MSCHE Evaluation Report May 2021

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Self-Study Evaluation Team Report Effective Date: February 1, 2021

State University of New York (SUNY) College of Optometry Self-Study Evaluation Team Visit: April 12-14, 2021

Section A: Institutional Representatives Provide a list of the following institutional representatives at the time of the visit:

Chief Executive Officer (CEO)/President David Heath, OD EdM; President

Chief Academic Officer David Troilo, PhD; Dean and Vice President for Academic Affairs

Chief Financial Officer David Bowers, MBA; Vice President for Administration and Finance

Chair of the Board of Trustees Merryl H. Tisch, MA EdD

Chair, College Council Gretchen Stone

Section B: Institutional Context Founded in 1971, the State University of New York College of Optometry (SUNY College of Optometry) offers the Doctor of Optometry (OD) degree as well as graduate (MS and PhD) degrees in vision science. The College comprises 65 affiliated clinical training sites and its on-site University Eye Center. The College’s research program includes basic, translational, and clinical research. The College of Optometry is one of the 64 SUNY campuses and is located in a 300,000- square foot, 20-floor facility at 33 West 42 nd St., New York, New York (midtown Manhattan). The Middle States Commission on Higher Education (MSCHE) self-study was co-chaired by Steven Schwartz, OD PhD, Professor of Biological and Vision Sciences, and Suresh Viswanathan, OD PhD, Chair, Department of Biological and Vision Sciences and Director of Institutional Research and Planning. The Self-Study Steering Committee comprised members of the College’s Institutional Research and Planning Committee, a standing committee of faculty, staff, and students appointed by the president. The self-study was endorsed by the Institutional Research and Planning Committee, the President’s Council, the faculty, and the College Council.

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As the self-study was well underway in spring 2020, two events occurred that affected the College and the self-study work. One was the Covid-19 pandemic, and the other was the murder of George Floyd in Minneapolis, which catalyzed an ongoing, national conversation on social justice and resulted in important discussions of diversity, equity, and inclusion in the College.

Section C: Requirements of Affiliation In the team’s judgment, the institution appears to meet all of the requirements of affiliation.

This judgment is based on a review of the self-study report, evidence, and interviews with institutional constituencies to clarify information and verify compliance during the self-study evaluation team visit. Provide a brief summary or bulleted points that reflect, collectively, on the institution’s compliance with the requirement of affiliation. The summary should reference evidence verified during the self-study evaluation review process. 1. The SUNY College of Optometry is one of 64 autonomous campuses in the SUNY system, governed by the Board of Trustees. The State University of New York was created by statute, Ch. 695 L. 1948, the provisions of which are set forth in the Education Law, Art. 8. The College of Optometry operates under the guidance of New York State Education Law, Article 143: Optometry. The operation of SUNY College of Optometry, as is the case for all campuses of the University, is informed by a College Council, whose function is described in the New York State Education Law Section 356. 2. The SUNY College of Optometry is operational, with students actively enrolled in its OD, MS, and PhD programs. 3. Not applicable 4. All materials provided to the Commission were in English. 5. The SUNY College of Optometry complies with all applicable government laws and regulations. 6. The SUNY College of Optometry complies with applicable Commission, interregional, and interinstitutional policies. 7. The SUNY College of Optometry’s mission statement is to “advance visual health and patient care through leadership in education, research, and service.” Its four mission-driven institutional priorities are to: (1) enhance the student experience through programs that promote student and alumni success; (2) deliver a dynamic curriculum that engages students and advances contemporary optometry; (3) grow the graduate and research programs to increase the institutional impact on the advancement of knowledge and produce leaders in vision research; and (4) attract the brightest and most motivated students with demonstrated leadership potential. 8. The SUNY College of Optometry’s self-study provided ample evidence of its systematic evaluation of its educational and other programs, as evidenced in its publicly-available Factbook (https://sunyopt.edu/institutional-research-and-planning/factbook/).

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9. The SUNY College of Optometry’s student learning programs and opportunities are characterized by rigor, coherence, and appropriate assessment of student as described in the self-study and Factbook. These characteristics apply across all degree programs. 10. Extensive planning at the SUNY College of Optometry integrates goals for academic and institutional effectiveness as described in the self-study and Factbook. 11. The SUNY College of Optometry has documented financial resources, funding base, and plans for financial development, as shown in the self-study. The institution demonstrates a record of responsible fiscal management, including use of reserves during the Covid-19 pandemic. The SUNY College of Optometry has a prepared budget for the current fiscal year and undergoes annual external financial audit. 12. The SUNY College of Optometry has a clearly disclosed governance structure. 13. The SUNY College of Optometry’s College Council members have no employment, family ownership, or other personal financial interest in the institution. The College Council adheres to a conflict of interest policy. The SUNY College of Optometry president does not serve as the chair of the College Council. 14. The SUNY College of Optometry made complete, accurate, and fair information on all aspects of the institution and its operation available to the Commission. 15. The SUNY College of Optometry has a core of faculty and other professionals who assure the continuity and coherence of the institution’s educational programs.

Section D: Standards for Accreditation

Standard I: Mission and Goals The institution’s mission defines its purpose within the context of higher education, the students it serves, and what it intends to accomplish. The institution’s stated goals are clearly linked to its mission and specify how the institution fulfills its mission.

In the team’s judgment, the institution appears to meet this standard.

This judgment is based on a review of the self-study report, evidence, and interviews with institutional constituencies to clarify information and verify compliance during the self-study evaluation team visit. Summary of Findings The development of the College’s mission statement, institutional values and goals are clearly articulated in their 2018-2023 Strategic plan and highlighted on their website, in their Faculty Handbook and in other College publications. In advancing the Strategic Planning process and the Framework for the Future: Phase I draft, the College President invited his senior executives, faculty, student representatives, and staff into the process of renewing the map to the College’s future. The College’s Strategic Plan 2018- 23, in a very succinct way, carves out its mission with three compelling words: Care, Lead, Advance . In reviewing the plan’s mission, vision and nine goals, it centers on five visionary themes of Student- Centered Experience; Academic Excellence; Service to their Patients and Community; Community and People and Effective Foundational Support. The plan also addresses current educational market influences, external threats and highlight future opportunities. The Faculty Handbook provides each faculty members with comprehensive appreciation of the mission and goals by sharing the current

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strategic plan and reflecting on their involvement in the process through Faculty and College committees, councils and assemblies. Students and staff have ready access to current news and events about the College from provided publications: a College FactBook, the 20/20 Magazine, SUNY Eye Network Newsletter with ready access to the College website. In reviewing the Self-Study and supporting evidence, it is clear that the College has linked its past endeavors to its future efforts. It also identified resources necessary to enhance, improve and promote its contribution to its primary stakeholder, the students and the community it services. As the team reviewed the College’s Self-Study and related supporting documents; such as the Assessment Plan, the Faculty Handbook, the Student Handbook, the Board of Trustees Policies, and the Diversity and Inclusion Master Plan, it is clear that the process for establishing educational and institutional outcomes have been included in planning for the future. There are strong visible signs of scholarly investigation and innovative promotion demonstrating the institution dedication to clinical research. These efforts are exemplified by the work in the Clinical Vision Research Center; the early student surveys about research interests; offering non-degree research opportunities and a Micro-Credentials Program; and offering a combined Residency/Graduate Research Degree. The nine goals with corresponding objectives address a credible approach to the present and near future concerns of the students, faculty, staff, patients and community and are consistent with its mission to Care, Lead and Advance. The nine goals described in the 2018-23 Strategic Plan and summarized in the Self-Study, are tied directly to the mission statement of the College in advancing visual health and patient care through leadership in education, research and service. Four of the goals are linked to attracting, motivating, advancing and enhancing the student experience. Two of the goals are focused on student support with a solid financial and academic base, and an environment which is safe and nurturing. Two of the goals are focused on service to the community, primarily to quality and unparalleled patient care. And the final goal is focused on the growth and development of all the members of our community which include: faculty, staff, external partnerships, the multiple communities this institution serves. The Assessment Plan dated Nov. 16, 2018, organizes the process for assessing each of the five main functional units of the College annually. The Office of Institutional Research and Planning Committee is task with assembling the Institutional key performance indicators, collecting supporting data, analyzing it and providing it to the Institutional Research and Planning Committee for review and action as needed. When deficiencies are discovered in reaching pre-established goals there is a mechanism to initiate corrective action.

Collegial Advice None

Team Recommendation(s) None

Requirement(s) None

 Recognition of Accomplishments, Progress, or Exemplary/Innovative Practices o The comprehensive inclusion of all notable stakeholders in the development of the 2018-2023 Strategic Plan is noteworthy, as evident in the successful implementation of its goals and objectives.

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o The College’s achievements in promoting scholarly investigation and innovative promotion demonstrates the institution outstanding dedication and contributions to clinical research.

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Standard II: Ethics and Integrity Ethics and integrity are central, indispensable, and defining hallmarks of effective higher education institutions. In all activities, whether internal or external, an institution must be faithful to its mission, honor its contracts and commitments, adhere to its policies, and represent itself truthfully.

In the team’s judgment, the institution appears to meet this standard.

This judgment is based on a review of the self-study report, evidence, and interviews with institutional constituencies to clarify information and verify compliance during the self-study evaluation team visit. Summary of Findings An institution’s ethics and integrity must be pervasive, embedded throughout all its operations; here we highlight a few items from across the institution in support of our conclusion. Most of the policies regarding governance, academic and intellectual freedom, freedom of expression, and intellectual property rights are governed by State University of New York policies (including Board of Trustees Policies) and the Union of University Professionals (UUP) contract. The Faculty Handbook further spells out organization, structure, policies (educational, research, and administrative) relating to the faculty (https://www.sunyopt.edu/pdfs/academics/FacultyHandbook.pdf). It was noted that “It is the policy of the University to maintain and encourage full freedom, within the law, of inquiry, teaching, and research.” The State’s Public Officers Law includes a code of ethics for all employees. Most administrative personnel and faculty are required to complete an annual ethics disclosure form. Starting in 2019, the College required ethics education as part of its Annual Compliance Training Program for all personnel. Research personnel are governed by a variety of policies regarding research that are driven by federal, state, and local research regulations (https://sunyopt.edu/research/research-policies/). The College requires additional training for research personnel (Collaborative Institutional Training Initiative – CITI) that includes research ethics as well as requirements for research involving human subjects. The College is subject to regular state audits and must submit reports regularly on implementation of policies and procedures; furthermore, these are assessed internally on a regular basis. In addition, SUNY has an Internal Audit unit that may review and assess the College’s operations. website: https://sunyopt.edu/library/resources/copyright-guidelines-and-resources/. Intellectual property policies are governed by the Research Foundation of the State University of New York (RF). Copyright guidelines are identified through the Library’s

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Diversity and inclusion are governed by SUNY policy including nondiscrimination and disability protections. The College formed a broad-based Committee on Affirmative Action and Cultural Diversity. The Chief Human Resources Officer is the College’s Affirmative Action Officer, and the Vice President for Student Affairs serves as the Chief Diversity Officer. The College developed a Diversity and Inclusion Master Plan 2016-2020 (https://sunyopt.edu/wp- content/uploads/2020/02/diversity_inclusion_plan.pdf), and there is regular tracking of progress (https://sunyopt.edu/student-life/diversity-at-suny-optometry/progress-tracker-diversity-and- inclusion-master-plan/); this plan identified recruitment of minority faculty as a critical priority. College personnel see broadening diversity of College students as key to increasing “the pipeline” for diversity in the faculty. The College President established a Task Force on Race and Equity (TFRE) in June, 2020 to extend these efforts and lead toward an updated D&I master plan. In addition to other recommendations, the final report of this group (https://sunyopt.edu/wp- content/uploads/2020/11/TFRE_Final_Report.pdf) recommended hiring a Director of Diversity, Equity, and Inclusion. This position was recently filled to have a focal point for execution of initiatives; it was noted at a meeting with faculty that the Director is a member of faculty search committees. Fiscal accountability is governed by SUNY and State of New York policies and procedures. These are accessible through the Office of Business Affairs (https://sunyopt.edu/all- offices/business-affairs/). Expectations for Internal Controls and Enterprise Risk Management as well as a mechanism to report fraud are readily identified (https://sunyopt.edu/internal- control/fraud-reporting/). The College has a designated Internal Control Officer. Key indicators the College uses in monitoring are readily available through the Factbook, managed by Institutional Research and Planning (https://sunyopt.edu/institutional-research-and- planning/factbook/) and as part of its ongoing Assessment Plan. IPEDS reports are accessible back to 2010-2011. The College also makes available through its website accreditation information (including Middle States Commission on Higher Education and the Accreditation Council on Optometric Education), student consumer information, admissions information, and information on costs for academic programs, including options for housing and seeking financial aid including scholarships. There is evidence of education on budgeting and student debt (financial literacy), including twice-annual “tea chats” to discuss debt management, individual financial counseling sessions, and required “incoming” and “outgoing” financial aid interviews (https://sunyopt.edu/academics/tuition-fees-financial-aid/). There is evidence of regular all-college meetings and faculty meetings to promote communications regarding the College and its activities. The College also has a number of advisory councils to “support and advise the senior administration” in general as well as specific topical areas (research, clinical, IT, institutional research and planning) (https://sunyopt.edu/about/leadership/governing-councils/). In addition, the President presents an annual State of the College address where he identifies relative progress toward strategic goals, and he stepped up communications to the community when the Covid-19 pandemic began

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(“Presidential Missive”) that was acknowledged by students as helpful along with other regular communications from the College.

Student Life is governed by an accessible student handbook that identifies policies, procedures, reference information, and services needed by students during their time at the College) (https://sunyopt.cld.bz/StudentHandbook). In particular, this document identifies the code of ethics, code of conduct, as well as formal complaint, grievance, and enforcement procedures. Policies governing discrimination, sexual harassment, sexual violence, and Title IX are accessible from the website. Information on student services are likewise available (https://sunyopt.edu/student-life/student-services/). Title IX issues are overseen by a Title IX coordinator, the Assistant Vice President for Human Resources. Title IX resources including definitions, grievance policy, and advice on what should be reported and where is accessible via the website (https://sunyopt.edu/title-ix/). SUNY resources are also available there. College policies governing employment are largely based on SUNY requirements, and the local Human Resources function acts as a resource to the College employees (https://sunyopt.edu/human-resources/). Employees in the patient care operations must also follow requirements for Protected Health Information (PHI – HIPAA). The Chief Human Resources also acts as the College’s ADA Coordinator for faculty, staff, and students (https://sunyopt.edu/human- resources/disability-services-and-accessibility/). Grievance procedures for faculty and staff are identified in Collective Negotiation Agreements with the State applicable to the employee. Continue to affirm commitment to Diversity, Equity and Inclusion (DEI) and redouble efforts to recruit and retain underrepresented faculty and students. Complete the update to the strategic action plan with tactics to make sustained progress in DEI. o As part of Strategic Financial Planning, identify longer-term opportunities to moderate the growth in the cost of attendance. o It is difficult to find many of the reference documents online (such as the Faculty Handbook); the College should modify its new website and archive to make these documents more available in a timely fashion via menus and through the website’s search function.  Collegial Advice o

Team Recommendation(s) None

Requirement(s) None

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Standard III: Design and Delivery of the Student Learning Experience

An institution provides students with learning experiences that are characterized by rigor and coherence of all program, certificate, and degree levels, regardless of instructional modality. All learning experiences, regardless of modality, program pace/schedule, and setting are consistent with higher education expectations.

In the team’s judgment, the institution appears to meet this standard.

This judgment is based on a review of the self-study report, evidence, and interviews with institutional constituencies to clarify information and verify compliance during the self-study evaluation team visit. Summary of Findings In the Self-Study two strategic priorities are addressed related to Standard III: (1) Enhance the student experience through programs that promotes student and alumni success, and (2) Deliver a Dynamic curriculum that engages students and advances contemporary optometry. Those two institutional priorities align with two goals from the College’s Strategic Plan 2013- 2018, and new Strategic Plan 2018-2023. Doctor of Optometry (OD) The professional program leading to the Doctor of Optometry (OD) at the SUNY College of Optometry is four years in duration. Professional learning objectives and core clinical competencies are the basis for curriculum design and development. The curriculum integrates the basic biological and vision sciences that form the foundation of clinical practice, teaches the fundamentals of optometry and develops critical thinking for patient care and clinical decision making. The Curriculum uses various teaching, delivery, and assessment methods for effective patient care. Patient care begins early and continues throughout all four years of the program with increasing responsibilities under the supervision of our clinical faculty at the University Eye Center (UEC) as well as through a minimum of two quarters during the fourth year at externship sites nationally and internationally. Student learning experiences are designed, delivered and assessed by qualified faculty. The College employs about 73 full-time and 33 part-time paid faculty for a total of 81.08 full-time equivalent (FTE). This number does not include additional 12 attending ophthalmologist in the University Eye Center. Faculty members have academic qualifications appropriate for their responsibilities. The quantity of faculty members is sufficient to allow the College meet its educational, research and service mission. All academic programs of study are accurately described in the official publications of the Institution (Catalog, SUNY Optometry-GCVR Graduate Policy document, Student Handbook, Externship Manual, Electives Catalog, Doctoral Student Handbook, among others). Learning opportunities are diverse for the institution’s programs and for student’s academic progress. A variety of teaching and assessment methods are used such as written quizzes, formal examinations, laboratory practical examinations, integrative seminars, video materials, clinical

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rotations, academic advising program, externship program, course electives, and National Board of Examiners in Optometry (NBEO) national licensing examinations, among others.

Graduate Program The SUNY College of Optometry offers the following research oriented graduate programs: PhD in Vision Science, MS in Vision Science, combined OD/MS, combined OD/Ph.D., combined residency MS or PhD in Vision Science. All graduate programs are accurately described in the Graduate Policy Document and Doctoral Student Handbook. Graduate students participate in a series of courses, seminars, tutorials, journal clubs, and receive intensive training in selected areas of vision research. A thesis is required for both the MS and PhD degrees in Vision Science. Courses stress analysis and discussion of the primary literature and provides training in key technical and communicative skills necessary for research career in academia and industry. Research and Scholarship Research and scholarly activity are institutional priorities and essential elements of the College’s mission statement. The college successfully develops, maintains and supports research. The Colleges seeks to grow in translational research that complements the College’s Clinical Vision Research Center. Faculty publish regularly in top general interest journals and high impact on neurosciences, eye vision and optometry journals. In the last 10 years, highly productive with about 495 peer-reviewed publications. Institutional support is provided through the Associate Dean for Research and Graduate Studies and the Dean and Vice President for Academic Affairs. Grant activity and funds have been consistent during the last 10 years. The SUNY College of Optometry OD program does not provide any student learning opportunities designed, delivered, or assessed by third party providers. Through consortium agreements, the College awards PhD students credit for graduate courses attended at local MSCHE-accredited institutions approved by the Associate Dean for Research and Graduate Students. Assessment of the Effectiveness of Programs Clear learning outcomes, derivative of the College’s mission and program goals, have been established for all educational programs and student learning opportunities. These serve as the basis for educational effectiveness assessment as describe in the Assessment Plan (Standard V). NBEO examination results demonstrate since 2012 that 96% of the graduating students passed all three parts of the NBEO examinations by the time of graduation, which is comparable to national performance. A high percentage of entering students complete the OD program in a timely manner (graduated in 4 years).

Collegial Advice o

The College should continue to share actively the evidence of the periodic assessment of student learning opportunities included in the Factbook. Student learning assessment has resulted in specific actions such as the use of visual simulations prior to actual validating a clinical competency, faculty development for online teaching, GAP examination data used for academic advising, changing

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curricular sequences to lessen student workload, support system established during Covid-19 Pandemic, and future of online strategies (lessons learned).

Team Recommendation(s) None

Requirement(s) None

 Recognition of Accomplishments, Progress, or Exemplary/Innovative Practices o The College has invested significantly in virtual reality, simulation training and virtual clinics and technology for human biological sciences and optometric procedures trainings to facilitate student learning opportunities due to the Covid- 19 pandemic. o Virtual office hours and tutoring support services have facilitated student learning experiences during the Covid-19 pandemic and these practices were highly praised by the students interviewed during the site visit. o The use of GAP examinations as an assessment tool of students’ individual mastery is laudable. The GAP examinations seek to improve academic advising and to help students with specific weaknesses better prepare for NBEO examinations.

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Standard IV: Support of the Student Experience

Across all educational experiences, settings, levels, and instructional modalities, the institution recruits and admits students whose interests, abilities, experiences, and goals are congruent with its mission and educational offerings. The institution commits to student retention, persistence, completion, and success through a coherent and effective support system sustained by qualified professionals, which enhances the quality of the learning environment, contributes to the educational experience, and fosters student success.

In the team’s judgment, the institution appears to meet this standard.

This judgment is based on a review of the self-study report, evidence, and interviews with institutional constituencies to clarify information and verify compliance during the self-study evaluation team visit. Summary of Findings The College’s commitment to student success is evident in efforts to recruit a diverse student body with the potential to succeed, in their clearly articulated policies and procedures, and with their highly personalized support services and experiences. Recruiting and Admitting SUNY College of Optometry Students Admission requirements for all programs are clearly articulated and are published on the College’s website. The College makes a concerted effort to attract students from underrepresented backgrounds by not only considering grade point average (GPA) and standardized test scores but also by holistically examining the student’s personal statement and circumstances. The College developed a Diversity and Inclusion Master Plan in 2016 and implemented several strategies– including the development of pipeline programs--to diversify its student enrollment. The College’s success is evidence by the increase of incoming underrepresented minorities from approximately 6% of the incoming class in 2016 to 17.5% in 2020. Additionally, the interview criteria for the OD program, for all graduate programs, and for the residency programs directly align with the mission and values of the College. Policies and Procedures to Inform and Support Students After review of the information published via brochures and via the College’s website, the team confirms that the information published regarding expenses, financial aid, scholarships, grants, loans, repayment, and refunds appear to be accessible to the public and appear to be reasonably valid. The Office of Institutional Research and Planning, in conjunction with the President, ensures the accuracy of all materials posted. The College has clear policies and procedures for the secure handling of student information and records. Staff in Student Affairs are trained in FERPA. Student information is only released to internal researchers if vetted and approved by an appropriate administrator. Physical records are transported and stored in secure locations. Electronic records are secured, and backed up, by the Office of Information Technology.

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Procedures that govern student clubs and organizations are documented and described in the Student Constitution, and policies that directly impact students, including those pertaining to transfer credits, are articulated in the Student Handbook. Personalized Support Services After interviewing campus constituencies, the team confirms that the College’s approach to supporting the student experience is effective and consistent with the College’s mission and goals. The College coordinates student orientation, advising, tutoring, mental health services and career development events and activities to support the needs of its students. Of note, the College quickly pivoted in response to the pandemic and adapted these services to a remote environment.  The College held a virtual orientation in fall 2020 but intends to resume in person orientations in fall 2021.  Even pre-pandemic, health care and mental health services were available to students but given the additional stressors related to the pandemic and related to social justice, the College recognized the need to expand services. A licensed clinical psychologist is available to students, and the college covers the cost of the first five visits. In response to Covid-19, the College implemented a peer mental health support program that includes more than 20 faculty, staff, and students who obtained Mental Health First Aid certification. Additionally, the College leveraged a phone app, SafeInSight , that allows students to access mental health services remotely to help remove barriers to accessing these resources.  The Career Development Center sponsors multiple events to support students in job searches, contract negotiations, networking, and other support needed for career development, all of which were in place prior to the Covid-19 pandemic. While the annual, in-person, Career Symposia have been cancelled due to Covid, the Career Development Center ran three additional virtual career development sessions.  Students complete the Student Loan Exit interview counseling prior to graduation, and the director of financial aid is available for follow-up counseling sessions. The College has several highly personalized mechanisms in place to support the needs of students who are identified as underperforming. These include:  The Academic Advising Program, which supports students who may be underprepared or underperforming during the didactic portion of their curriculum. Students who are identified throughout their first three years are assigned faculty advisors who develop an individualized student plan.  The Clinical Enhancement Program supports students not meeting minimal competencies in clinical programs. Students in need of additional support are assigned a clinical faculty coach who develops a clinical enhancement plan based on the students individualized needs.  In response to academic performance data from Gap Exam results, and prior NBEO examination data, the College implemented a Board Assistance Program that provides diagnostic and organizational support to students. Again, a faculty specialist designs an individualized strategy for student success on the NBEO exams.

Assessment of Effectiveness of Support Programs

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The College provides several examples of improvements made to the student experience resulting from assessments of support programs. Notably, the Office of Admissions annually surveys students who are accepted but who do not enroll. The College was able to leverage insights from these surveys to redesign the interview day. Likewise, the College has made significant progress in diversifying its incoming class and increasing the matriculations of underrepresented minority students. The team also confirms that student feedback is periodically obtained via multiple mechanisms including (1) pulse surveys sent to students to glean information regarding stressors, performance or other support needed, (2) post-event surveys, and (3) by directly including students on college committees and councils. Moreover, both the self-study and student interviews provided strong evidence that the student voice is well represented in College planning and that actions have been taken in response to student feedback.

Overall, the real-time interventions and the agility of the College to respond to student needs, attest to SUNY College of Optometry’s commitment to supporting their students.

Collegial Advice The College should consider opportunities to more cyclically assess the impact of the services provided. While substantial feedback is collected from students, there is an opportunity to better collect evidence of the impact of the College’s programming.

Team Recommendation(s) None

Requirement(s) None

 Recognition of Accomplishments, Progress, or Exemplary/Innovative Practices o The mental health services provided to the students by the College are exemplary. The peer mental health support, mental health app, and counselors available to students all create an environment where students can flourish. The College has created a model of mental health support that could become an exemplar to other institutions.

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Standard V: Educational Effectiveness Assessment

Assessment of student learning and achievement demonstrates that the institution’s students have accomplished educational goals consistent with their programs of study, degree level, the institution’s mission, and appropriate expectations for institutions of higher education.

In the team’s judgment, the institution appears to meet this standard.

This judgment is based on a review of the self-study report, evidence, and interviews with institutional constituencies to clarify information and verify compliance during the self-study evaluation team visit. Summary of Findings Based on a review of the self-study, other institutional documents, and interviews with faculty, staff, students, and others, the team developed the following conclusions relative to this standard. The College maintains a very strong culture of planning, assessment, analysis and implementation in all aspects of its operation. A comprehensive assessment plan is detailed in Appendix M of the Faculty Handbook. The assessment plan is directly linked to the College’s Five-year Strategic Plan, overseen by the Office of Institutional Research and Planning. Regarding assessment of the education program, the College has a clear plan for evaluating each of the degree programs offered. Outcomes data for each program are published for all stakeholders to view in the College’s Factbook posted on the College’s web page. The goals of each degree program are clearly linked to the mission statement of the College and are implemented by specific curricular learning objectives. Note that these curricular goals and standards are assessed by the professional accrediting body, the Accreditation Council on Optometric Education (ACOE). In the OD program, the syllabi indicate how each learning objective is addressed and evaluated in each course. Students are evaluated by written examinations and practical pre-clinical examinations in their traditional coursework and on their patient care performance in the clinics. A more comprehensive assessment of student learning is evaluated by multiple indicators. Foremost is student performance on the NBEO national licensing examinations, where SUNY students have a 96% pass rate at the time of graduation. The quality and nature of a student’s patient care experience is evaluated by a web-based data tracking system, Meditrek, to record patient encounters, so that progress can be readily assessed by clinical faculty. Evaluation of student success is also indicated by the high percentage of students graduating in four years, and the number of students (40%) pursuing residency programs. Overall student performance is evaluated and analyzed on a variety of levels by the Department Chairs, Curriculum Committee, Dean’s Council and the Clinical Education Council. In addition, student participation in the educational assessment process occurs in a number of ways. Student perspectives are provided through course evaluations, and Student Council Representatives meet with the Vice President for Academic Affairs, Department Chairs, and the Vice President for Student Affairs. Students also have representation on the College’s Curriculum Committee. An exit survey is given to graduating students, and an Alumni Survey is given to those six years post-graduation.

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Feedback from these source is evaluated by the forum best suited for analysis and resulted in 13 significant changes in the OD curriculum over the past few years. For example, the College has introduced a robust, proactive student assistance program. This program utilizes academic advising, Gap exams to identify problem areas of study, and a Board Assistance Program to help students prepare for each section of the NBEO. In another significant change, the basic science faculty and clinical faculty worked together to transition the third year from a semester system to a quarter system. This allows for the clinical work in the third year to mesh seamlessly with fourth-year rotations and allows students a block of time to study for NBEO examination (Part I). It is also important to note that the faculty have modified their educational activities, via virtual classrooms and clinic, due to the Covid-19 crisis. Faculty are closely monitoring the progress of their students to ensure that the virtual classroom and clinic promote student success. These changes indicate that assessment of student learning is an ongoing process, which is properly evaluated, and brought full circle to improve educational outcomes. The goals of the graduate programs are clearly in line with the College’s mission, and the learning objectives required to meet these goals are articulated in specific detail. Assessment of the graduate programs is done via multiple mechanisms, appropriate to each program. For example, the PhD program is assessed by the Committee on Graduate Programs, which evaluates publications and presentations at professional meetings, time to graduation, and Exit and Alumni surveys. Analysis of the feedback has led to changes, which increased the applicant pool for the program, improved flexibility in course requirements, and increased the breadth of training by allowing students to attend courses at other institutions. Assessment of the key performance indicators for the OD-MS program led to similar improvements in this program. Changes in admission policies enabled the College to select students after evaluating their first semester performance in the OD program. This resulted in selecting applicants who are more capable of handling additional coursework, thereby halving the attrition rate in the MS program. Other changes include actions to better prepare students for an academic career including: restructuring the four pillar courses in the program, introducing a Research Skills course, and starting Journal Club. The Residency Program is directed by the Residency Supervisor and the Director of the Residency Program and accredited by the Accreditation Council on Optometric Education (ACOE). Key performance indicators for this program are both quantitative and qualitative, and include the number of applicants and the evaluations by clinical supervisors, who track the quality and quantity of resident patient care experiences. Curricular evaluations by the Director of Residency Programs and individual Residency Supervisors have resulted in nine significant changes to the program over the past few years. Examples of these changes include a list of advanced competencies and defined benchmarks for outcomes assessment. Other advances include establishing the first hospital-based pediatric residency and a program to train military optometrists to treat military personal with acquired brain injuries. The mission of the College reaches a wider audience through the Department of Continuing Professional Education (CPE). The Department offers comprehensive and innovative post‐graduate education, which enables optometrists to meet their licensure and certification requirements, especially as it pertains to licensure in New York State. The Department assesses the success of the program through multiple factors including attendance, written examinations,

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surveys submitted by course attendees, and observations by course instructors. Evaluation of the program has led to expansion of program offerings, creation of on-line CE Programs and appropriate administrative changes. In partnership with SUNY Empire State College, the College of Optometry offers two programs that relate to the business aspect of optometry practice: The Advanced Graduate Certificate in Optometry Business Management and the Masters of Business Administration (MBA) in Health Leadership Programs. The overarching goal of these programs is to provide the skills and knowledge base to help optometrists be successful in practice and to develop the skills necessary for effective management and leadership in healthcare. Assessment tools include student enrollment, completion rate, student course evaluations, and advancement from the certificate to the MBA program. Evaluation of the Program by the Coordinator from Empire State College, the Chair of the Department of Clinical Education, Assistant Dean for Academic Affairs, and members of the Office of Student Affairs has led a focus on enhancing recruitment efforts. Finally, it is important to note that the college’s assessment process is tied directly to the strategic planning process. Adjustments to the assessment process are made as part of the planning cycle. This helps to ensure that relevant education and outcomes data are collected so that the success of the strategic plan can be properly evaluated. Collegial Advice The team suggests that the College follow its own recommendations to generate more detailed and timelier data from their graduates once they are practicing professionals. The College currently collects valuable information via an OD Exit Survey and OD Alumni Survey, but the team believes more information regarding practice patterns is desirable. The College is exploring revising the current surveys and the use of a web-based system to collect information. 

Team Recommendation(s) None

Requirement(s) None

 Recognition of Accomplishments, Progress, or Exemplary/Innovative Practices o The College is to be congratulated on the use of assessment as an integral part of how it accomplishes its mission and educates both the optometry and graduate students. Robust assessment of all aspects of college operations has led to more effective problem solving, directed implementation of learning objectives, and provides a well-informed basis for the strategic five-year planning cycle.

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Standard VI: Planning, Resources, and Institutional Improvement

The institution’s planning processes, resources, and structures are aligned with each other and are sufficient to fulfill its mission and goals, to continuously assess and improve its programs and services, and to respond effectively to opportunities and challenges.

In the team’s judgment, the institution appears to meet this standard.

This judgment is based on a review of the self-study report, evidence, and interviews with institutional constituencies to clarify information and verify compliance during the self-study evaluation team visit.

Summary of Findings

Planning and Budgeting The SUNY College of Optometry has regular, transparent, inclusive, and distributed planning processes for both academic and administrative units. These planning processes are directly tied to the College’s institutional strategic priorities and goals. Evidence shows that individual units within the College must refer to contributions toward these, as applicable, in their planning as well as in annual priorities and goals specific to a unit and a unit head. It was noted that “Starting in 2018-19, annual goals were formally matched to the goals/objectives of the strategic plan,” and the president meets annually with each vice president to assess progress on the plan. Furthermore, there are Annual Implementation Meetings where each vice president presents “a data-driven analysis that addresses progress on the strategic plan in the vice president’s area of responsibility” to the Institutional Research and Planning Committee and the rest of the senior management. The team saw evidence of these reports, showing data on a multi-year basis and relating to specific strategic objectives The College adopted a strategic plan in 2018 ( 2018-2023 Strategic Plan: Care, Lead, Advance ) when it engaged in an assessment and renewal process from the prior plan and identification of new initiatives around nine strategic objectives. In turn the College initiated a longer-term view, “An Exploration of Strategies for the Long-Term Sustainability of the SUNY College of Optometry,” with a draft report issued in February 2020 (Framework for the Future: Phase 1 Draft) ; however, that planning effort was interrupted by the Covid-19 emergency and should resume in the Fall of 2021. Within the framework of the SUNY and New York State budget processes, the College’s annual budget preparation and resource allocation relate directly to its mission, goals, and objectives. There is evidence from review of the budget call letter and sample budget submissions that data are used to assess financial and programmatic performance, and budget requests relate directly to a “specific component of the strategic plan.” The institutional research function provides regular data analysis as part of the College’s Assessment Plan. Financial Position The College’s operating and capital needs depend on six categories of income or support: ● State support through SUNY ● Income from student tuition and fees

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● Research revenues (through the Research Foundation of SUNY) ● Philanthropy (through its foundation, the Optometric Center of New York or OCNY) ● Clinical revenue ● Auxiliary services (e.g., facility usage agreements and fees for rental of meeting space) The College’s financial structure is complex because of the various types/sources of income common to SUNY institutions; these types are generally not interchangeable, nor do they appear in a comprehensive financial system. The College provides financial information to the SUNY Controller who compiles system-wide reports as well as quarterly reports for units within the system. Departments can access financial information through SUNY reporting systems, specifically an Oracle-based business intelligence system. The College prepares unaudited financial statement including Balance Sheets and Statements of Revenues, Expenses, and Changes in Net Position; the SUNY Controller prepares IPEDS reports that allow for tracking of key financial ratios. Before the Covid-19 emergency, the College received “consistent NY State support, equaling approximately 1/3 of its operating budget, including fringe benefit payments.” The June 30, 2019 fund balance of $19M was approximately 56% of annual State and Income Fund Reimbursable expenditures ($19M of 2019 State and Income Fund Reimbursable expenditures of about $34M). This gave the College the capability to weather the financial impact of the emergency. The State reacted to the emergency by freezing non-essential spending and reducing and delaying appropriation payments. The College took appropriate steps to curtail spending (hiring freeze, travel suspension, and controlling acquisitions) to adjust not only to lower appropriations, but also to lower patient revenue, lower interest income, and lower revenue from facility use agreements. The State’s withholding of payments at the end of FY2020 required use of approximately $10 million of these reserves; however, the reserve fund balance recovered to $13.4 million by the end of CY2020, providing additional capacity to manage continued financial uncertainty. Decreased income from clinical operations of the University Eye Center was the other major contributing factor though there has been recent recovery of patient visits. Though the State withheld its financial support in FY2020, it has subsequently restored those funds in the current fiscal year. Though the College has not received State support for FY2021 yet, it is expecting 95% of its previous level ($9.2 million); it anticipates that returning to $9.7 million in FY 2022. The College is forecasting a reserve balance of approximately $16 million by the end of FY2021, using a net of $3 million since before the Covid emergency. The College avoided any layoffs during the emergency. Audits The SUNY system undergoes annual external audits of its financial statement in which the College’s financial activity is included. There are no separate financial statement audits at the College’s level. The College is subject to topical audits conducted by the state and SUNY’s Internal Audit office.

Institutional Advancement

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