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Policy #2102
Substantive Change Reporting Requirements

Date of Current Revision: August, 2010
Responsible Officer: Provost & Senior Vice President for Academic Affairs
Secondary Responsible Officer: SACS Accreditation Liaison

1. PURPOSE

This policy exists specifically to establish, clarify and communicate the requirement that all university changes deemed to be “substantive” must be approved by the President and Board of Visitors, with subsequent notification to and/or approval by the Commission on Colleges (COC) for the university’s regional accrediting body, the Southern Association of Colleges and Schools (SACS).

It defines what changes are deemed to be “substantive” and the requirements, procedures, and processes for coordinating the university’s timely and complete notification of substantive changes to SACS. This policy is primarily designed to address academic programs and curricular issues, although other defined substantive changes are also covered.

2. AUTHORITY

Virginia Code Sections 23-164.6 and 23‐9.2:3, as amended, grant authority to the Board of Visitors to establish rules and regulations for the institution. Where the board has not exercised its authority, it has delegated authority to the president.

SACS accredits the university and its programs and services, wherever they are located or however they are delivered. The SACS COC is recognized by the United States Department of Education as an agency whose accreditation enables its member institutions to seek eligibility to participate in federally funded programs. SACS requires accredited institutions to follow the substantive change procedures of the COC. In order to retain accreditation, the university is required to comply with SACS and COC procedures concerning substantive changes.

3. DEFINITIONS

Academic Program or Academic Program of Study:
A course of study leading to a formal award (For example, a degree or certificate).

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

Consolidation:
The combination or transfer of the assets of at least two distinct institutions (corporations) to that of a newly formed institution (corporation). For the purposes of accreditation, consolidations are considered substantive changes requiring review by the COC. (Examples include: two senior colleges consolidating to form a new institution.)

Distance Learning:
A formal educational process in which the majority of the instruction (interaction between students and instructors and among students) in a course occurs when students and instructors are not in the same place. Instruction may be synchronous or asynchronous. A distance education course may employ correspondence study, or audio, video, or computer technologies.

Level:
SACS/COC’s taxonomy which categorizes institutions by the highest degree offered, in which the university is designated as a Level VI institution.

Merger:
The acquisition by one institution of another institution's assets. For the purposes of accreditation, mergers are considered substantive changes requiring review by the COC. (Examples include: a senior college acquiring a junior college, a degree-granting institution acquiring a nondegree-granting institution, or an institution accredited by the COC merging with a non-accredited institution.)

Notification:
A letter from the university president or his/her designated representative to the president of the SACS/COC summarizing the proposed change, providing the intended implementation date, and listing the complete physical address, if the change involves the initiation of an off-campus site or branch campus.

Off-Campus Site:
A campus location providing educational course and/or program offerings that is at a different address than the main campus location.

Procedure One:
SACS/COC procedure associated with a substantive change which requires SACS/COC notification and approval prior to implementation. Changes under Procedure One require notification, a prospectus or application, and may involve an on-site visit. Details on which substantive changes require the university to follow Procedure One are available in SACS/COC Policy Substantive Changes for Accredited Institutions (Appendix A).

Procedure Two:
SACS/COC procedure associated with a substantive change which requires SACS/COC notification prior to implementation. Details on which substantive changes require the university to follow Procedure Two are available in SACS/COC Policy Substantive Changes for Accredited Institutions (Appendix A).

Procedure Three:
SACS/COC procedure associated with Approval of a Consolidation/Merger. Details on which substantive changes require the university to follow Procedure Three are available in SACS/COC Policy Substantive Changes for Accredited Institutions (Appendix A).

Provost:
The Senior Vice President for Academic Affairs.

SACS Accreditation Liaison:
An individual assigned by the university to act as liaison between the university and the SACS/COC.

Significant changes in mission:
Changes that lead to a fundamental shift in the nature of the institution, such as an institution that had offered only professional programs deciding to add general education offerings, or a technical college transforming itself into a comprehensive community college.

Significant changes in program length:
Changes with noticeable impact on the program’s completion time (e.g., increasing a baccalaureate degree from 124 hours to 150 hours).

Significant departure in program:
A change in which the proposed new program has no closely related counterpart among the previously approved programs in the curriculum.

Substantive Change:
A significant modification or expansion of the nature and scope of an accredited institution, including:

  • Any change in the established mission or objectives of the institution
  • Any change in legal status, form of control, or ownership of the institution
  • The addition of courses or programs that represent a significant departure, either in content or method of delivery, from those that were offered when the institution was last evaluated
  • The addition of courses or programs at a degree or credential level above that which is included in the institution’s current accreditation or reaffirmation.
  • A change from clock hours to credit hours
  • A substantial increase in the number of clock or credit hours awarded for successful completion of a program
  • The establishment of an additional location geographically apart from the main campus at which the institution offers at least 50 percent of an educational program
  • The establishment of a branch campus.

(See Table 1, SACS Commission on Colleges, attached as part of Appendix A.)

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

Teach-Out Agreement:
A written agreement between SACS accredited institutions that provides for the equitable treatment of students if one of those institutions stops offering an educational program before all students enrolled in that program complete the program.

4. APPLICABILITY

This policy applies to all substantive changes as defined herein. It applies to all university officers who initiate, review, approve and/or allocate resources to any substantive changes, including those to academic and non-academic programs and activities.

Within academic areas, substantive changes under this policy may originate with individuals or groups of faculty members, academic unit committees, academic unit chairs, deans and associate deans, college committees, vice provosts, the Provost, or any area reporting to the provost.

In those areas outside the Division of Academic Affairs, substantive changes may arise in individual units, among supervisors in each area, executive management teams within vice presidential or executive director areas, or with the vice presidents themselves.

Additionally, a substantive change may be proposed by the president or those in his direct reporting line.

5. POLICY

As the university pursues structural and programmatic changes, all of those changes deemed to be “substantive” changes require approval by the President, Board of Visitors, and the COC for SACS.

Specially, the university will follow the substantive change procedures of the COC, and inform the COC of such changes and proposed changes in accord with those procedures. Regardless of the origination point, all substantive changes must be tracked and reported under this policy.

6. PROCEDURES

6.1. Decision of Substantive Change Status

6.1.0  At the earliest stage of conceptualization, any proposed change that fits the definition of a substantive change must be submitted in writing via the applicable reporting line to the appropriate vice president. If the vice president approves of the changes, the submission will be forwarded to the president. These submissions must include:

  1. The title of the proposed change
  2. A brief description of the change, including its scope
  3. The responsible individual to act as contact concerning the change
  4. A tentative timeline for approval of the change
  5. The earliest date possible for implementation of the change.

Preliminary submissions received by the President will be reviewed by the division heads.

6.1.1  Table 1 in Appendix A lists the types of institutional changes which are considered to be substantive under the terms of this policy, and lists when prior approval from COC is required (Procedure One), or prior notification of COC is required (Procedure Two), or a Consolidation or Merger is proposed (Procedure Three). More details are provided in The Substantive Change for Accredited Institutions of the COC document from SACS (Appendix A).

6.2. Internal Development of Substantive Change

6.2.1  If the proposed change is considered appropriate for internal development by the division heads, the Provost will instruct the SACS Accreditation Liaison to record in the SACS Change Tracking Database the title, description, date of approval for internal development, the name of the individual responsible for its development, anticipated approval date and earliest possible implementation date.

6.2.2  Individuals responsible for the proposed changes will make progress reports to the Provost and the SACS Accreditation Liaison regarding the progress of the proposed change.

6.2.3  The anticipated earliest date of implementation will be recorded to ensure that adequate time exists for SACS notification, including the development of a Substantive Change Prospectus. Should the planned implementation date not allow for timely SACS notification, the implementation date will be adjusted to allow for timely notification to SACS.

6.2.4  The SACS Accreditation Liaison, in coordination with the Provost, will monitor and record the progress and outcomes of the proposed change in the SACS Change Tracking Database, including events associated with the university’s established policies and procedures for internal and external review and approval for various changes at the university. Working with other university officers, the SACS Accreditation Liaison will ensure that progress toward approval and implementation is carefully tracked.

6.2.5  For curricular changes, the Office of the Vice Provost for Academic Programs will work with the Accreditation Liaison to keep the Provost apprised regarding the continuing viability and progress toward implementation of the potential change to ensure timely notification to SACS/COC. The Provost will oversee the process of preparing appropriate notification, in conjunction with those involved with the change, according to the requirements in SACS/COC Policy Substantive Changes for Accredited Institutions and other related policy and accreditation documents maintained by SACS/COC (Appendix).

6.2.6  When all internal reviews and approvals have been obtained, the president will send SACS/COC the appropriate written notification of the proposed change.

6.2.7  Depending on the type of change and subsequent instructions from SACS/COC, the university may be required by the COC to submit a Substantive Change Prospectus and/or an Application for Approval, within three to twelve months prior to implementation of the change (per Table 1 in Appendix A). A minimum of six months is required to obtain formal approval from the university’s Board of Visitors and the State Council of Higher Education of Virginia (SCHEV), if required.

6.3. External Development of Substantive Change

When the university’s Board of Visitors and SCHEV or the Virginia Governor’s office have given final approval, as appropriate, the Provost will notify the SACS Accreditation Liaison to prepare for SACS/COC a Prospectus or Application as appropriate. Implementation of the approved substantive change may not occur until the procedures have been completed. Most procedures will require at least three months following submission of the prospectus or application to SACS/COC, where applicable.

The Provost and SACS Accreditation Liaison will post information regarding this policy, associated resources available from SACS/COC, and answers to frequently asked questions are made available on the Provost’s Web site (www.jmu.edu/acadaffairs) and the university curriculum Web site (www.jmu.edu/curriculum ).

7. RESPONSIBILITIES

SACS Accreditation Liaison
In the years between accreditation reviews, the liaison is responsible for ensuring the timely submission of annual institutional profiles and other reports as requested by the Commission. With the chief executive officer, the liaison is responsible for the accuracy of all information submitted to the commission and for ensuring ongoing compliance with Commission standards, policies, and procedures beyond reaffirmation. During the Reaffirmation Cycle, the liaison serves on the SACS/COC Reaffirmation Leadership Team and oversees all staffing aspects of the Reaffirmation process. The liaison is responsible for internal and external monitoring of substantive change progress, and responsible for reporting final change status.

Vice Provost for Academic Programs
The vice provost for Academic Programs is responsible for working with development of curricular changes resulting in substantive changes.

Senior Vice Presidents
The vice presidents are responsible for their respective areas bringing forward any potential substantive changes under this policy.

President
The president, with the Accreditation Liaison, is responsible for the accuracy of all information submitted to the COC and for ensuring ongoing compliance with COC standards, policies, and procedures beyond reaffirmation. The president is responsible for oversight and final reporting of substantive changes to SACS/COC.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

None.

10. Interpretation

The authority to interpret this policy rests with the President, and is generally delegated to the Provost and Senior Vice President for Academic Affairs.

Previous version: None
Approved by the President: August, 2010

Index Terms

Accreditation
Commission on Colleges (COC)
SACS Change Tracking Database
Southern Association of Colleges and Schools (SACS)
Substantive Change

Appendixes

Appendix A: SACS/COC Policy Substantive Changes for Accredited Institutions

Appendix B: Application for a Member Institution Seeking Accrediation at a More Advanced Degree Level.