline: A priority deadline is an application deadline thatcollegesmayestablishforprogramsandmajorsthathavelimitedspace.Italertsstudentstothefactthat,iftheywaituntiltheregulardeadline,theseprogramsmaybefilled.Sometimesthetermisalsousedifstudentswanttobeconsideredforparticular scholarships .

Secondary schools: In the United States and throughout the SPGP: NACAC’s Code of Ethics and Professional Practices, secondary schools refer to the high schools that students typically attend before they begin college . They may be public orprivate/independentandoffergeneral,technical,vocational,and/orcollegepreparatorycoursework.Thetermmayalsoincludestatewideagenciesorprivateorganizationsthatcertifyhome-schooled students . While high schools typically include gradesninethrough12or10through12,NACACacknowledgesthatcollegecounselingmaybeginwellbeforetheninthgrade.

Student-athletes: Student-athletes are students recruited by US collegestoparticipateinvarsityathletics.Sinceitisunderstoodthat colleges in the US must adhere to national signing periods whenrecruitingstudentswhoarecandidatesforathleticschol-arships, the recruitment of scholarship athletes falls under the purviewofnationalathleticassociations,ratherthantheSPGP: NACAC’s Code of Ethics and Professional Practices . Those associ-ations include the National Collegiate Athletic Association (NCAA), the National Association of Intercollegiate Athletics (NAIA), and the National Junior College Athletic Association (NJCAA) .

Transcript: Atranscriptisanofficialacademicrecordthatfeatures a student’s course of study at an institution . Information usually includes courses taken, a progress rubric, and other indi-catorsofthestudent’sacademicdevelopmentandachievement.

Transfer students: Transferstudentshavetypicallyearnedorattemptedcollege-levelcoursecreditsaftergraduatingfromsecondary school and are applying as matriculants from one undergraduateinstitutiontoanother.Thedefinitionofatransferstudentisdeterminedbythereceivinginstitutionandmaybebased on the number of credits earned or attempted at the student’spreviousinstitution(s).

Section III . Glossary



Section IV. Compliance

MembershipintheNationalAssociationforCollegeAdmissionCounseling(NACAC)isvoluntaryandcomeswithmanybenefitsandprofessionalresponsibilities.ComplyingwiththeSPGP: NACAC’s Code of Ethics and Professional PracticesisaconditionofmembershipinNACACanditsaffiliates.ItisalsoaconditionfornonmemberswhowanttoparticipateinNACAC-sponsoredevents,includingNACAC’sNationalCollegeFairs.

NACACencouragesmemberstosubmitacomplaintwhenevertheybelievethataviolationoftheSPGP: NACAC’s Code of Ethics and Professional Practices has occurred . Nonmembers—including parents and students—arealsoencouragedtosubmitcomplaints.ComplaintsmaybesubmitteddirectlytoNACACviaitsonlineConfidentialComplaintFormortothenationaloraffiliateAdmissionPractices(AP)Committees.Allcomplaintsareinvestigatedinthestrictestconfidence.ItisunderstoodthatAPCommitteememberswillrecusethemselveswheneverthereisaconflictofinterestwitheithertheComplainantorthesubjectofacomplaint.

Ininvestigatingandresolvingcases,theprimarygoalofNACACanditsaffiliateAPCommitteesiseducational,ratherthanpunitive.Ifsanctionsareimposed,itisonlyafterallattemptshavebeenexhaustedtoeducateandpersuadethepartiesinvolvedtocomeintocompliancewiththeSPGP: NACAC’s Code of Ethics and Professional Practices .

Sincecollegerecruitmentandadmissionareconstantlyevolving,memberswhoaredevelopingnewpoliciesorpracticesarewelcometoconsultwithusinadvancetoensurethattheirproposalscomplywiththeSPGP: NACAC’s Code of Ethics and Professional Practices . We see these discussions as an important part of our educational mission .

A. Compliance Procedures Definitions

• AP Committee: The NACAC Admission Practices CommitteeoranaffiliateAdmissionPracticesCommittee,asthecontextrequires

• Board: The NACAC Board of Directors

• Complaint: AwrittendocumentsubmittedtoNACACallegingthatapersonorentityisviolatingorhasviolatedoneormoreprovisionsoftheSPGP: NACAC’s Code of Ethics and Professional Practices

• Complainant: A person or entity submitting a complaint

• NACAC CEO: TheChiefExecutiveOfficerofNACAC

• Presiding Committee:ThecommitteetowhichthecomplaintisreferredforvoluntaryresolutionorinvestigationandinitialdecisionofwhethertheRespondentviolatedtheSPGP: NACAC’s Code of Ethics and Professional Practices

• Presiding Chair: An AP Committee member whomtheAPCommitteedesignatestoconductaninvestigationofthecomplaint

• Respondent:apersonorentityagainstwhomacomplaint is submitted

• Response:TheRespondent’swrittenresponsetothecomplaint,admittingordenyingtheallegedviolation

B. The Complaint and Response

1 . Any person or entity, including NACAC, its AP Committee,andanyaffiliateAPCommittee,maysubmit a complaint alleging that the Respondent is violatingorhasviolatedtheSPGP: NACAC’s Code of Ethics and Professional Practices.

2 . A complaint must include:a . the identity of the Complainant and Respondentb. theprovisionoftheSPGP: NACAC’s Code

of Ethics and Professional Practices that the Respondentallegedlyviolated

c. anexplanationofallfactssupportingtheallegedviolation

d . all documents and other information that the Complainantbelievessupporttheallegationofviolation

e. thetimeperiodduringwhichtheComplainantbelievestheallegedviolationoccurred

f. theidentityofallotherpersonswhomtheComplainantbelieveshaveinformationrelevanttotheallegedviolation.

3 . The complaint must be submitted to the NACAC CEO.TheNACACCEO,withtheconcurrenceofthe NACAC AP Committee, may decline to initiate aninvestigationifthecomplaintisfrivolousonits face; and the CEO may decline to initiate an investigationifacourt,governmentalagency,orotherprofessionalorganizationisreviewingthesame or similar alleged conduct .

4. TheCEOwillsendthecomplainttotheRespondentbypostalmailoremail.Anyinformationthatwouldpermit the Respondent to identify the Complainant, theComplainant’sworkplace,orthestudentorparentwillberemoved.

5. Within30daysofreceivingthecomplaint,theRespondent must submit a response to the NACACCEO.Itisunderstoodthattheinvestigationmayrequireexchangesofphonecalls,emails,videoconferencing,orothercommunicationsto




achievearesolution.Sincecomplaintsareoftentime-sensitive,themostexpedientmethodofcontactshould be used . The response should:a. admitordenytheviolationallegedinthecomplaintb. iftheallegedviolationisdenied,explainallreasons

for the denial, submit all documents supporting the denial,andprovideanyotherfactualinformationthattheRespondentbelievessupportsthedenial

c. iftheallegedviolationisadmitted,provideanyinformationthatexplainsorjustifiestheviolationandindicatewhatcorrectiveactiontheRespondentis taking to come into compliance .

6 . If the Respondent does not submit a response withinthe30-dayperiod,theallegedviolationwillbe deemed admitted .

C. Referral of the Complaint

1. MembershipstatusatthetimeacomplaintwaslodgedwilldeterminethePresidingAPCommittee.Shouldthesubjects of a complaint resign their membership or fail to renewmembershipbeforeacomplainthasbeenresolved,theinvestigationwillcontinueasiftheywerestillmembersand penalties may be imposed for noncompliance . The NACACCEOwillreferthecomplainttotheappropriatePresidingCommitteeforavoluntaryresolutionoraninvestigationandinitialdecision.ThePresidingCommitteemayappointaPresidingChairwithprimaryresponsibilityforavoluntaryresolutionoraninvestigation.a . If the Respondent is a member of the NACAC affiliateofthestateorregioninwhichtheRespondent is located, the NACAC CEO or AP CommitteeChairwillreferthecomplainttothataffiliate’sAPCommittee,whichwillserveasthePresidingCommitteetoseekavoluntaryresolutionorconductaninvestigationandissueaninitialdecision.TheaffiliateAPCommitteewillfully inform and update the Chair of NACAC’s APCommitteeaboutanyvoluntaryresolutionorinvestigationoftheallegedviolation.IftheaffiliateAPCommitteePresidingCommitteecannotvoluntarilyresolvethecomplaint,cannotadequatelyinvestigatethecomplaintorreachaninitialdecision,ordeclaresaconflictofinterestininvestigatingthecomplaint,itwillreferthecomplaintforvoluntaryresolutionorinvestigationandinitialdecisiontotheNACACAPCommittee,whichwilldesignateoneofitsmembers as the Presiding Committee to conduct theinvestigationandrenderaninitialdecision.

b . If the Respondent is a member of NACAC but notamemberofanaffiliate,theNACACCEOwillrefer the complaint to the NACAC AP Committee, whichmustdesignateoneofitsmembersasthePresidingCommitteeforvoluntaryresolutionorinvestigationandinitialdecision.

c . If the Respondent is neither a member of NACACnoramemberofaNACACaffiliate,theNACACCEOorhisorherdesigneewillserveasthePresidingCommitteetoseekavoluntaryresolutionorinvestigatethecomplaintandrender an initial decision .

D. Voluntary Resolution, Investigation, and Initial Decision

1. ThePresidingCommitteewillmakeeveryreasonableefforttoreachavoluntaryresolutionofthecomplaint.Asuccessfulvoluntaryresolutionoccurswhenthe Presiding Committee determines, through a writtenagreementwiththeRespondent,thattheRespondentismodifying,orwillmodify,itsconducttocomplywiththeSPGP: NACAC’s Code of Ethics and Professional Practices in the future . The PresidingCommitteewillnotifytheNACACCEOofanyvoluntaryresolutionandanyagreementwiththeRespondent to implement the resolution .

Inreachingavoluntaryresolution,thePresidingCommittee understands that full, immediate compliance in the current admission cycle may notalwaysbepossible.Thus,throughavoluntaryresolutionagreementwiththeRespondent,thePresiding Committee may impose interim conditions thatresultinfullcomplianceinallsubsequentadmission cycles or other conditions appropriate in the circumstances .

2. IftheRespondentdeniestheallegedviolationandthe Presiding Committee and Respondent cannot voluntarilyresolvethecomplaint,thePresidingCommitteewillinvestigatetodeterminewhether,morelikelythannot,theRespondentviolatedtheSPGP: NACAC’s Code of Ethics and Professional Practices . In doing so, it may:a. conductitsinvestigationbytelephoneconference,

emailcorrespondence,videoconference,in-personmeeting, or other forms of communication

b. requestfurtherdocumentationandinformationfrom the Complainant and Respondent

c. interviewtheComplainant,Respondent,andthird-parties,includingaffiliates,thatmayhaveknowledgeofrelevantfacts.

3 . If the Respondent refuses to cooperate in the investigationinareasonablemanner,theallegedviolationwillbedeemedadmitted.

4. ThePresidingCommitteewillprepareaninitialdecision of its conclusion, including its basis, and submit the initial decision to the NACAC CEO, together witharecommendationwhetherNACACshouldimpose a sanction on the Respondent . The NACAC CEOwilltransmitcopiesoftheinitialdecisionandrecommendation, by postal mail or email, to the Respondent, the Complainant, and the Chair of the Respondent’saffiliateAPCommittee.NACACwillalsonotify the Respondent that it may appeal the initial decision and any recommendation for a sanction to the NACAC AP Committee .

E. Appeal to the NACAC AP Committee

1 . The Respondent may appeal the Presiding Committee’s initial decision and any recommendation for a sanction to the NACAC AP Committee . To do so, the Respondent must:a. within20daysofreceivingthePresiding

Committee’s initial decision and recommendation, notify the NACAC CEO and AP Committee by letter or email that it intends to appeal




b. within30daysofreceivingtheinitialdecisionand recommendation, submit to the NACAC APCommitteeanywrittenmaterialssupportingits appeal

c. ifitchoosestomeetwiththeNACACAPCommittee,submitarequestformeeting,whichmaybein-person,bytelephone,orbyvideoconferencing, at the discretion of the NACAC AP Committee .

2. IfthecomplaintwasreferredtotheNACACAPCommitteeandtheinvestigationwasconductedandthe initial decision and recommendation of a sanction wasmadebythePresidingChairoftheNACACAPCommittee acting as the Presiding Committee, the PresidingChairwillberecusedfromparticipatinginthe appeal .

3 . At its discretion, the NACAC AP Committee may attempttoreachavoluntaryresolutionofthecomplaintwiththeRespondent.

4. Absentasuccessfulvoluntaryresolution,theNACACAPCommitteewillreviewtheentirerecordoftheinvestigationandanyothermaterialssubmittedbytheRespondent in support of the appeal and then accept or reject the Presiding Committee’s initial decision that theRespondentviolatedtheSPGP: NACAC’s Code of Ethics and Professional Practices . The decision to acceptorrejecttheinitialdecisionisfinal.IftheNACACAPCommitteeagreesthattheRespondentviolatedthe SPGP: NACAC’s Code of Ethics and Professional Practices,itwillconsiderwhethertorecommenda sanction after consideration of the Presiding Committee’srecommendation.Itwillprepareabriefreport of its conclusion and sanction recommendation, if any, and transmit copies by postal mail or email to the Respondent, the Complainant, the Chair of the Respondent’saffiliateAPCommitteeand,ifasanctionis recommended, to the Board of Directors .

F. Appeal to the NACAC Board

1 . If the NACAC AP Committee recommends asanction,theRespondent,within30daysafterreceivingtheNACACAPCommittee’srecommendation, may appeal that recommendation to the Board of Directors . To do so, the Respondent mustsubmitapapertotheboardexplainingwhynosanctionisappropriateorwhytherecommendedsanction is inappropriate . At its discretion, the board mayinviteorpermittheRespondenttomeetwithitin-person,bytelephone,orbyvideoconference.

2. AnymemberoftheBoardofDirectorswhoparticipatedin the NACAC AP Committee’s consideration of the appealfromthePresidingCommitteewillberecusedfrom participating in the appeal .

3. Theboardwilldeterminewhethertoimposeasanction; the sanction, if any, to be imposed; and onwhomthesanctionwillbeimposed,includingindividuals,institutions,orotherentities.Itwillnotify,by postal mail or email, the Respondent and any othersonwhomasanctionwillbeimposedbypostalmailoremail.Itsdecisiononanysanctionisfinal.

G. Sanctions

The Presiding Committee, and the NACAC AP Committee after appeal, may recommend, and the Board of Directors mayimpose,thefollowingsanctions:

1. ExclusionfromallNACAC-sponsoredevents,including, but not limited to NACAC National CollegeFairs,NACACprofessionaldevelopmentopportunities, and NACAC national conferences . ThismaybeappliedincaseswheretheRespondentagrees to amend its practices, but because the violationisparticularlyegregiousorbecauseofrepeatedviolations,theNACACBoardofDirectorsdetermines that this sanction is appropriate .

2 . Suspension of membership in NACAC and all membershipprivileges.SuspensionofmembershipincludesexclusionfromallNACAC-sponsoredevents.Theboardmayrequirethesuspendedmembertodemonstratefullcomplianceoveraspecificperiodoftimebeforemembershipprivilegesmay be reinstated .

3 . Termination of membership in NACAC . Termination ofmembershipincludesexclusionfromallNACAC-sponsoredeventsandwillapplywhentheviolationisparticularly egregious, the Respondent has a history ofviolatingtheSPGP: NACAC’s Code of Ethics and Professional Practices, and the Respondent refuses toagreetocomplywiththeSPGP: NACAC’s Code of Ethics and Professional Practices . The minimum lengthofmembershipterminationistwoyears.Atthetwo-yearanniversaryofmembershiptermination,theRespondent may reapply for membership, and the board may, at its discretion, reinstate the Respondent upondemonstrationofpreviouscompliancewiththe SPGP: NACAC’s Code of Ethics and Professional Practices for a reasonable period of time and agreementtocomplywiththeSPGP: NACAC’s Code of Ethics and Professional Practices in the future .

4. NACACencouragesaffiliatestoapplyasimilarsanction,suchasexclusionfromaffiliateactivitiesandsuspensionorterminationofaffiliatemembership,onindividuals,institutions,orotherentities subject to a NACAC sanction . The decision whethertodoso,however,remainstheindividualandindependentdecisionofeachaffiliate.

H. Confidentiality

Allpartiesinvolvedinanycomplianceprocedureshouldkeepentirelyconfidentialthefactandsubstanceofallcomplaints,responses,investigations,informationobtainedduringinvestigations,reports,decisions,andrecommendations,exceptthatNACAC,whenappropriateandatitsdiscretion,maypostonitswebsite,withoutcommentorexplanation,thattheRespondentoraninstitution or other entity is not eligible to participate in NACAC-sponsoredeventsorthatitsmembershipinNACAC has been suspended or terminated .

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Documents

Statement of Principles of Good Practice - nacacnet.org · Statement of Principles ... Postsecondary education has the power to transform an individual’s life by providing a path