Handbook of Operating Procedures
Chapter 2 - Faculty and Academics
Publication Date: March 17, 2017
Responsible Executive: VP for Academic Affairs

2.35 Substantive Change Procedures Required to Obtain Southern Association of Colleges and Schools Commission on Colleges Approval

This is not the current policy. For the latest, click here.

I. POLICY STATEMENT

The Southern Association of Colleges and Schools, Commission on Colleges (SACSCOC) must approve all changes proposed by The University of Texas at San Antonio (UTSA) considered to be substantive according to its “Substantive Change Policy.” This approval must be granted prior to implementation of changes. Materials will be submitted to SACSCOC for approval only after required institutional, The University of Texas System (UT System) and the Texas Higher Education Coordinating Board (THECB) approvals have been obtained.

II. RATIONALE

This policy outlines the procedures which UTSA must follow to comply with the SACSCOC Substantive Change Policy, in adherence with U.S. Department of Education regulations (34 CFR 602.22). Adherence to the policy will ensure UTSA avoids sanctions and penalties associated with non-compliance.

III. SCOPE

This policy applies to all changes at UTSA that fall under the scope of the SACSCOC Substantive Change Policy. (See definition for additional details.) All individuals involved in proposing and/or implementing a substantive change must coordinate the efforts with the responsible parties designated in this policy for type of change, for example, the UT System, the executives, the appropriate vice provost and the college associate dean, and ultimately with UTSA's SACSCOC Accreditation Liaison (Liaison).

IV. WEBSITE ADDRESS FOR THIS POLICY

http://www.utsa.edu/hop/chapter2/2-35.html

V. RELATED STATUTES, POLICIES, REQUIREMENTS OR STANDARDS

UTSA or UT System Policies or the Board of Regents Rules & Regulations

UTSA Handbook of Operating Procedures (HOP) policy 2.38, Academic Program Abandonment
UTSA HOP policy 2.43, Educational Programs and Courses Offered Through Collaborative Academic Arrangements
The University of Texas System (UT System) Regents’ Rules and Regulations, Rule 40307, Academic Program Approval Standards

Other Policies & Standards

Texas Administrative Code
Title 19, Part 1, Chapter 5, Subchapter C, Rule 5.45 – Criteria for New Baccalaureate and Master’s Degree Programs
Texas Administrative Code
Title 19, Part 1, Chapter 5, Subchapter C, Rule 5.46 – Criteria for New Doctoral Programs
Texas Administrative Code
Title 19, Part 1, Chapter 4, Subchapter P, Rules 4.255 through 4.264 – Approval of Distance Education Courses and Programs for Public Institutions
Texas Administrative Code
Title 19, Part 1, Chapter 5, Subchapter D, Rule 5.76 – General Principles for Off-Campus Educational Units
Texas Higher Education Coordinating Board
Policies regarding Off-Campus Education Unit Designation for Universities and Health-Related Institutions
SACS, Commission on Colleges Substantive Change Policy
SACS, Commission on Colleges Mergers, Consolidations, Change of Ownership, Acquisitions, and Change of Governance, Control, Form, or Legal Status (Substantive Change for Accredited Institutions) (Mergers and Consolidations Policy)
SACS, Commission on Colleges Distance and Correspondence Education
SACS, Commission on Colleges Agreements Involving Joint and Dual Academic Awards Policy
SACS, Commission on Colleges The Accreditation Liaison
U.S. Department of Education 34 CFR 602.22

VI. CONTACTS

If you have any questions about HOP policy 2.35, Substantive Change Procedures Required to Obtain Southern Association of Colleges and Schools Commission on Colleges Approval, contact UTSA’s SACSCOC Liaison.

Contact the Office of the Provost and Vice President for Academic Affairs and ask for the SACSCOC Liaison.
210-458-4110

VII. DEFINITIONS

NOTE: Other than “Associate Dean,” the following definitions are included in the SACSCOC Substantive Change Policy, the Mergers and Consolidations Policy, Collaborative Academic Arrangements Policy, or the substantive change definition used by SACSCOC (quoted below).

Agreements Involving Joint and Dual Academic Awards: Defined by the SACSCOC as agreements between institutions accredited by the SACSCOC and accredited or non-accredited degree-granting institutions of higher education throughout the world for purposes of awarding academic completion awards (e.g., certificates, diplomas, or degrees). They are also referred to as affiliations, partnerships, and consortial agreements.

A dual educational program is one whereby students study at two or more institutions, and each institution awards a separate program completion credential bearing only its own name, seal and signature. Note: Dual enrollments—high school students taking college courses for concurrent credit— are not included in this definition and not covered by this policy.
A joint educational program is one whereby students study at two or more institutions and are awarded a single program completion credential bearing the names, seals and signatures of each of the participating institutions.

Associate Dean: A person assigned by the dean of the college to monitor and serve as a contact regarding academic program changes that might be deemed as potentially substantive per the SACSCOC Substantive Change Policy (see I. in Section V above).

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 permanent in nature; offers courses in educational programs leading to a degree, certificate, or other recognized educational credential; has its own faculty and administrative or supervisory organization; and has its own budgetary and hiring authority. (UTSA currently does not operate a branch campus.)

Certificate program: For purposes of this policy, a certificate program is an organized set of courses to be offered for academic credit which (1) has been previously approved by SACSCOC but will be offered at a new off-campus site, or (2) is a significant departure from a previously approved program.

Change of ownership: The sale or transfer to, or acquisition by, a new owner of all, or a substantial portion, of the institution’s assets, or the assets of a branch campus or site.

College/Department/Program Level Change: An academic-related change (noted in IX.B. below) that requires prior approvals within the institution and from the UT System and the THECB before submission for approval to the SACSCOC.

Consolidation: The combination or transfer of the assets of at least two distinct institutions to that of a newly-formed institution. An example includes two colleges consolidating to form a new institution. (See also Change of ownership and Merger.)

Correspondence education: A formal educational process under which the institution provides instructional materials, by mail or electronic transmission, including examinations on the materials, to students who are separated from the instructor. Interaction between the instructor and the student is limited, is not regular and substantive, and is primarily initiated by the student; courses are typically self-paced. (UTSA currently does not offer correspondence education.)

Deadlines: The SACSCOC must receive the substantive change material from the institution by January 1st for a change desired to be implemented between July 1st and December 31st (generally at the beginning of the fall semester), and by July 1st for a change desired to be implemented between January 1st and June 30th (generally at the beginning of the spring semester).

Degree completion program: A program typically designed for a non-traditional undergraduate population such as working adults who have completed some college-level course work but have not achieved a baccalaureate degree. Students in such programs may transfer in credit from courses taken previously. Courses in degree completion programs are often offered in an accelerated format or meet during evening and weekend hours, or may be offered via distance learning technologies. (UTSA currently does not offer degree completion programs.)

Degree programs: For purposes of this policy, degree programs are programs of study that reflect a substantive change, and result in a bachelor’s, master’s or doctoral degree. If necessary, such programs have been approved by UT System, and/or the THECB.

Distance education: 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 use the internet; one-way and two-way transmissions through open broadcast, closed circuit, cable, microwave, broadband lines, fiber optics, satellite, or wireless communications devices; audio conferencing; or video cassettes, DVD’s, and CD-ROMs if used as part of the distance learning course or program.

Educational program: A coherent course of study leading to the awarding of a credential (i.e., a degree, diploma or certificate).

Liaison: The institutional representative appointed by the president who guides the development of substantive change materials and submits those materials to the SACSCOC.

Institutional Level Change: A non-academic or administrative-related change (noted in IX.A. below) that can only be initiated with the prior approval of UT System and the THECB before submission for approval to the SACSCOC.

Merger: The acquisition by one institution of another institution's assets. An example includes an institution accredited by SACSCOC acquiring the assets of a non-accredited institution. (See also change of ownership and consolidation.)

Modified prospectus: A prospectus submitted in lieu of a full prospectus for certain designated substantive changes. When a modified prospectus is acceptable, the SACSCOC specifies requested information from the institution.

Notification: A letter from an institution’s chief executive officer, or his/her designated representative, to the SACSCOC President summarizing a 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. The policy and procedures for reporting and review of institutional substantive change are outlined in the document “Substantive Change for Accredited Institutions of the Commission on Colleges.”

Off-campus sites: Any facilities located geographically physically separate from the main campuses of UTSA.

SACSCOC Accreditation Liaison (Liaison): The individual at UTSA charged with ensuring UTSA’s compliance with accreditation requirements. For a full description of duties and activities this position entails, see the SACSCOC “The Accreditation Liaison” in Sec. V.M, pages 1-2, “Responsibilities of the Accreditation Liaison.”

Significant departure: A program that is not closely related to previously approved programs at the institution or site or the addition of substantially more news courses or credit hours to a degree program. See SACSCOC Substantive Change Policy in Sec. V.I, page 4, for indications a departure may be considered significant.

Substantive change: Defined by the SACSCOC as a significant modification or expansion of the nature and scope of an accredited institution. These changes include: 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 in content (i.e. >25%) from those that were offered when the institution was last evaluated; the addition of courses or programs of study at a degree or credential level different from that which is included in the institution’s current accreditation or reaffirmation; a substantial change in the number of 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; closing a program, off-campus site, branch campus or institution; entering into a collaborative academic arrangement such as a dual degree program or a joint degree program with another institution; acquiring another institution or a program or location of another institution; adding a permanent location at a site where the institution is conducting a teach-out program for a closed institution; or entering into a contract by which an entity not eligible for Title IV funding offers 25% or more of one or more of the accredited institution’s programs.

Teach-out agreement: A written agreement between institutions that provides for the equitable treatment of students and a reasonable opportunity for students to complete their program of study if an institution or an institutional location that provides fifty percent or more of at least one program offered ceases to operate before all enrolled students have completed their program of study. Such a teach-out agreement requires SACSCOC approval in advance of implementation.

Teach-out plan: A written plan developed by an institution that provides for the equitable treatment of students in an institution if a program is being eliminated, or if an institutional location that provides fifty percent or more of at least one program ceases to operate before all students have completed their program of study, and may include, if required by the institution's accrediting agency, a teach-out agreement between institutions. Teach-out plans must be approved by SACSCOC in advance of implementation of a substantive change that entails ceasing to offer a program or closes a location as noted above.

VIII. RESPONSIBILITIES

A. Dean
IX. Procedures, Section B.3.a apply.
Department Chair (or Organizational Equivalent) Coordinating the Substantive Change
IX. Procedures, Sections B.3.b (i-iv), B.3.i, and Sections C and D apply.
Associate Dean (Assigned for Substantive Change)
IX. Procedures, Section B.3.c (i-vii) and Sections C and D apply.
Vice Provost and Dean for the University College or Vice Provost and Dean of the Graduate School
IX. Procedures, Section B.3.d, and Sections C and D apply.
Liaison
IX. Procedures, Section A.3.d (i-iii) applies for Institution Level substantive changes;
IX. Procedures, Section B.3.g (i-iv) and Sections C and D apply for College/Department/Program Level substantive changes.
Provost and Vice President for Academic Affairs
IX. Procedures, Section B.3.h applies.
President or His/Her Designated Representative
IX. Procedures, Section A.3.a, b, c, and e apply.
IX. Procedures, Section B.3.g applies.

Graduate Council
IX. Procedures, Section B.3.e applies.

Faculty Senate
IX. Procedures, Section B.3.f applies.

IX. PROCEDURES

Institutional Level (Non-Academic or Administrative-Related) Substantive Changes
1. Institutional Level Substantive Change, either non-academic or administrative-related, can only be initiated with the prior approval of UT System and the THECB before submission for approval to the SACSCOC.
2. The following changes are considered by UTSA to be non-academic or administrative-related Institutional Level Substantive Changes that require the approval of the SACSCOC prior to implementation:
  1. Any change in UTSA's established mission or objectives;
  2. Any change of UTSA's legal status, governance, form of control, or ownership;
  3. Establishment of a branch campus;
  4. Closing a branch campus or institution (and initiating related teach-out agreements);
  5. Acquiring another institution;
  6. Acquiring a program or location from another institution;
  7. Changing from clock hours to credit hours (In the event that the acquisition in e. or f. above involved clock hours, a conversion would be required because UTSA awards only credit hours.);
  8. Adding a permanent location at a site where UTSA is conducting a teach-out program for a closed institution;
  9. Initiating a merger/consolidation;
  10. Relocating a main campus; or
  11. Entering into a contract by which an entity not eligible for Title IV funding offers 25% or more of the accredited institution’s programs.
3. The necessary steps for ensuring compliance for institutional changes are grouped by role below:
  *If the change is not initiated by the UT System, the President must obtain the approval of the proposed change from the UT System before pursuing the steps in b, d and f below.

College/Department/Program Level (Academic-Related) Substantive Changes
1. College/Department/Program Level Changes require the prior approvals within the institution and from the UT System and the THECB before submission for approval to the SACSCOC (see related HOP and institutional policies).
2. The following changes are considered by UTSA to be academic-related College/Department/Program Level changes that may require the approval of the SACSCOC prior to implementation:
  1. Adding courses or programs that would represent a significant departure in content from those offered currently;
  2. Adding courses or programs of study at a degree or credential level different from that which is included in UTSA’s current accreditation or reaffirmation;
  3. Initiating a degree completion program;
  4. Changing from clock hours to credit hours (UTSA currently only awards credit hours.);
  5. Initiating certificate programs;
  6. Substantially increasing the number of credit hours awarded for successful completion of a program;
  7. Initiating an off-campus site for program offerings, including Early College High School Programs offered at a high school);
  8. Expanding program offerings at a previously-approved off-campus site by adding programs that are significantly different from current programs at the site and at the institution;
  9. Moving an off-campus instructional site (serving the same geographic area);
  10. Initiating delivery of a program via distance learning;
  11. Initiating programs or courses offered through a contractual agreement or consortium;
  12. Initiating a collaborative academic arrangement (dual or joint educational program);
  13. Closing a program or elimination of an off-campus site for a program and initiating any related teach-out agreements/plans.
3. To comply with the SACSCOC Substantive Change Policy, each college or other administrative unit involved in proposing a change must work with the offices designated below to determine whether the change must receive institutional, UT System and THECB approval and is considered to be a substantive change according to the definition above, so that SACSCOC can be notified and approval obtained prior to implementation. The necessary steps are grouped by role below:
  1. The college dean must assign an associate dean to monitor substantive change proposals related to academic degree programs, certificates and courses within the college.
  2. The department chair or organizational equivalent must ensure that the associate dean is made aware of any proposed changes to a program, certificate, and courses offered for academic credit that may considered to be substantive and:
    1. Notify the designated associate dean of each proposed new program or program change at least nine months prior to the planned implementation. See paragraphs c.v. for implications for short notice.
    2. Prepare required substantive change materials (including the teach-out agreement and teach-out plan for an eliminated program or off-campus site) and submit to the associate dean at least eight months prior to planned implementation. (Depending on the complexity of the change, approval once SACSCOC receives the substantive change material can take up to eight months.)
    3. Implement substantive change only after informed of SACSCOC approval by the associate dean.
    4. Comply with all aspects of this policy, and HOP policy 2.38 Academic Program Abandonment and/or HOP policy 2.43 related to collaborative academic arrangements, if the substantive change involves either closure of a program or programs offered with other institution(s).
  3. The designated associate dean must monitor potential substantive changes in the college and:
    1. Be familiar with the HOP policies related to programs, certificates and courses noted in 3.b.iv.above, the responsibilities of the department chair, and all substantive change issues identified by the SACSCOC Substantive Change Policy.
    2. Serve as the contact between the department chair, the dean, the vice provost and dean for either undergraduate studies or for the graduate school depending on the level of the proposed change, and the Liaison regarding all substantive change issues.
    3. Communicate the plan for each change in degree or certificate program or courses to the vice provost responsible for its oversight (the vice provost and dean of the University College for undergraduate level changes or the vice provost and dean of the graduate school for graduate level changes) with ample time to meet SACSCOC submission deadlines. See paragraph v. below.
    4. If the vice provost determines that the change is substantive, provide a draft letter describing the substantive change to the Liaison as soon as notification of a planned substantive change is received.
    5. Submit required departmental substantive change materials (including the teach-out agreement and teach-out plan for an eliminated program or off-campus site) to the Liaison with ample time for the Liaison to meet SACSCOC substantive change deadlines in advance of the proposed implementation date. Ample time is needed for edits, requests for additional material, and development of the prospectus prior to SACSCOC submission deadline (see paragraph ii. below). The SACSCOC approves July to December implementation (generally desired at the start of the fall semester) only if all required information is submitted by January 1st of that same year. Late submissions will not be considered. The implementation date must be moved to January 1st of the following year if the January 1st deadline is missed. The SACSCOC approves January to June implementation (generally desired at the start of the spring semester) only if all required information is submitted by July 1st of the previous year. Late submissions will not be considered. The implementation date must be moved to August 1st or later of the following year (the start of the fall semester) if the deadline is missed.
    6. Notify the department chair or equivalent that SACSCOC approval has been obtained when informed by the Liaison.
    7. erify to the Liaison that no substantive change has been implemented before SACSCOC approval has been obtained from the Liaison.
  4. The vice provost and dean of the University College or vice provost and dean of the Graduate School must communicate each potential substantive change related to their respective degree programs, certificates and courses to the Faculty Senate (for undergraduate programs), the Graduate Council (for graduate programs) and the Accreditation Liaison, as soon as notified by associate dean.
  5. The Graduate Council will convey to the Faculty Senate a recommendation to approve or deny changes to graduate programs.
  6. The Faculty Senate, with input from the Graduate Council for graduate programs, will convey to the Provost and President a recommendation to approve or deny changes to undergraduate and graduate programs.
  7. The Liaison must coordinate all submissions of substantive changes to the SACSCOC:
    1. Obtain the president’s signature on the letter of notification and submit to the SACSCOC president as soon as notification that implementation of a substantive change is being planned.
    2. Coordinate the development of substantive change materials to the SACSCOC.
    3. Submit all substantive change materials required by the SACSCOC Substantive Change Policy to the SACSCOC by January 1st for July to December implementation (generally desired at the start of the fall semester) in the same year; and by July 1st for January to June implementation (generally desired at the start of the spring semester)of the following year.
    Communicate the SACSCOC approval to the associate dean (or equivalent) of the college and to the vice provost and dean for undergraduate studies or vice provost and dean of the graduate school when it is received.
  8. The provost and vice president for academic affairs or designee must ensure that all documentation, notifications, and approval arising from all proposed substantive changes are completed prior to implementation.
  9. No program or courses requiring approval by the SACSCOC may be implemented until the department chair or equivalent receives formal notification of SACSCOC approval. Because UTSA must receive formal notice of approval from the THECB for changes it considers substantive before submitting the substantive change material to the SACSCOC for approval, it may not be possible to receive approval by the preferred implementation date. Delays in notification to the associate dean and/or submission of appropriate materials to the Liaison may result in delay in approval by the SACSCOC and, as a consequence, delay in implementation of the program or courses.
  10. See the SACSCOC Substantive Change Policy for requirement details.
The required actions described can be initiated earlier than the stated SACSCOC deadlines in this policy.
Failure to receive approval of changes considered substantive according to SACSCOC prior to implementation will result in sanctions to UTSA.

X. SPECIAL INSTRUCTIONS FOR INITIAL IMPLEMENTATION

None

XI. FORMS AND TOOLS/ONLINE PROCESSES

Changes considered “substantive” and the SACSCOC policy regarding each are identified in the SACSCOC Substantive Changes for Accredited Institutions of the Commission on Colleges Policy Statement, found on the SACSCOC website. This document provides useful guidance, and also links to other policies that apply under certain circumstances.

XII. APPENDIX