< BACK TO RICE POLICIES

Policy Number: 106

Policy Suffix:

Substantive Change

I. General Policy

Rice University is accredited by the Southern Association of Colleges and Schools and Commission on Colleges (SACSCOC). This policy outlines the procedures Rice University must follow to comply with the SACSCOC Substantive Change Policy, Standard 14.2, in adherence with U.S. Department of Education regulations.

Substantive change refers to any “significant modification or expansion in the nature and scope of the institution” (SACSCOC Standard 14.2). As an accredited university, Rice is “responsible for following the substantive change policy (and related policies) by informing SACSCOC of changes in accord with the stated procedures and, when required, seeking approval prior to initiating the change. A failure to properly report substantive changes means that SACSCOC has based its accreditation of an institution on an incorrect impression of the institution’s programs, character, or structure; furthermore, SACSCOC would have, in turn, unintentionally misrepresented the institution’s character and structure to other constituencies including the US Department of Education” (SACSCOC Standard 14.2).

SACSCOC is required by federal regulations to monitor compliance with the substantive change policy and to approve any major change. Adherence to this policy will help Rice avoid sanctions and penalties. Failure to comply with “SACSCOC’s substantive change procedures could result in Rice’s loss of Title IV funding, and require Rice to reimburse the U.S. Department of Education money received for programs related to the unreported substantive change” (SACSCOC Standard 14.2).

There are also potential accreditation consequences, which may include extensive, university-wide reporting requirements, monitoring by SACSCOC, publication of Rice’s name on a monitored institution list, and removal from membership with SACSCOC.

SACSCOC accredits an entire institution. Accreditation extends to all programs and services of an institution, wherever located and however delivered. SACSCOC does not accredit individual programs, locations, or portions of an institution. However, some new programs, locations, and other institutional changes are subject to notification and/or approval as defined in the SACSCOC Substantive Change Policy and Procedures. Such approvals or notification are required prior to enrolling students impacted by the change.

II. Roles and Responsibilities

  • President: appoints the SACSCOC Accreditation Liaison; determines in consultation with the liaison and others the items that require notification or approval and sends written notification to SACSCOC of any proposed significant change.
  • Provost: reviews proposed changes in coursework, programs or degrees for discussion and approval with the Faculty Senate.
  • SACSCOC Accreditation Liaison: prepares letters, in consultation with the President and other university officials, to notify SACSCOC of any pending substantive change; advises university officials on changes that would be considered substantive change and coordinates any necessary follow up and documentation required to be submitted to SACSCOC.
  • Deans and Department Chairs: consult with SACSCOC Accreditation Liaison regarding proposed changes; inform the liaison at the earliest point possible of any proposal that may be considered substantive change and provide any data, information, or prospectus necessary to comply with SACSCOC requirements.
  • Faculty Senate: approve changes in coursework, programs or degrees.
  • Administrative and Academic Units: faculty and staff of administrative and/or academic units that wish to enter into agreements of any kind with domestic or international entities external to Rice, or wishing to propose programmatic or operational changes are required to notify the Office of Institutional Effectiveness and the SACSCOC Liaison at the earliest point possible to ensure timely notification to/obtain approval from SACSCOC
  • Office of Institutional Effectiveness: support the SACSCOC Liaison in the review of proposed changes and in completing any required notifications to SACSCOC or obtaining SACSCOC approval prior to implementation.

III. Definitions

The following definitions are drawn from the SACSCOC Substantive Change Policy and Procedures (June 2024):

  • Approval: An official action by the SACSCOC Board of Trustees enabling an institution to implement a proposed substantive change. All changes requiring approval are defined in Substantive Change Policy and Procedures. An institution secures approval by submitting a substantive change prospectus or application subject to satisfactory review by the Board of Trustees.
  • Branch campus: An off-campus instruction site / additional location • that is geographically apart from an institution’s main campus, • where instruction is delivered, and • is independent of the main campus of an institution. An off-campus instructional site is independent of the main campus if it 1. is permanent; 2. offers courses in educational programs leading to a degree, diploma, certificate, or other for-credit credential; 3. has its own faculty and administrative or supervisory organization; and 4. has its own budgetary and hiring authority.
  • Closure: The ending of instruction in an educational program, at an off-campus instructional site, in an educational program at an off-campus instructional site or main campus, by a method of delivery, or at an entire institution, such that a student cannot complete their program of study as planned. Closures require teach-out plans (below).
  • Cooperative academic arrangement: An agreement between a SACSCOC-accredited institution and another entity (or entities) to deliver program content recorded on the SACSCOC institution’s transcript as its own (see also Standard 10.9 (Cooperative academic arrangements) of the Principles of Accreditation). Examples include geographic or denominational consortia, statewide distance education agreements, collaborative agreements with international institutions, instruction.
  • Distance education: A method of delivery in which 50% or more of instruction occurs when students and instructors are not in the same location. It includes synchronous (live or in real time) and asynchronous (not live or in real-time) instruction.
  • Dual academic award: A student receives instruction at two (or more) institutions in prescribed curricula leading to each institution granting academic awards at the same credential level.
  • Face-to-face instruction: A method of delivery in which 50% or more of instruction occurs when students and instructors are in the same location.
  • Geographically apart (or geographically separate): Non-contiguous locations independent of distance.
  • Joint academic award: A student receives instruction at two (or more) institutions in prescribed curricula leading to the institutions granting a single academic award bearing the names, seals, and officials’ signatures of each participating institution.
  • Method of delivery: The principal method by which instruction is delivered to include: competency-based education (all forms), distance education, and face-to-face instruction.
  • Notification: An official communication from an institution to SACSCOC as defined in Substantive Change Policy and Procedures. A notification is complete only when accepted by SACSCOC upon satisfactory review by staff.
  • Off-campus instructional site / additional location: A location geographically apart from an institution’s sole main campus and where instruction is delivered. An off-campus instructional site may qualify as a branch campus.
  • Program: a coherent course of study leading to a for-credit credential including a degree, diploma, certificate, or other generally recognized credential. Exception: General education, for substantive change purposes, is usually considered a program even if a credential is not awarded. See also Standard 8.2.b (Student outcomes: general education) Standard 9.3 (General education requirements) of the Principles of Accreditation.
  • Substantive Change: A significant modification or expansion of the nature and scope of an accredited institution. Substantive change includes high-impact, high-risk changes and changes that can impact the quality of educational programs and services. SACSCOC has identified several types of substantive changes, including Institutional Changes, Program Changes, Off-campus Instructional Site/Additional location Changes, and Other Changes.
  • Teach-out plan: A written plan developed by an institution for students to complete their programs of study because it decided to end a program, off-campus instructional site, method of delivery, or to close the institution. A teach-out plan provides an orderly process, the equitable treatment of students, minimal disruption and additional costs to students, and covers all enrolled students regardless of their progress to completion.

IV. Elaboration of Policy

The President shall appoint a SACSCOC Accreditation Liaison who will lead review of proposed changes to determine if they qualify as substantive change per SACSCOC guidelines. Although a definition of substantive change is provided below, Rice’s Accreditation Liaison Officer (ALO) will determine if a proposed change will qualify as substantive change from the perspective of SACSCOC. The most commonly encountered substantive changes include (but are not limited to):

  • The addition or removal of courses or programs that represent a significant departure, either in content or method of delivery (this includes expanding a program at the current degree level).
  • Proposed dual or joint academic awards.
  • A substantial change in the number of clock or credit hours awarded for successful completion of a program or significantly altering the length of a program.
  • Proposal to enter into a contract with an entity (inside or outside the U.S.) not certified to participate in U.S. Department of Education Title IV programs if the entity provides a percentage of a Rice University educational program.
  • Proposal to enter into a collaborative academic arrangement that includes the initiation of a dual or joint academic program with another institution.
  • Proposal to add distance education or correspondence courses or programs.
  • Proposal to add an additional method of delivery to a currently offered program.
  • Proposal to add programs with completion pathways that recognize and accommodate a student’s prior or existing knowledge or competency.
  • Proposal to add a new off-campus instructional site/additional location including a branch campus.
  • Closing or re-opening a program, off-campus site, branch campus, or Rice University.

For a complete current list of Substantive Changes and requirements, readers are encouraged to consult the SACSCOC Substantive Change Policy and Procedure.

Procedure: The President or the SACSCOC Accreditation Liaison will follow appropriate current published guidance of SACSCOC depending on the nature of substantive change, notify the Commission (if required) of any proposed substantive change, and facilitate obtaining any required approval from SACSCOC to proceed (if required). Academic and administrative units considering any changes involving academic programs or agreements with external parties should contact the Office of Institutional Effectiveness as soon as a possible substantive change is identified to obtain further information and guidance regarding the identification, management, lead time required, and requirements for reporting the substantive change. The Office of Institutional Effectiveness will determine and implement appropriate required actions to comply with SACSCOC requirements after a proposed change has been reviewed and approved by appropriate entities at Rice.

V. Cross References to Related Policies

VI. Responsible Official and Key Offices to Contact Regarding the Policy and its Implementation

Responsible Official: Provost and Executive Vice President
Other Key Offices: Office of Institutional Effectiveness (SACSCOC Accreditation Liaison)

VII. Links to Additional Information

Signatures

Reginald DesRoches, President

Policy History

Revised

November 8, 2024

Issued

July 6, 2015