Policy on Substantive Change

POLICY ON SUBSTANTIVE CHANGE AND NOTIFYING THE COMMISSION ON COLLEGES OF THE SOUTHERN ASSOCIATION OF COLLEGES AND SCHOOLS (SACSCOC)

1. POLICY STATEMENT
   This University Policy establishes the requirements and procedures to ensure timely, accurateand complete notification of the Commission on Colleges of the Southern Association ofColleges and Schools (SACSCOC) whenever the University or any of its units proposes tomake a significant modification in the nature or scope of the institution's activities at the time ofits most recent evaluation by SACSCOC.
2. POLICY PRINCIPLES
   The purpose of this policy is to ensure continuous compliance with the standard and supportingpolicy on substantive change of SACSCOC. The University is a member of SACSCOC, which isits regional accrediting body, recognized by the U.S. Department of Education as an agencywhose accreditation entitles its member institutions to seek eligibility to participate in Title IVprograms.
3. EFFECTIVE DATE
   APPROVED: September 20, 2010
4. APPLICABILITY 
   This policy applies to all officers Auburn University who can initiate, review, approve or allocateresources to changes in any of the University's programs or activities, whether academic ornon-academic, that may be considered a substantive change according the SACSCOC policy. Within academic areas, such changes may originate with individual faculty members or groupsof faculty members, with department committees or department heads/chairs, with deans orassociate deans, with the Provost and Vice President for Academic Affairs, or with any otherarea reporting to the Provost. (See Attachment A, Auburn University Organization Chart). In areas outside of Academic Affairs, potential substantive changes may originate withindividual units, with management teams within Vice Presidential or Executive Director areas,with the Vice Presidents and Executive Directors themselves, or with the President or those inthe President's direct reporting line. (See Attachment A, Auburn University Organization Chart). Each individual hereby designated is required to be familiar and comply with this policy.
5. POLICY MANAGMENT
   Responsible Office: SACSCOC Accreditation Liaison
   Responsible Executive: University President
   Responsible Officer: Vice President for Academic Affairs and Provost
   
6. DEFINITIONS 
   Substantive Change: A significant modification or expansion of the nature and scopeof an accredited institution. (See Table 1, below.) Source: SACSCOC.

   Examples of changes deemed substantive by SACSCOC include, but are not limited to thefollowing:
   

   Curricular/instructional changes
   

   • Initiating coursework or programs at a more advanced level than currently approved
   • Adding a program at the current level that departs significantly from current programs
   • Initiating joint degrees with another institution
   • Initiating a certificate program at a new off-campus site or that is a significant departure
   • Initiating an off-campus site where at least 25% of the credit for a program can be obtained
   • Expanding course or program offerings at a previously approved off-campus site
   • Adding programs that are significantly different from current programs
   • Initiating distance learning programs or components amounting to at least 25% of a program
   • Initiating programs/courses offered through contractual or consortial agreements
   • Relocating a previously approved off-campus site
   • Altering significantly the length of an educational program
   • Closing an educational program

   Other changes
   

   • Initiating a branch campus
   • Altering significantly the educational mission of the institution
   • Initiating a merger or consolidation with another institution
   • Relocating a main or branch campus
   • Changing an institution's governance, ownership, control or legal status
   • Closing an institution

   Procedure One: SACSCOC procedure associated with a substantive change whichrequires SACSCOC notification and approval prior to implementation. Changes underProcedure One require notification, a prospectus or application, and may involve an onsite visit.Source: SACSCOC.

   Procedure Two: SACSCOC procedure associated with a substantive change whichrequires SACSCOC notification prior to implementation. Source: SACSCOC.

   Procedure Three: SACSCOC procedure associated with Approval of aConsolidation/Merger. Source: SACSCOC.

   Branch Campus: A location of an institution that is geographically apart andindependent of the main campus of the institution. A location is independent of the maincampus if the location is (1) permanent in nature; (2) offers courses in educational programsleading to a degree, certificate, or other recognized educational credential; (3) has its ownfaculty and administrative or supervisory organization; and (4) has its own budgetary and hiringauthority. Source: SACSCOC.

   Degree Completion Program: A program where the institution accepts or requires asubstantial amount of transfer credit prior to entry and only the program major portion isoffered.

   Distance Learning: A formal educational process in which the majority of theinstruction (interaction between students and instructors and among students) in a courseoccurs when students and instructors are not in the same place. Instruction may besynchronous or asynchronous. A distance education course may employ correspondencestudy, or audio, video, or computer technologies. Source: SACSCOC.

   Level: SACSCOC's level taxonomy categorizes institutions by the highest degreeoffered. Because it offers four or more doctorate degrees, Auburn University is designated as aLevel VI institution.

   Merger/Consolidation: The Commission on Colleges defines a consolidation as thecombination or transfer of the assets of at least two distinct institutions (corporations) to that ofa newly formed institution (corporation), and defines a merger as the acquisition by oneinstitution of another institution's assets. For the purposes of accreditation, consolidations andmergers are considered substantive changes requiring review by the Commission on Colleges.(Examples include: a senior college acquiring a junior college, a degree granting institutionacquiring a non-degree granting institution, two junior or senior colleges consolidating to form anew institution, or an institution accredited by the Commission on Colleges merging with a nonaccredited institution). Source: SACSCOC.

   Off Campus Site: Campus location providing educational course and/or programofferings that is at a different address than the main campus location. Source: SACSCOC.

   Program or Program of Study: A course of study leading to a formal award, e.g.,degree, certificate.

   SACSCOC Accreditation Liaison: In the years between accreditation reviews, theAccreditation Liaison is responsible for ensuring the timely submission of annual institutionalprofiles and other reports as requested by the Commission. With the chief executive officer, theaccreditation liaison is responsible for the accuracy of all information submitted to theCommission and for ensuring ongoing compliance with Commission standards, policies, andprocedures beyond reaffirmation. During the Reaffirmation Cycle, the Liaison serves on theSACSCOC Reaffirmation Leadership Team and oversees all staffing aspects of theReaffirmation process. Source: SACSCOC.

   Teach Out: The process by which the University provides instructional and academicsupport services to students enrolled at a site that has been closed and/or in a program thathas been discontinued. The teach out process often extends well beyond the closing of a site orprogram to allow time for enrolled students to complete their programs in a reasonable amountof time.

   Teach Out Agreement: A written agreement between accredited institutions thatprovides for the equitable treatment of students if one of those institutions stops offering aneducational program before all students enrolled in that program complete the program.Source: SACSCOC.

7. POLICY PROCEDURES
   As defined by SACSCOC and used in this policy, a substantive change is any action thatsignificantly modifies or expands the University's scope as recognized at the time of its mostrecent evaluation by SACSCOC. Examples are given in Section VI. Definitions.

   At the earliest stage of preliminary planning, notification of any potential change that could bedeemed substantive (as defined in this policy) must be submitted in writing via the applicablereporting line to the Provost or appropriate Vice President/Executive Director and thence to thePresident. The President may delegate to the Provost or other appropriate senior administratorresponsibility for reviewing proposed substantive changes.

   These notifications must include: (a) the title of the proposed change; (b) a brief description ofthe change, including its nature (e.g., new educational program, new off-campus site, initiationof distance education) and its scope (one program, multiple programs in one college, inter-collegiate program, etc.); (c) contact information for the responsible individual; (d) a tentativetimeline for approval, including steps in the approval process (e.g., College CurriculumCommittee, University Curriculum Committee, Board of Trustees, Alabama Commission onHigher Education, etc.); and (e) the earliest possible date for implementation.

   In academic areas, these preliminary notifications will be reviewed by the Substantive ChangeReview Committee, composed of the academic administrative officers who oversee activitieswhere most substantive changes occur: the SACSCOC Accreditation Liaison (chair); the Deanof the Graduate School, who chairs the Graduate Council; the Assistant Provost for Undergraduate Studies, who chairsthe Curriculum Committee; the Assistant Provost for International Programs; and the Director ofDistance Learning. Upon recommendation from this committee, the Provost will determinewhether the proposed change should move forward, be modified, or be set aside. In areasoutside of Academic Affairs, upon notification by the relevant Vice President/Executive Directorand with that person's consent, the institution's SACSCOC Accreditation Liaison will appointand chair an ad hoc committee to review proposed substantive changes and bring recommendationsfor disposition by the relevant Vice President/Executive Director.

   The SACSCOC Policy entitled Substantive Changes for Accredited Institutions definesthe term "substantive change" and provides instructions for notification or approval bySACSCOC. Table 1, derived from Attachment B to that policy, lists examples of the types ofchanges which are considered to be substantive under this policy.

Table 1. Types of Substantive Change and Applicable SACSCOC Procedures

Types of Change	Procedure	Prior Notification Required	Time Frame for Contacting SACSCOC	Prior Approval Required	Docu- mentation
Initiating coursework or programs at a more advanced level than currently approved	1	Yes	12 months	Yes	Application for Level Change (Due dates: April 15 or October 1)
Expanding at current degree level (significant departures from current programs)1	1	Yes	6 months	Yes	Prospectus
Initiating a branch campus (see definition in Section VI of this document)	1	Yes	6 months	Yes	Prospectus
Initiating joint or dual degrees with another institution	1	Yes	6 months	Yes	Prospectus
Initiating a certificate program (typically for workforce development): using existing approved courses a previously approved program at a new off-campus site that is a significant departure from previously approved programs1	NA 1 1	NA Yes Yes	NA Approval prior to implementation Approval prior to implementation	NA Yes Yes	None Modified prospectus Modified prospectus
Initiating off-campus sites (including Early College High School programs offered at a high school): possible for a student to obtain 50% or more of the credits toward program completion 25%-49% of credits less than 25% of credits	1 2 NA	Yes Yes NA	6 months Prior to implementation NA	Yes No NA	Prospectus Letter of notification None
Expanding program offerings at previously approved off-campus sites: adding programs that are significantly different from current programs adding programs that are notsignificantly different from current programs	2 NA	Yes NA	Prior to implementation NA	No NA	Letter of notification NA
Altering significantly the educational mission of the institution2	1	Yes	6 months	Yes	Prospectus
Initiating distance learning: offering 50% or more of a program (adding subsequent programs requires advance notification only for programs that are significant departures from the originally approved programs)1 25%-49% of credits less than 25% of credits	1 2 NA	Yes Yes NA	6 months Prior to implementation NA	Yes No NA	Prospectus Letter of notification None
Initiating programs/courses offered through contractual agreement or consortium	2	Yes	Prior to implementation	No	Letter of notification and copy of signed agreement
Initiating a merger/consolidation with another institution	3	Yes	6 months	Yes	Prospectus (Due dates: April 15 or October 1)
Relocating a main or branch campus	1	Yes	6 months	Yes	Prospectus
Relocating an off-campus instructional site	2	Yes	Prior to implementation	No	Letter of notification
Changing governance, ownership, control or legal status of an institution	1	Yes	6 months	Yes	Prospectus
Changing from clock hours to credit hours	1	Yes	6 months	Yes	Prospectus
Altering significantly the length of a program 3	1	Yes	6 months	Yes	Prospectus
Initiating degree completion programs	1	Yes	6 months	Yes	Prospectus
Closing an institution or program (see SACSCOC policy "Closing a Program or Institution"): closing a program with an internal teach-out protocol closing a program with a teach-out agreement with another institution closing an institution	2 2 2	Yes Yes Yes	Prior to implementation Prior to implementation Prior to implementation		Description of plan Copy of teach-out agreement Description of plan

1 A significant departure in program is one in which the proposed new program has no closely related counterpartamong the previously approved programs in the curriculum. To determine if a new program is a "significant departure," it ishelpful to ask if the new program requires a) numbers of new faculty, b) many new courses, c) new library or other learningresources, d) new equipment or facilities, or e) a new resource base.
2 Significant changes in mission are those that lead to a fundamental shift in the nature of the institution, such as aninstitution that had previously offered only professional programs deciding to add general education offerings, or a technicalcollege transforming itself into a comprehensive community college.
3 Significant changes in program length are those with noticeable impact on the program's completion time (e.g.,increasing a baccalaureate degree from 124 hours to 150 hours).

The University has an obligation to notify SACSCOC when substantive changes are proposed,and some changes require that body's prior approval. To that end, the proposers of changesapproved for further development must keep the Provost (or relevant Vice President/ExecutiveDirector) and the SACSCOC Accreditation Liaison apprised regarding the continuing viabilityand progress toward implementation of the potential change, so that timely notification ofSACSCOC can be given. The Provost and the SACSCOC Liaison will oversee the process ofpreparing appropriate notification, in conjunction with those involved with the change, according to the requirements in SACSCOC Policy entitled SubstantiveChanges for Accredited Institutionsand in other related policy and accreditation documents maintained by SACSCOC.

Auburn's SACSCOC Accreditation Liaison will send initial written notification of this policy to allresponsible University officers and faculty (as identified in IV. APPLICABILITY) and will sendthereafter annual written reminders regarding their responsibility for compliance. The President,Provost, Vice Presidents and Executive Directors are responsible to see that their respectiveareas provide notification of any potential Substantive Changes under this policy. The Provostand SACSCOC Accreditation Liaison will offer periodic training sessions on substantive changeand will ensure that information regarding this policy, associated resources available fromSACSCOC, and answers to frequently asked questions are made available on the Provost'swebsite.

8. SANCTIONS
   If Auburn University fails to follow SACSCOC procedures for notification and approval ofsubstantive changes, its total accreditation may be placed in jeopardy. For that reason, thesanction for failure to follow this University policy must be sufficient to avoid such failure. If anacademic program, unit or officer initiates a substantive change without following theprocedures outlined in this policy, the President or Provost may direct the immediatecancellation or cessation of that change, with due regard for the educational welfare ofstudents, when it is discovered. In areas outside of Academic Affairs, the same sanction maybe applied by the President or relevant Vice President/Executive Director.
9. EXCLUSIONS
   No exclusions from this University policy will be permitted.
10. INTERPRETATION 
    Questions about the interpretation of this policy should be directed to the University'sSACSCOC Accreditation Liaison, who in doubtful or unprecedented cases will consult with thePresident, Provost, or appropriate Vice President/Executive Director and the institution'sassigned SACSCOC Vice President before rendering an opinion.

APPENDICES

Attach a full version, in PDF format, of the submitted policy and supporting documents(i.e. forms, exhibits, memorandums etc.)

Appendix: Southern Association of Colleges and Schools Commission on Colleges,"Substantive Change for Accredited Institutions of the Commission on Colleges" (17 pages,with two exhibits), last edited July 2010, accessed September 20, 2010.

Posted at: 
http://www.sacscoc.org/pdf/081705/Substantive%20change%20policy.pdf