Ala. Admin. Code r. 300-2-1-.09

Current through Register Vol. 43, No. 1, October 31, 2024

Section 300-2-1-.09 - Guidelines For The Review And Approval Of The Consolidation Or Merger Of Two-Year Postsecondary Institutions

(1) The purpose of the guidelines for the review and approval of the consolidation or merger of two-year postsecondary institutions is to insure that such actions are educationally and economically beneficial to the state.

(2) It is the responsibility of the Alabama Commission on Higher Education to establish policies and procedures for the review and approval of the consolidation or merger of two-year postsecondary institutions. In establishing these policies, the Commission has acted in agreement with an Alabama State Board of Education resolution, which was passed by the Board on January 25, 1996. (The State Board resolution is filed as an attachment to this rule.)

(3) For the purposes of this rule, the following definitions apply:

(a) Administrative Consolidation: Two or more institutions are placed under a single executive head without program interchange. All involved institutions maintain separate functional identities. This does not constitute a multicampus institution, but rather two or more separate institutions operating under a single executive head. (From Operational Definitions adopted by the Commission on 8/19/94).

(b) Institutional Consolidation: Two or more institutions join to form a distinctly new unit, often with a new name. This results in a single multicampus institution operating under one chief executive officer and under one regional accreditation designation. Often involves program relocation or exchange. (From Operational Definitions adopted by the Commission on 8/19/94.)

(c) Merger: One institution relinquishes its assets and degree-granting authority and is dissolved into another with the second institution remaining as the sole surviving entity. Might involve the closure of a campus or one institution becoming a branch of the other. (From Operational Definitions adopted by the Commission on 8/19/94.)

(4) The following sequential procedures will be used for the review of proposed consolidations or mergers of two-year postsecondary institutions:

(a) The Statement of Intent Phase:

1. The Chancellor of the Alabama Department of Postsecondary Education (ADPE) presents a Statement of Intent to Consolidate or Merge two or more institutions to the Alabama Commission on Higher Education (ACHE) for review, comment, and approval.

2. The Chancellor of ADPE presents the Statement of Intent to Consolidate or Merge to the Alabama State Board of Education for approval.

3. Institutional notification of pending change to the Commission on Colleges of the Southern Association of Colleges and Schools.

(b) Administrative Consolidation Phase:

1. The Chancellor of ADPE presents a formal request to the Commission on Higher Education for its approval of the administrative consolidation of the institutions.

2. The Chancellor of ADPE presents a resolution to the Alabama State Board of Education for approval of the administrative consolidation of the institutions.

(c) Institutional (Programmatic) Consolidation or Merger Phase:

1. Preparation and submission of Prospectus for Substantive Change to the Commission on Colleges of the Southern Association of Colleges and Schools (SACS).

2. Visit by SACS Substantive Change Committee.

3. Approval of change by SACS.

4. Submission of Proposal for Institutional (Programmatic) Consolidation or Merger to ACHE for review and approval.

5. Final approval of the consolidation or merger by the Alabama State Board of Education.

(5) The following specific requirements must be addressed in merger or consolidation proposals.

(a) Proposed program exchanges, duplications, or relocations among the merged of consolidated institutions must be clearly identified in the proposals.

(b) Additional programs, i.e. programs not existing on one or more of the campuses at the time of the merger or consolidation, must undergo the regular Commission review and approval process.

(c) Documentation of specific educational benefits to be derived from the merger or consolidation must be presented with the Statement of Intent to Consolidate or Merge.

(d) The merger or consolidation must be cost beneficial. Specifically, evidence must be presented that a reduction of administrative and other costs will result from the merger or consolidation. Both immediate and long-range savings must be presented.

(6) Only those mergers or consolidations that are educationally and economically beneficial shall be approved.

Author: William O. Blow

Ala. Admin. Code r. 300-2-1-.09

New Rule: Filed April 6, 1998; effective May 11, 1998.

Previous chapter 300-2-1 entitled "Review and Approval of Proposed Postsecondary Course Offerings in Alabama by Non-Alabama Institutions" consisting of Rules 300-2-1-.01"Goal," 300-2-1-.02"Organization," 300-2-1-.03"Definition of Terms," 300-2-1-.04"Procedure for Applying for Approval," 300-2-1-.05"Procedure for Exempt Institutions," 300-2-1-.06"General Standards for Approval," 300-2-1-.07"Criteria for Approval of Courses," 300-2-1-.08"Site Visits and Special Consultants,"300-2-1-.09"Time Schedule for Commission Response,"300-2-1-.10"Application Fees," and 300-2-1-.11"Appeal" filed December 10, 1985. Chapter Repealed and new chapter adopted in lieu thereof.

Rule 300-2-1-.09, Definitions Recognized by the Commission was moved to Rule 300-2-1-.01. Rule 300-2-1-.06, Operational Policy on the Approval, Disapproval, Deferral, and Withdrawal of New Programs of Instruction was moved to Rule 300-2-1-.04. Rule 300-2-1-.01, Definitions Relating to Program Review was moved to Rule 300-2-1-.06. Rule 300-2-1-.07, was repealed and replace with Rule 300-2-1-.08, Operational Policy on Inactive Status and Reinstatement of Programs. These changes took place in the certification dated March 12, 1996; effective April 16, 1996.

ALABAMA COMMISSION ON HIGHER EDUCATION

ATTACHMENTS TO RULE 300-2-1-.05, "REVIEW OF OFF-CAMPUS INSTRUCTION OFFERED BY PUBLIC POSTSECONDARY INSTITUTIONS"

SERVICE AREA TABLES ATTACHMENT 1

STATE BOARD OF EDUCATION APPROVED SERVICE AREAS OF TWO-YEAR COLLEGES

(Boldface Counties Indicate Home Counties)

NOTE: Attachment 1 is included for informational purposes only. Service areas for Alabama public two-year colleges are determined by the Alabama Board of Education and are not subject to Commission approval. The Commission staff will alter this table as changes are received from the Alabama Department of Postsecondary Education.

See Table at http://www.alabamaadministrativecode.state.al.us/docs/hged/MWrd2HGED1.pdf

Author: William O. Blow

Statutory Authority:Code of Ala. 1975, §§ 16-5-1, etseq.

History: New Attachments: Filed May 7, 2007; effective June 11, 2007.

Attachment To Rule 300-2-1-.09

Guidelines For The Review And Approval Of The Consolidation Or Merger Of Two-Tear Postsecondary Institutions

Alabama State Board Of Education Resolution

Passed January 25, 1996

CONSOLIDATION OR MERGER OF POSTSECONDARY INSTITUTIONS

WHEREAS, a recommendation that all colleges in The Alabama College System be given the opportunity to become community colleges was passed by The Alabama College System President's Association and accepted by the Chancellor of the Alabama College System; and

WHEREAS, on May 26, 1989, the Chancellor instructed all technical colleges then accredited by the Commission on Educational Institutions of the Southern Association of Colleges and Schools to become accredited by the Commission on College of the Southern Association of Colleges and Schools; and

WHEREAS, the Chancellor is responsible for the development of guidelines and criteria to be met by institutions of the Alabama College System in changing status; and

WHEREAS, the Chancellor, upon the occasion of an institution's having met the guidelines and criteria specified for changing status may recommend approval of such change in status to the Alabama State Board of Education; and

WHEREAS, the Alabama State Board of Education wishes to reaffirm its commitment to peer accreditation processes and its support, without reservation, of the need for and importance of such reviews; and

WHEREAS, the Alabama State Board of Education expresses its desire that colleges under its supervision communicate with the Commission on Colleges of the Southern Association of Colleges and Schools and the Alabama Commission on Higher Education in a timely and appropriate manner; and

WHEREAS, it is the expectation of the Chancellor that institutes involved in consolidation or merger shall undertake deliberate planning processes in accordance with the requirements of The Criteria for Accreditation of the Commission on Colleges of the Southern Association of Colleges and Schools and requirement of the Alabama Commission on Higher Education;

NOW, THEREFORE, BE IT RESOLVED, That the Chancellor may cause two or more institutions within the Alabama College System to consolidate or merge for the purpose of forming a comprehensive community college by presenting for approval, first to the Alabama Commission on Higher Education for review, comments and/or action, and then to the Alabama State Board of Education a Statement of Intent to Consolidate or Merge which shall incorporate and conform to the following stipulations and provisions:

1. A description of the institutions to be consolidated or merged and the designation of a name for the newly created comprehensive community college;

2. A statement of personnel assurances addressing the individual identities, missions, and histories of the affected institutions; the status, right, privileges, and benefits of employees of both the consolidated or merged institutions and the new community college; the status, rights, and privileges of students of both the consolidated or merged institutions and the new community college; employment practices and related and relevant matters of law; and such other information as the Chancellor shall deem appropriate;

3. Assurance that personnel at the institutions to be consolidated or merged have been involved in the preparation of the Statement of Intent to Consolidate or Merge, and that close consultation between personnel at the institutions to be consolidated or merged and staff members will continue during the consolidation or merger process;

4. A description of the benefits to be derived from the consolidation or merger in terms of enhancement of programs and services available to residents of the new college service area;

5. A description of the benefits to be derived from the consolidation or merger in terms of efficiency of management, leadership, and coordination of instructional and student support activities;

6. A plan to secure and/or maintain appropriate accreditation for the newly formed community college, including the Prospectus for Substantive Change as required by the Commission on Colleges of the Southern Association of Colleges and Schools;

7. The results of an audit of the effectiveness of educational programs at each of the affected institutions, and especially a description of the impact of the consolidation or merger upon existing and/or potential occupational/technical programs to be used to provide entry-level job training skills to residents of the new college service area;

8. A description of library/learning resources to support the programs at the newly consolidated or merged institution;

9. A description of the impact of the consolidation or merger upon the ability of the new community college to provide training for business and industry within the college service area;

10. A description of the impact of the consolidation or merger upon the ability of the new community college to provide community service and continuing education opportunities to the residents of the service area;

11. A student population projection and student demographic analysis for the new community college;

12. A disposition of existing facilities, equipment, and supplies for the consolidated or merged institution as it affects the new community college;

13. A description of the fiscal support available for the new community college, including a copy of the most recent financial audits of the affected institutions and a financial impact statement regarding their consolidation or merger;

14. A plan setting forth the steps to be taken and time lines to achieve the administrative and programmatic consolidation or merger of the institutions involved into a single comprehensive community college, developed with input from and consultation between personnel at the institutions to be consolidated or merged;

A. The consolidation or merger of institutions shall proceed in two phases, commencing with an administrative consolidation or merger, for which a detailed plan shall be developed which shall contain a description of the administrative organization for the new institution, and a specific time line noting the initiation and completion dates of the administrative phase of the consolidation or merger;

B. A detailed plan for the final phase of the consolidation or merger, the programmatic phase, shall be developed and shall contain a description of the educational program at the new institution, including an inventory of programs, as well as other specific information related to programmatic realignments, and a specific time line noting the initiation and completion dates of the programmatic phase of the consolidation or merger;

15. Provisions for planned professional development to enhance and support the growth of the new comprehensive community college;

16. A description of the geographic area to be served by the new community college;

17. A specific time line defining the entire consolidation or merger process;

18. The Commission on Colleges of the Southern Association of Colleges and Schools and the Alabama Commission on Higher Education shall be notified at the beginning of the planning process for consolidations or merges and at least six months in advance of the designated date for final approval, in accordance with its provisions for substantive change; and

19. The Alabama State Board of Education directs the president(s) and the Chancellor, when necessary, to visit the Southern Association of Colleges and Schools personally to assure understanding and communication concerning pending consolidations or merges.

BE IT FURTHER RESOLVED, That the consolidation or merger of institutions shall be recommended only after public meetings concerning the proposed consolidation or merger are held in each community where an affected institution is located; that the Chancellor shall approve all elements of the transition plan for carrying out the consolidation or merger of institutions and monitor all actions taken and evaluate their effectiveness; that consolidated or merged institutions shall not be recognized as one institution until the administrative and programmatic phases are completed, the Commission on Colleges of the Southern Association of Colleges and Schools and the Alabama Commission on Higher Education have recognized and approved the consolidation or merger; and the Alabama State Board of Education has rendered final approval; and that the Chancellor shall report annually for the first three years to the Alabama State Board of Education concerning the programs of the consolidation or merger including elements of fiscal, program, and administrative accountability.

BE IT FURTHER RESOLVED, That the colleges are instructed to submit copies of all correspondence with and materials provided to and received from the Commission on Colleges of the Southern Association of Colleges and Schools to the Alabama Department of Postsecondary Education for conveyance to the Alabama State Board of Education.

CHANCELLOR'S GUIDELINES AND TIMETABLE FOR MERGER OR CONSOLIDATION

1. Approval of Statement of Intent to Consolidate or Merge by the Alabama Commission on Higher Education;

2. Approval of Statement of Intent to Consolidate or Merge and of personnel assurances by the Alabama State Board of Education (initial action);

3. Institutional notification of pending change to the Commission on Colleges of the Southern Association of Colleges and Schools (immediately after initial action);

4. Preparation and submission of Prospectus for Substantive Change (as required by the Commission on Colleges of the Southern Association of Colleges and Schools);

5. Visit by Substantive Change Committee (varies);

6. Approval of change by the Commission on Colleges of the Southern Association of Colleges and Schools (varies);

7. Approval of formal request for administrative consolidation by the Alabama Commission on Higher Education;

8. Final approval of change by the Alabama State Board of Education subject to acceptance of the prospectus by the Commission on Colleges of the Southern Association of Colleges and Schools (six months after initial action);