Substantive Change Procedure

Approved Dec 2010; Revised April 2012 Page 1

Houston Community College (HCC) Substantive Change Procedure

Background: Member institutions of the Southern Association of Colleges and Schools Commission on Colleges (SACSCOC) are required to notify the Commission of changes in accordance with the substantive change policy and, when required, seek approval prior to the initiation of changes. Further, member institutions are required to have a policy and procedure to ensure that all substantive changes are reported to the Commission in a timely fashion. Definition: Substantive change is a significant modification or expansion of the nature and scope of an accredited institution. Under federal regulations, substantive change includes

• 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 of study at a degree or credential level different from 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 • 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 • 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 Purpose: The purpose of a Houston Community College (HCC) Substantive Change Procedure is to ensure HCC compliance with its own substantive change policy and the SACSCOC policy on substantive change as detailed in The Principles of Accreditation: Foundations for Quality Enhancement, Principle 3.12. Rules for substantive change and the notification procedures are to be found in Substantive Change for Accredited Institutions of the Commission on Colleges: Policy Statement, located online at: http://SACSCOCcoc.org/pdf/081705/Substantivepercent20changepercent20policy.pdf. Responsibility: Responsibility for notifying SACSCOC of substantive changes that have occurred or will occur officially rests with the HCC SACSCOC Liaison. In 2007, the Chancellor designated the Vice Chancellor of Instruction as the HCC SACSCOC Liaison. The Vice Chancellor of Instruction has created a SACSCOC office within his administrative unit and has hired an Accreditation Compliance Director. The Vice Chancellor of Instruction has delegated the responsibility for the substantive change reporting process to the Accreditation Compliance Director.


Responsibility for HCC compliance with its own substantive change policy and that of SACSCOC rests with the Vice-‐Chancellor of Instruction. It is his responsibility to inform all members of the HCC institution of the policy requirements. HCC’s substantive change policy is published online within the other HCC policy statements at: http://www.hccs.edu/hccs/faculty-‐staff/board-‐policies/a-‐9-‐institutional-‐effectiveness-‐reports/a-‐9-‐2-‐institutional-‐effectiveness-‐substantive-‐change . All personnel mentioned within the following procedures have been notified of their role in complying with HCC’s substantive change policy and the SACSCOC substantive change policy and that compliance is required. These procedures are also published online at: http://www.hccs.edu/hccs/faculty-‐staff/accreditation-‐compliance-‐sacs/substantive-‐change/hcc-‐substantive-‐change-‐procedure . All personnel who have required responsibilities have been notified of the location of the procedures and of their roles within them. This procedures document is in three sections, A, B and C. Section A, beginning just below this paragraph, covers the most common types of substantive change concerning HCC. Section B, beginning on page 6, covers the procedures for handling uncommon occurrences that involve substantive changes. Section C, beginning on page 9 lists actions and decisions that called for a substantive change in the past, have already been made, and reported.

Responsible party Area of responsibility SACSCOC Liaison (HCC Vice Chancellor for Instruction)

Delegation of substantive change duties to Accreditation Compliance Director

Accreditation Compliance Director Overall substantive change process A. Steps to complete common types of Substantive Changes:

1. New programs, degrees, certificates or significant changes to the length of a program or certificate a. Any program faculty proposing curriculum changes as described above must follow the

procedures as detailed in the HCC Curriculum Handbook, found online at: http://www.hccs.edu/hccs/faculty-‐staff/curriculum/curriculum-‐development/curriculum-‐handbook . (1) New programs or significant changes to programs require a prospectus or modified

prospectus as part of required documentation for approval. The HCC template for preparation of the prospectus or modified prospectus is available at: http://www.curricunet.com/HCCS/forms.cfm

(2) Proposed curriculum changes that qualify as substantive changes will not be approved by the HCC Curriculum Committee without a prospectus.

b. If the curriculum change is approved, the chairman of the Curriculum Committee will copy the prospectus that accompanied the request for approval by the Curriculum Committee and forward the copy of the prospectus to the Accreditation Compliance Director.

c. The prospectus copy will be filed in the SACSCOC office until the next regular substantive change letter of notification is written to SACSCOC. The prospectus in that file will provide the information needed to notify SACSCOC of substantive changes to the curriculum.


2. Deactivated and closed programs and certificates (with or with-‐out teach-‐out agreements)

a. Faculty (usually a program chair) notifies the HCC Curriculum Office of plans to close or deactivate programs or certificates so that the Texas Higher Education Coordinating Board can be notified.

b. The CTE Director will notify the Accreditation Compliance Director’s office, in writing, of all plans to close or deactivate a program or certificate at the time the Coordinating Board is notified. If there are students in the certificate or program, a teach-‐out plan must be submitted in writing to the Executive Director for Curriculum.

c. The Accreditation Compliance Director will file all such notices and teach out plans until the next regular substantive change letter of notification is written to SACSCOC.

Responsible party Area of responsibility Program chair of deactivating certificate or program

Notification of HCC Curriculum Office of plans to close certificate or program

Executive Director for Curriculum Delivery of written notice and/or teach out agreement to Accreditation Compliance Director

Accreditation Compliance Director Compilation of notices and plans to be sent to SACSCOC

3. New Facilities, Instructional Sites or Campuses or relocation of any site The SACSCOC office in Atlanta keeps a record of the name and address of every instructional site at which an HCC credit class is offered. All sites are reported, both owned and leased; where credit or dual credit classes are offered.

a. All major new facilities are approved by the HCC Board of Trustees. b. When a major new facility is proposed, the HCC Chancellor will provide a copy of the Board

agenda page to the Vice-‐Chancellor of Instruction (the SACSCOC Liaison) with the name and address of the facility.

c. If the new facility is approved, the Board secretary will provide the Vice Chancellor of Instruction with minutes of the approval.

d. The Vice Chancellor of Instruction will provide Board minutes approving the facility to the Accreditation Compliance Director.

e. The Accreditation Compliance Director will notify the President, the COO and the appropriate program or department chair (if applicable) if and when a prospectus for the new facility is

Responsible party Area of responsibility Faculty proposing curriculum change Completion of form containing prospectus

information; submitting it to the curriculum committee

Chairman of the Curriculum Committee Approval of proposed change; non-‐approval of proposed curriculum change without an accompanying prospectus; delivery of copy of prospectus to Accreditation Compliance Director

Accreditation Compliance Director Compilation of prospectuses to be sent to SACSCOC


needed and establish a deadline for the receipt of the prospectus in the Accreditation Compliance Director’s office.

f. The Accreditation Compliance Director will file the information about the new facility and send the prospectus so it will arrive at the SACSCOC office at least 6 months prior to the opening of a new, major facility.

g. The Assistant Registrar maintains the tables in the PeopleSoft system for all instructional sites and will notify the Accreditation Compliance Director of the name and address of any new instructional site that is added to PeopleSoft at any time. This will notify the Accreditation Compliance Director of any instructional site added (including all dual credit high schools) even if it is not a major site that required HCC Board approval and at which not more than 50 percent of any program is offered.

Responsible party Area of Responsibility HCC Chancellor Notify Vice Chancellor of Instruction of any Board

action item to acquire a new facility HCC Board Secretary Provide Vice Chancellor of Instruction with

minutes if action is approved. Vice-‐Chancellor of Instruction/SACS liaison Notify Accreditation Compliance Director of new

facilities approved by the HCC Board of Trustees College President, COO, and Program Chair Preparation of prospectus for facilities six months

before a new, major facility opens HCC Assistant Registrar Notify Accreditation Compliance Director of name

and address of any new, minor instructional site added to PeopleSoft for HCC instruction

Accreditation Compliance Director Compilation of names and addressed of all new instructional sites; work with college administrations on prospectuses for major sites; assist SACS liaison with writing and submitting the prospectus to SACS 6 months prior to opening a new, major facility

4. Current sites that have reached the 25 percent and are approaching the 50 percent thresholds SACSCOC will be notified by letter when the college begins to offer 25-‐49 percent of any program at a site. The letter will contain the date on which the threshold was reached. HCC will notify SACSCOC of a site reaching this mark in the college’s next substantive change letter. A prospectus for a site and a substantive change letter to SACSCOC will be prepared when the college approaches the 50 percent threshold. Since there is no certain way to know when a site may begin to offer more than 50 percent of a program, SACSCOC will be notified and a prospectus sent when a site reaches a 40 percent threshold, so as to ascertain that the prospectus will reach SACSCOC at least six months before a site crosses the 50 percent threshold.

a. The HCC PeopleSoft student system report “Schedule by Campus” collects data including individual classes offered at all sites, the date each class started, and the instructors’ names.

b. The personnel in the Accreditation Compliance Director’s office will run a “Schedule by Campus” report on the official day of record each semester (including flex entry dates within semesters)


to determine if any site has crossed the 25 percent threshold or is approaching the 50 percent threshold that semester.

c. Site that have crossed the 25 percent threshold are listed with the date of the beginning of classes at that site that semester. The list will be held in the Accreditation Compliance Director’s office until the next substantive change letter is mailed to SACSCOC.

d. Because it is difficult to predict exactly when a site will exceed the 50 percent mark for any program and because HCC must notify SACSCOC six months in advance of such mark and provide a prospectus three months in advance, HCC will prepare a prospectus for all sites reaching 40 percent of instruction. Half of an associate degree is 30 SCH or 10 courses. Therefore a prospectus will be prepared when there are at least 8 general education courses offered at a site or a mixture of general education and workforce courses equaling or exceeding 24 SCH.

Responsible party Area of Responsibility Accreditation Compliance Director Run the “Schedule by Campus” report on official day of

record for each semester (including flex entry dates within semesters)

Accreditation Compliance Director Keep list of sites offering 25-‐40 percent of a program until that semester’s substantive change letter is written

Accreditation Compliance Director Determine if any site has crossed the 40 percent threshold and notify the colleges of need to prepare prospectus

College Deans and COO Prepare prospectus for sites that have crossed the 40 percent threshold and return them to the Accreditation Compliance Director

Vice Chancellor for Instruction Prepare a substantive change letter for SACSCOC and notify it of sites that offer 25 percent of a program and send prospectuses for sites that have crossed the 40 percent threshold

5. Early college high schools SACSCOC will be notified by letter of the initiation of an early college high school. When more than 50 percent of any HCC program credit may be obtained at the high school SACSCOC must be sent a prospectus. The Vice Chancellor of Instruction must prepare an Memorandum of Understanding (MOU) with the partner school district for operation of an Early College High School and an action item for approval of the MOU by the HCC Board . The SACSCOC Liaison/Vice-‐Chancellor of Instruction notifies the Accreditation Compliance Director upon Board approval of the MOU for a new Early College High School. The Accreditation Compliance Director monitors the high school via the “Schedule by Campus” report in PeopleSoft mentioned in the above section, so that when it approaches the 50 percent mark, the appropriate college president and COO can be notified to prepare a prospectus.

Responsible party Area of responsibility SACSCOC Liaison/Vice-‐Chancellor of Instruction Notification of Accreditation Compliance Director

of Board approval of MOU creating a new early


college high school Accreditation Compliance Director Monitor early college high school for requirements

of letter of notification and/or prospectus College president, COO and Deans Prepare a prospectus for early college high schools

that have crossed the 40% of a program threshold Accreditation Compliance Director, Vice-‐Chancellor of Instruction

Send prospectus to SACSCOC for an early college high school that is at least three months away from crossing the 50% of a program threshold

B. Steps to complete substantive changes not covered by the above process The responsibility for reporting all substantive changes rests with the HCC SACSCOC Liaison, who is the Vice-‐Chancellor of Instruction. He has delegated most of the day-‐to-‐day tasks of reporting substantive change to the Accreditation Compliance Director. The most common substantive changes and the details of how they are handled at HCC are listed in Section A of this document. For all other types of substantive changes, especially those involving significant changes in terms of institutional mission, level of program or course offerings, and partnerships with other institutions, the Chancellor will play the initiating role, securing Board and/or State approval (THECB, State Legislature) when required.

Responsible party Area of responsibility HCC Chancellor Secure HCC Board and/or State approval (THECB

and/or State Legislature) when required and notify Vice Chancellor of Instruction to pursue needed internal approval processes and notification processes for SACSCOC in a timely manner.

SACSCOC Liaison (HCC Vice Chancellor for Instruction)

Work with Accreditation Compliance Director to execute the substantive change process in a timely manner

Accreditation Compliance Director Oversee the details of the substantive change process to ensure completion in a timely manner.

1. Initiating coursework or programs at a different level than currently approved. This type of change would require the HCC Chancellor to secure approval first by the HCC Board of Trustees of the intent and second by the Texas Higher Education Coordinating Board (THECB). Additionally, this action is currently not allowed in Texas without specific state legislative action. Following approval of the intent by the various governing bodies (HCC Board of Trustees, THECB, or State Legislature), the details of the curriculum would have to follow the internal approval processes as outlined in the HCC Curriculum Handbook. The Vice Chancellor of Instruction would oversee the approval processes and ensure that sufficient time is allowed to accommodate the twelve months advanced notice and prior approval required by SACSCOC before the implementation. .






Accreditation Compliance Director Oversee the details of the substantive change process to ensure completion in a timely manner

2. Altering significantly the educational mission of the institution. The fundamental educational mission of Texas community colleges is determined by the State Legislature and overseen by the THECB. With each new Strategic Plan, the HCC Board revisits the HCC Mission Statement to ensure its alignment with state law, THECB rules and regulations, and to phrase it in terms that they feel best serve the interests of the community. Any significant change in the educational mission would necessarily require concurrent conversations and approval by all governing bodies (HCC Board, THECB, State Legislature). The Chancellor will communicate the desire of the Board to make any significant changes in the educational mission of the institution to the Vice Chancellor for Instruction for subsequent notification to SACSCOC.






3. Initiating joint or dual degrees with another institution. This type of change would come as a result of a contract or agreement originated by the highest levels of the HCC administration and would potentially require the HCC Chancellor securing approval of the HCC Board of Trustees. Upon Board approval, the HCC Chancellor would direct the Vice-‐Chancellor of Instruction (HCC’s SACS Liaison) and the Accreditation Compliance Director so that the process of notifying SACSCOC and requesting its approval could be completed in a timely manner.







4. Initiating programs or courses offered through contractual agreement or consortium. This type of arrangement is likely to begin at the program level in the instructional departments. A dean and ultimately a college president would be involved in the initial stages. HCC regulations do not allow the college presidents to sign contracts that would obligate HCC to participate in this type of arrangement without the HCC Chancellor’s approval. Once the Chancellor has approved, she will seek Board and/or State approval when required and notify the Vice-‐Chancellor of Instruction to pursue the internal approval processes and to work with the Accreditation Compliance Director for notification to SACSCOC in a timely manner.


and/or State Legislature) as required and notify Vice Chancellor of Instruction to pursue needed internal approval processes and notification processes for SACSCOC in a timely manner.




5. Entering into a contract with an entity not certified to participate in USDOE Title IV programs. This type of agreement would begin at the highest levels of HCC administration and would potentially require HCC Board of Trustees approval. Once the Chancellor has approved, she will seek Board and/or State approval when required and notify the Vice-‐Chancellor of Instruction to pursue the internal approval processes and to work with the Accreditation Compliance Director for notification to SACSCOC in a timely manner.


and/or State Legislature) when required and notify


Vice Chancellor of Instruction to pursue needed internal approval processes and notification processes for SACSCOC in a timely manner.




6. Changing governance, ownership, control or legal status, or acquiring a program from another institution, or adding a permanent location at a site where the institution is conducting a teach-‐out for students from another institution that is closing. Taking over another institution’s governance, building(s) or programs or teaching-‐out another institution’s programs are activities that would be initiated at the highest levels of HCC administration and would require the approval of the HCC Board of Trustees. Once the Chancellor has approved, she will seek Board and/or State approval when required and notify the Vice-‐Chancellor of Instruction to pursue the internal approval processes and to work with the Accreditation Compliance Director for notification to SACSCOC in a timely manner.






7. Initiating a merger or consolidation with another institution. Merging with another institution would be initiated at the highest levels of HCC administration and would require the approval of the Board of Trustees and the Texas Higher Education Coordinating Board. Once the Chancellor has approved, she will seek Board and/or State approval when required and notify the Vice-‐Chancellor of Instruction to pursue the internal approval processes and to work with the Accreditation Compliance Director for notification to SACSCOC in a timely manner.


and/or State Legislature) as required and notify Vice Chancellor of Instruction to pursue needed


internal approval processes and notification processes for SACSCOC in a timely manner.




8. Contracting with another institution to teach-‐out HCC students after closing a program, off-‐campus site, branch campus or the institution. [The scenario of HCC teaching-‐out another institution’s students is covered in 6. above.] If HCC closes a program, a site, or decides to close altogether, and contracts with another institution to teach-‐out HCC’s students, the decision to do so will be made at the highest levels of the HCC administration and would require the approval of the Board of Trustees and the Texas Higher Education Coordinating Board. The Vice-‐Chancellor of Instruction would know of the plans from the beginning. The Vice-‐Chancellor would inform the Accreditation Compliance Director. From that point the procedures for notifying SACSCOC would be followed.






C. Substantive Changes for which all notifications and reports have been made: 1. Initiating Distance Learning. 2. Offering 50% or more of all programs taught at HCC via Distance Learning. 3. Changing from clock hours to credit hours.