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22.
Termination for Reasons of Financial Exigency
The University reserves the right to terminate an
appointment with continuous tenure when the Board
of Trustees determines that there is financial exigency.
a. Procedures for Determination of Financial
Exigency
Since it directly affects the educational policy
of the institution and the status of members of
the faculty, the decision that a state of financial
exigency exists is of such consequence, since it
directly affects the educational policy of the institution
and the status of members of the faculty, that the
broadest possible consideration of the matter within
the University community is essential. Thus, the
determination of bona fide financial exigency should
be analyzed and discussed by the administration,
faculty, and students of the University.
After consultation by the provost and president
with the Board of Trustees, a determination is made
that a condition of financial exigency may exist,
or is imminent, the provost shall submit to the
Faculty Senate and the Committee on Instructional
Budget and Benefits of the Faculty Senate the financial
and programmatic information on which the determination
was based. The Faculty Senate and the Committee
on Instructional Budget and Benefits shall consider
whether the condition of financial exigency is supported
by the material submitted by the provost and shall
report to the provost, not later than forty-five
calendar days from the date of the determination,
their findings and recommendations. In making a
final recommendation to the president and Board
of Trustees, the provost shall take into consideration
the findings and recommendations of the Faculty
Senate and the Committee on Instructional Budget
and Benefits, and if the provost recommendation
is at variance with the recommendation of the Faculty
Senate and the Committee on Instructional Budget
and Benefits of the Senate the reasons therefor.
Once a final determination has been made by the
Board of Trustees that a condition of financial
exigency exists, the provost, within forty-five
calendar days, shall seek and obtain the advice
of the appropriate deans and the Faculty Senate
and the Committee on Instructional Budget and Benefits
to determine what course of action the University
should pursue in response to the state of financial
exigency. Consideration shall be given to what services,
programs, or units will be affected, the need for
faculty reduction or redistribution, and the future
development of institutional policy. In particular,
consideration will be given to what other measures
short of terminating tenured faculty can be taken.
Should termination of tenured faculty be required,
the provost shall so notify the Committee on Faculty
Relations, which shall have the responsibility for
reviewing the identification of individual faculty
members whose appointments are to be terminated
in accordance with the provisions of Section 13
of this Manual, and which shall make its recommendation
to the provost within thirty days. With respect
to matters affecting faculty reduction or redistribution,
consideration shall be given to academic criteria,
affirmative action compliance requirements, and
the length of service of the faculty member so affected.
The University, with faculty participation, will
make every effort to place a faculty member who
has been recommended for termination in another
suitable position within the University. In the
event of termination of a tenured member of the
faculty, the University will not, at the same time,
make a new appointment in such faculty member's
department or unit except under extraordinary circumstances
where a serious distortion in the academic program
would otherwise result. The appointment of a faculty
member with tenure will not be terminated in favor
of retaining a faculty member without tenure except
under extraordinary circumstances where a serious
distortion of the academic program would otherwise
result.
Final determination of these matters shall rest
with the Board of Trustees.
b. Financial Exigency Termination Review Procedures
In the event that it becomes necessary for the University
to terminate a tenured member of the faculty, the
affected tenured faculty member shall have the right
to a formal hearing, provided he/she submits a request
in writing to the provost within thirty days of
receipt of notice of proposed termination. Within
ten days of receipt of such request, the provost
shall submit to the University Faculty Hearing Committee
as provided in Section 21 of this Manual a notice
of proposed termination with supportive documentation
for formal hearing.
A matter forwarded to the Faculty Hearing Committee
for the formal hearing shall be heard within thirty
days by a panel consisting of five members of the
hearing committee selected at random by lot. The
panel shall select one of its members to serve as
chair. Members deeming themselves disqualified for
bias or interest shall remove themselves from consideration
of the matter, either at the request of the faculty
member in question or on their own initiative. The
Faculty Hearing Committee shall replace any member
so disqualified in the same manner as the original
selection process.
The panel chair shall notify the provost and the
faculty member of the time and place at which the
hearing is to be held. Service of notice of the
hearing shall be made at least ten days prior to
the date of the hearing. The faculty member may
waive the hearing or submit a statement in writing
at any time before the hearing.
The issues in his/her hearing may include:
13. The existence and extent of the condition of
financial exigency. The burden will rest on the
administration to prove the existence and extent
of the condition. The findings of a faculty committee
in a previous proceeding involving the same issue
may be introduced.
14. The validity or the educational judgment and
the criteria for identification for termination,
but the recommendation of a faculty body on these
matters will be considered presumptively valid.
15. Whether the criteria are being properly applied
in the individual case.
The panel may invite persons to give testimony relevant
to the matter, and either the provost or the faculty
member may request that the panel invite such persons.
University personnel will make every effort to cooperate
with the panel in securing witnesses and making
available documentary and other evidence.
A tape recording will be made of the hearing and
will be available, together with any documents introduced
at the hearing, for copying at the requesting party's
cost. The faculty member shall have an opportunity
at the conclusion of the hearing to file a written
closing statement based on the record.
After an opportunity has been given to the faculty
member to review the record of the hearing and to
submit a closing statement, the committee, no more
than ten days following the conclusion of the hearing,
will prepare findings and recommendation which shall
be reported to the provost with a copy furnished
to the faculty member. The provost, within ten days
of receipt and review of the report, shall issue
a statement to the committee and the faculty member
indicating the action which will be taken, and if
such action is at variance with the recommendation
of the committee, the reasons therefore.
c. Appeal
A faculty member with tenure whose appointment is
terminated for reasons of financial exigency may,
within ten days of issuance of the statement of
the provost, appeal that action to a panel of the
Executive Committee of the Board of Trustees, to
be appointed by the chair of the board, such panel
to consist of from three to five members. The panel's
review will be based on the record considered as
a whole, and it will provide opportunity for oral
and written argument by the parties or their representatives.
The decision of the faculty hearing panel will either
be sustained or the proceeding remanded to the hearing
panel with specific instructions. Within twenty
days of such remand, the faculty hearing panel will
then reconsider, taking into account the stated
objection and receiving new evidence if necessary.
The Executive Committee panel will make a final
decision only after study of the hearing panel's
reconsideration.
d. Terminal Salary or Notice
If the appointment is terminated, the faculty member
with tenure will receive salary or notice of at
least one year.
e. Reinstatement Rights
In all cases of termination of an appointment with
tenure because of financial exigency, the position
of the faculty member concerned will not be filled
by a replacement within a period of three years,
unless the released faculty member has been offered
reinstatement and a reasonable time in which to
accept or decline it.
23. Professional Standards
a. Employment of Relatives
The policy of the University is that all personnel
decisions should be made on their merits, uninfluenced
by personal relationships. As a general principle,
individuals who are relatives or who have a personal
living relationship should not participate in the
decision of any matter which may affect directly
the appointment, tenure, promotion, salary, or other
employment status or interest of a close relative
or of someone with whom the faculty member has a
personal living relationship.
b. Outside Professional Activities
Occasionally, questions arise about the extent of
a faculty member's involvement in or the appropriateness
of certain activities. Conflict of interest should
be avoided in all instances of outside professional
activities. A conflict of interest means outside
activity which intrudes upon the academic functions
of teaching, scholarly activities, and service to
the institution. This section, although not inclusive,
is meant to serve as a guideline for determining
when such activities conflict with a full-time faculty
member's responsibilities at the University.
Teaching at another college or university at any
time requires advance written approval of the college
dean and the provost.
Increasingly, the private and public sectors are
relying on faculties of universities for advice
and guidance. This recognition of the contribution
that institutions of higher education can make to
the non-academic world has provided many faculty
members with the opportunity to use their knowledge
and talents constructively and profitably and to
strengthen their competence through a greater variety
of professional experience.
Paid outside consulting may be performed outside
a Law Library faculty member's work week. Special
arrangements may, however, be made if an unusual
consulting opportunity becomes available to a Law
Library faculty member, provided that normal law
library operations can be maintained.
This privilege is not extended to research faculty
members who are paid wholly from research grants
or contracts.
Payments for such consulting are negotiated by the
faculty member directly and do not involve the University.
The University assumes no responsibility or liability
for private professional services rendered by members
of its faculty, and it must be made clear to any
client that the work has no official connection
with the University.
The responsibility for adhering to the limit on
outside consulting lies first with the individual
faculty member.
Faculty members are expected to resolve all questions
and/or ambiguities with their department chair or
dean before the fact, so that the University community
is not injured by their actions. Faculty members
have an obligation to report fully the level of
their consulting activities when asked to do so
by the University so that it may be determined whether
the principles set forth herein are being adhered
to. The University will protect its interest from
losses due to excessive consulting and will require
the faculty member to stop any consulting activity
if it is inconsistent with this policy.
Faculty members must ensure that outside activities
do not conflict with responsibilities assigned them
within the University and do not lead to fundamental
conflicts of interest. Such conflicts include situations
where a research or service activity that could
and ordinarily would be carried on with the University
is conducted elsewhere to the disadvantage of the
University and its legitimate interests; situations
where consulting or other services are provided
to an organization that would put the University
at a competitive disadvantage; involvement in a
relationship that might enable (or appear to enable)
the faculty member to influence the University's
dealings with an outside organization in ways leading
to personal gain or to other conflicts of interest.
In cases where questions arise regarding potential
or apparent conflict between consulting activities
and the faculty member's University duties, the
faculty member shall disclose, upon the specific
request from the appropriate dean, the provost,
or the president, the names of clients for whom
the faculty member consults, the general nature
of each consulting agreement (as opposed to detailed
technical aspects), and the number of days committed
per consulting agreement.
In order to avoid conflicts between the obligations
of a faculty member to the University and the terms
of consulting or other agreements with a third party,
the following (or similar) clause should be included
in such agreements:
The parties to this agreement acknowledge that the
primary duty of the Consultant, who is an American
University faculty member, is to American University;
the Consultant is subject to American University's
policy on outside consulting activities of its faculty;
and, the Consultant may have obligations to American
University by reason of agreements between American
University and external organizations for research
or other activities performed in part by the Consultant
in fulfilling his/her duties to the University.
The parties agree that such American University
policy and obligations of the Consultant to the
University shall prevail in the event of conflict
with this agreement.
Several kinds of faculty activity, other than regular
University duties, are not considered as outside
consulting. These are:
1. Publication
Scholarly communications in the form of books, movies,
television productions, art works, and other genres,
though frequently earning financial profit for a
faculty member and for another party (e.g., a publisher),
are not considered outside consulting.
2. Professional Service
Professional service includes participation on national
commissions and professional associations, governmental
agencies and boards, granting agency peer group
review panels, visiting committees or advisory groups
to other universities, and analogous bodies. The
fundamental distinction between these activities
and consulting is that they are public or University
service. Although an honorarium or equivalent sometimes
is forthcoming, these professional service activities
are not undertaken for personal financial gain.
Therefore, such service does not fall within the
definition of outside consulting.
c. Use of University Facilities
The use of University facilities for outside remunerative
employment is prohibited, unless authorized by the
school or college dean and the provost. University
facilities include, but are not limited to, the
physical facilities, electronic mail, photocopying,
telephone use, and letterhead. This prohibition
also extends to the use of the University's address
as the faculty member's business address.
d. Sexual Harassment Policy
American University community values the individual's
right to live, work, and study without fear of intimidation,
coercion, or exploitation. Sexual harassment creates
an environment which is intolerable and incompatible
with the mission and goals of the university. Sexual
harassment is a form of discrimination and is illegal.
Sexual harassment is defined as unwelcome sexual
advances, requests for sexual favors, and other
verbal or physical conduct of a sexual nature. Such
harassment is personal. What may be perceived as
sexual harassment by one person may not be so perceived
by another. Sexual harassment can range from sexual
humor and innuendo to physical threats and sexual
assaults. It includes: direct or subtle pressure
for sexual activity; physical aggression, such as
pinching or patting; sexist jokes or remarks; obscene
gestures or comments; unwelcome brushes or touches;
inappropriate sexual innuendo; sexual assault.
This definition of sexual harassment is not meant
to restrict academic freedom as described in Section
5 of this Manual and it applies to language, activities,
and actions inappropriate to the content of a course
or other academic activity.
The Sexual Harassment Advisory Committee (SHAC)
was established to assist in preventing and addressing
problems of sexual harassment campus-wide; to provide
information and education on sexual harassment and
related University policies to members of the campus
community; to serve as primary contacts for members
of the community who believe they have experienced
sexual harassment and wish to report it or wish
further information; to refer reports of sexual
harassment to the proper channels for investigation;
and to develop and review materials regarding sexual
harassment as required.
The University provides three options for reporting/assistance,
any of which may be accessed. (1) information and
referral, in which a person may meet confidentially
with any member of the SHAC. (2) informal complaint,
in which a person may want some form of action other
than a formal grievance. Such a complaint is made
to a member of the SHAC, which is forwarded to the
dean of academic affairs, the Sexual Harassment
Officer for the Faculty. (3) formal complaint, in
which a formal charge of sexual harassment is initiated.
All SHAC members must forward all complaints (informal
or formal) to the dean of academic affairs. An aggrieved
individual may also file a complaint directly with
the dean of academic affairs.
i. Informal Complaint of Sexual Harassment
made against a faculty member or an individual carrying
out teaching responsibilities
In such cases, usually, the dean of academic affairs
will meet individually with the complainant and
respondent and any other parties that the dean deems
appropriate in an attempt to come to an informal
resolution.
ii. Formal Complaint of Sexual Harassment made against
a faculty member or an individual carrying out teaching
responsibilities.
First, the dean of academic affairs or his/her designee
will conduct an inquiry to determine whether the
charge appears to have merit. The dean will discuss
the matter with the complainant and respondent and
any other parties that the dean deems appropriate.
This stage will be completed within three weeks
of the receipt of the complaint by the dean of academic
affairs, except when the university is not in Fall
and Spring session.
Second, if the dean of academic affairs or his/her
designee concludes that there are sufficient grounds
for the complaint, the dean will initiate a hearing
in accordance with the Disciplinary Procedures of
section 21e.
If the dean of academic affairs or his/her designee
concludes that the complaint is not supported by
sufficient evidence, the dean of academic affairs
will send his/her findings and recommendations in
a report to the provost who may affirm, modify,
or refer the case in accordance with the Disciplinary
Procedures in section 21.
In either case, the provost's decision is final.
e. Violations of Scholarly and Research Integrity
Scholarly/research misconduct is defined as fabrication,
falsification, plagiarism or other practices that
seriously deviate from those which are commonly
accepted within the scholarly community for proposing,
conducting or reporting research or scholarly work.
It does not include honest error or honest differences
in the interpretations or judgments of data.
The University follows the generally recommended
procedures developed by the Office of Research Integrity
of the U.S. Department of Health and Human Services
for investigating charges of violation of scholarly
or research integrity. As applied to the governance
structure of the university, the following procedures
will apply if a possible violation is brought to
the attention of the university:
First, the dean of academic affairs or his/her designee
will conduct an inquiry to determine whether the
charge appears to have merit. The dean will discuss
the matter with the complainant and respondent and
any other parties that the dean deems appropriate.
This stage will be completed within three weeks
of the receipt of the complaint by the dean of academic
affairs, except when the university is not in Fall
and Spring sessions.
Second, if the dean of academic affairs concludes
that there are sufficient grounds for the complaint,
the dean will initiate a hearing before the Faculty
Hearing Panel as outlined in the Disciplinary Proceedings
in section 21 e.
If the dean of academic affairs or his/her designee
concludes that the complaint is not supported by
sufficient evidence, s/he will send his/her findings
and recommendations in a report to the provost who
may affirm, modify, or refer the case in accordance
with the Disciplinary Procedures in section 21.
In either case, the provost's decision is final.
24. Miscellaneous Provisions
a. Graduate Study by Faculty
Washington College of Law Library faculty are not
prohibited from taking courses in or seeking a degree
from the Washington College of Law.
b. Summer Session Teaching Opportunities
The colleges, schools, and departments of the University
give preference to full-time members of their faculties
who have requested a summer teaching assignment
when selecting the instructional staff for the summer
sessions.
Whether an individual faculty member can be assigned
to courses in any specific summer is determined
by the department chairperson and/or dean concerned,
and by the appropriate university officer designated
by the provost. The decision must be made on the
basis of the program planned, the probable student
clientele, and the available faculty. The offering
of summer courses is dependent on satisfactory enrollments,
and it is sometimes necessary to cancel such courses
or to change teaching assignments because of insufficient
enrollments.
Any faculty member teaching in the summer sessions
must be regularly available for consultations with
students, for the full period during which his/her
courses are scheduled.
c. Death while on Active Service
When a full-time member of the faculty with ten
years or more of continuous full-time service to
the University dies while on the active rolls of
the University, the University will pay a lump sum
equal to twenty percent of the calculated base annual
salary rate to the representatives of the decedent's
estate.
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