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American University’s policies governing the relationship entered into by each full-time member of the University Faculty and the University at the time of initial appointment describe the mutual obligations and expectations which are the basis for a continuing association.

These policies have been formulated with the assistance of the Committee on Faculty Relations and approved by the Faculty Senate. They reflect the concerted efforts of the Committee, the Faculty Senate, the provost, the president, and the Board of Trustees to affirm principles of University faculty relationships which are in accord with those generally in effect in the academic world, which adopt the 1940 Statement of Principles on Academic Freedom and Tenure of the American Association of University Professors, and which take into account its subsequent related recommendations. The University does not discriminate on the basis of race, color, religion, national origin, sex, gender, age, disability, marital status, personal appearance, sexual orientation, family responsibilities, political affiliation, source of income or Vietnam-era veteran status, or any other legally protected status under the D.C. Human Rights Act. It conforms to all applicable federal and state non-discrimination laws.

The University gives emphasis in its recruitment and promotion to a diverse faculty. This emphasis applies both to faculty and administrative appointments and is not inconsistent with a consideration of quality and professional preparation governing such appointments. American University is an equal employment opportunity and affirmative action university and employer as required by local and federal laws.

The principles set forth in this Manual attest to the firm intention of the University to provide as favorable working conditions for its faculty as its resources permit, and an atmosphere in which each faculty member may pursue his/her scholarly activities and interests freely and without restraint. In return, the University expects that faculty members shall devote themselves creatively and with energy to the primary duties of teachers and scholars. Each faculty member should endeavor to challenge students intellectually and stimulate them to acquire knowledge, understanding, and vision.

This Manual applies to all faculty at American University with the exceptions noted below or unless specifically described otherwise in the individual rule, regulation, or policy. This Manual is not a static document but rather an evolving one. Therefore, following established procedures, the University may amend this Manual from time to time to reflect changes in local or federal laws or in the academic or business needs of the University. The Manual also incorporates by this reference the policies contained in the Faculty/Staff Benefits Manual as it applies to faculty.

This Manual applies to the Washington College of Law faculty only when not inconsistent with the Washington College of Law Manual (Section II, Part VI of the Manual of Information and Procedures). The Washington College of Law Manual conforms to the Faculty Manual of the University except in instances where long-standing practice or principles enunciated by the Association of American Law Schools and the American Bar Association have resulted in different policies or procedures. In particular, faculty appointments in the Washington College of Law are not subject to review by the University Committee on Faculty Relations (except appointments as University Professors), although the faculty grievance procedures of the University Committee on Faculty Grievances do apply and are available to faculty of the Washington College of Law.

This Manual also applies to University Library faculty only when not inconsistent with the approved Library Faculty Manual (Section II, Part V of The Manual of Information & Procedures). The University Library Faculty Manual conforms to the Faculty Manual of the University except in instances when long-standing practices, or criteria or principles specific to University Library faculty members have resulted in different policies or procedures. The terms “dean” and “department” (or “teaching unit”) and “chair,” used in this Manual, refer to the University Librarian and Library department head(s) respectively, in connection with policies and procedures related to University Library faculty members. The term “teaching unit” refers to the University Library in contexts pertaining to University Library faculty members.

This Manual also applies to the Law Library faculty of the Washington College of Law only when not inconsistent with its approved Law Library Manual (Section II, Part V of The Manual of Information & Procedures). The Law Library Faculty Manual conforms to the Faculty Manual of the University except in instances when long-standing practices, or criteria or principles specific to Law Library faculty members have resulted in different policies or procedures.

After more than two decades devoted principally to securing financial support, the University was officially dedicated on May 15, 1914. The first instruction began on October 6 of that year, when twenty-eight students were enrolled (nineteen of them graduate students, nine of them special students who were not candidates for a degree). The First Annual Commencement, at which no degrees were awarded, was held on June 2, 1915. The Second Annual Commencement was held on June 2, 1916, and the first degrees (one master's degree and two doctor's degrees) were awarded.

During the next ten years, instruction was offered at the graduate level only, in accordance with the original plan of the founders. In the Fall of 1925, the College of Liberal Arts (subsequently named the College of Arts and Sciences) was established. Since that date, both undergraduate and graduate degrees and programs have been offered by the University.

The present structure of the University began to emerge in 1949. The Washington College of Law became part of the University in that year, having begun in 1896 as the first coeducational institution for the professional study of law in the District of Columbia. Shortly thereafter, three departments were reorganized as schools: the School of Business Administration, subsequently named the Robert P. and Arlene R. Kogod College of Business Administration (1955); the School of Government and Public Administration (1957); and the School of International Service (1958). From 1965 to 1977, the College of Continuing Education existed as a degree-granting college with responsibility for on- and off-campus adult education programs. The Lucy Webb Hayes School of Nursing provided undergraduate study in Nursing from 1965 until 1988. In 1972, the School of Government and Public Administration, the School of International Service, the Center for Technology and Administration, and the Center for the Administration of Justice (subsequently named the School of Justice) were incorporated into the College of Public and International Affairs. In 1988, the College of Public and International Affairs was reorganized to create two free-standing schools: the School of International Service and the School of Public Affairs, incorporating the School of Government and Public Administration and the School of Justice. The School of Communication became independent from the College of Arts and Sciences in 1993.

The development of the University has been supported by many sources, but particularly important has been The United Methodist Church. As the result of an amendment to its Charter by the Congress of the United States on August 1, 1953, the University became closely associated with the General Board of Higher Education Ministry of The United Methodist Church, which makes an annual contribution to the University. Active management of the corporate affairs of the University is vested in the University’s Board of Trustees.

American University is non-sectarian in its educational philosophy and academic programs. The United Methodist Church, recognizing the integral place of religion in human experience, seeks to provide optimum opportunity for religious development on its campuses. But it always has taken care to guarantee the values of academic freedom. The faculty and student body of American University represent a diversity of religious as well as academic and national backgrounds and experiences. The Board of Trustees has delegated to the faculty basic responsibility for the academic programs of the University.

The place of American University among major universities with first-rate faculties and academic programs grounded in the arts and sciences is secured by its enduring commitment to uncompromising quality in the education of its students. But its distinctive feature, unique in higher education, is its capacity as a national and international university to turn ideas into action and action into service by emphasizing the arts and sciences, then connecting them to the issues of contemporary public affairs writ large, notably in the areas of government, communication, business, law and international service.

Recognized for its emphasis on personalized teaching and experiential education, the University provides for the direct involvement of faculty and students in the institutions and culture of the most important capital city in the world. Since its founding by an Act of Congress in 1893 as a private, independent, coeducational institution, under the auspices of The United Methodist Church, American University has been a national and international university. This is reflected in the scope of its teaching and research programs and the diversity of its faculty, staff, alumni, trustees, and student body, today representing 145 countries.

The University actively encourages a commitment to public service, inclusive participation in University governance, equity and equal access, and an appreciation of diverse cultures and viewpoints. Its commitment to social justice, its ability to respond to the needs of a changing world while retaining its core values, and its capacity to turn to educational advantage the resources of the nation's capital are hallmarks of the institution. The University distinguishes itself through a broad array of undergraduate and graduate programs that stem from these primary commitments:

The central commitment of American University is to the development of thoughtful, responsible human beings in the context of a challenging yet supportive academic community.

*Note: Gender references in the 1940 Statement have been altered by the University from the original document.

The legal powers of the University are vested in a Board of Trustees of not less than twenty-five nor more than fifty members. Members can be elected by the Board to three-year terms. The General Board of Higher Education and Ministry of The United Methodist Church must approve the election of trustees. Ordinarily, the Board meets three times a year, in the fall, winter, and spring -- the winter meeting being devoted principally to the enactment of the budget for the ensuing year. An eleven-member Executive Committee of the Board acts for the Board between regular meetings.

The president of the University is the chief executive officer of the University. The president is responsible for presenting information and recommendations to the Board and is charged with responsibility for the execution of the policies of the Board for operation, development, and promotion of the University. The president represents the University to the public.

The provost is appointed by the president with the approval of the Board and continues in office at the pleasure of the president. The provost: a) is the chief academic officer of the university, second in responsibility only to the president; b) reports to the president, and has other powers and duties assigned by the president; c) is a member of the University faculty and of each department, school and college, and an ex officio member of each academic committee of the University; d) receives recommendations developed by the faculty and academic administrators for consideration and recommendation to the president; e) exercises the powers and duties of the president during the absence or incapacity of the president, or in case of a vacancy in that office; f) has the option of attending meetings of faculties, schools, colleges, departments, and academic committees; g) at least once during each academic year, calls a meeting of all persons holding faculty rank to discuss matters affecting the academic policies and educational offerings of the University.

There are at present six vice presidents: finance and treasurer; development; campus life; enrollment services; international affairs; and general counsel.

All legal representation on behalf of the University shall be undertaken by the Office of General Counsel. Representation of faculty in accordance with the indemnification provision of the Bylaws of the Board of Trustees of American University shall be undertaken solely by the Office of General Counsel or its designee.

The deans of the colleges and schools report to the provost and are charged with administrative responsibility for their respective units. In certain of the larger colleges and schools, departmental or other subordinate organization exists, with department chairs or other academic administrators reporting to their respective deans.

By joint agreement of the Faculty Senate and the Trustees, the University has adopted a "Tripartite Principle" affecting university organization and governance in academic affairs. In general, this principle as elaborated in practice attempts to define appropriate roles for faculty, students, and administrators at various levels of academic policy-making. Its specific manifestations include the representation of students on faculty councils at the departmental and college or school level, and the procedures to be employed in the event of disagreements between teaching unit councils and chairs and deans.

The Faculty Senate has adopted the principle of accountability for principal University administrators by recommending that committees be employed to search for and recommend candidates for these positions and that evaluation committees review the work of these same administrators at regular intervals. While the specific procedures undergo periodic review and reformulation, the following principles remain in effect:

A modern university is such a complex institution with so many closely interrelated functions that responsibility for the policy direction of many of them is in reality a series of shared responsibilities, some of which can be rather easily identified and lodged with a specific group, while others cannot. It is clear that the conduct of the ongoing academic program has to be vested in the faculty and students. But it is equally clear that the deliberations of a forward-looking faculty will often result in plans which not only affect the existing educational enterprise but may also have serious implications for the future nature, purpose, and fiscal capabilities of the University as a whole. It is likely, therefore, that the success with which individual responsibilities are fulfilled and the success with which an institution's goals and potentialities are achieved will be measured in the long run by the success with which those who share the responsibilities are able to understand their respective roles and agree on courses of action which they can all support [1].

The principal bodies and groups charged with significant responsibility in academic policy-making include the Board of Trustees, the Faculty Senate, the educational policy committees and teaching unit councils of the colleges, schools, and departments, and the committees associated with these bodies.

The University faculty as a body does not have independent policy-making powers. It meets at least once each academic year, and at other times as appropriate, at the call of the provost to hear reports on the state of the University, and to provide opportunity for general discussion of matters of interest to the faculty.

The Board of Trustees determines the nature and directions of development of the University, formulates the policies by which the institution is governed, selects the president, and assures itself at all times that the University is functioning in accordance with these policies as an academically and fiscally sound institution dedicated to the highest possible standards. Legally and traditionally, the Board of Trustees delineates the broad outlines of the activities, including educational activities, in which the University is to engage, and endeavors to provide the resources to support them properly.

The Board has long recognized the important role of the faculty at American University. Reflecting that recognition, the Bylaws of the University state that:

Subject to the powers vested in the Board, the Executive Committee, the president and the provost, the faculty, functioning through its duly constituted entities, shall have primary responsibility for:

The Board of Trustees of American University has approved designees for execution of contracts on behalf of the University. Only Board-approved designees are authorized to sign contracts that obligate the University; all other contracts may be ratified or adopted by the Board and the University at its sole discretion.

The Faculty Senate formulates the academic policies and regulations and sets the general and minimum standards in accordance with which instruction is conducted throughout the University. Standing Committees are Curriculum and Academic Programs; Information Services; Instructional Budget and Benefits; Faculty Development; Faculty Relations; and Student Learning and Academic Engagement. Special and Advisory Committees are Faculty Equity and Grievances; Faculty Hearing; General Education; and Honors Advisory Committee.

The full body of the Faculty Senate serves to organize its work, assigns matters to committees, and prepares and presents its agenda. From time to time, the Faculty Senate, as well as its standing committees, can create other committees for issues of special consideration. The Faculty Senate enactments are subject to review and approval or disapproval by the provost, the president, and the Board of Trustees.

Formal authority for making faculty personnel decisions rests with the provost or his/her designee, on advice of the appropriate faculty, after consultation with the dean, department chair or division director, and is subject to the approval of the president and the Board of Trustees. The process of appointment, granting tenure, promotion, termination, and grievance, however, involves an array of offices and committees.

Conflicts of interest involving the evaluation of individual faculty members for appointment, tenure, or promotion should always be avoided. The provost, deans, members of the Committee on Faculty Relations, department chairs, division directors and all who serve in departmental rank and tenure committees are expected to acknowledge such conflicts openly and to abstain from participation whenever such conflicts arise.

In the interest of fairness, the effective principle is that no person shall have more than a single voice or vote in the evaluation of a faculty member.

a. Teaching Unit Rank and Tenure Committees

Each teaching unit council must establish a rank and tenure committee. This committee must be consulted for its recommendation on all faculty personnel actions, and it must keep minutes of its meetings. Voting members of unit Rank and Tenure Committees may only be tenured faculty. Rank and tenure committees frequently serve as recruiting committees for the teaching unit, and as legislative committees to recommend policies to the teaching unit council respecting faculty appointments and recognition of merit.

b. Department Chairs or Division Directors

Recommendation of the teaching unit chair or division director will be forwarded either to the rank and tenure committee or the dean, depending on the established order of evaluation in the school or college.

c. Deans

Deans receive recommendations from both the rank and tenure committee and the teaching unit chair or division director (where applicable) and may endorse or dissent from them before forwarding their recommendation to the Committee on Faculty Relations for its recommendation, and then to the dean of academic affairs for action.

d. The Committee on Faculty Relations

The Committee on Faculty Relations is an elected body of the University faculty. Its function is to represent the interests of and be concerned with the individual and collective welfare of the faculty. This committee, elected by the faculty at large for staggered three-year terms, is composed of seven tenured faculty members. The members may not be deans, department chairs, or division directors or persons whose principal duties are administrative in nature. The committee shall elect its own chair and vice-chair from among its membership. It is charged with the following responsibilities:

The Committee represents the Faculty Senate in matters referred to it by any faculty member, faculty committee, teaching unit council, or administrative officer. The Committee is the primary instrument in University governance for faculty review of the grievances of any faculty member. It accepts the submission of a grievance on any subject relating to the faculty member's professional functioning at American University. It reviews grievances presented to it and makes recommendations for settling them, in accordance with the procedures specified in Section 17 of this Manual. The Committee's recommendations provide means for resolving differences affecting the interests and welfare of faculty members and the University.

The University Faculty Hearing Committee shall be composed of fifteen tenured members of the teaching faculty elected by the University faculty-at-large. Members of the Hearing Committee shall be elected for terms of three years. Individual panels are drawn from the elected members of the Committee to hear cases. The Faculty Hearing Committee is charged with hearing cases involving termination of continuous tenure appointments, or probationary or special term appointments before the end of the specified term due to incompetence, misconduct, or other cases involving major disciplinary sanctions against a faculty member. It also hears cases of a formal complaint of sexual harassment or violation of research integrity. It reviews cases presented to it and makes recommendations in accordance with the procedures specified in Section 19 of this Manual referred to it by the provost.

The sections under this heading constitute the basic regulations concerning conditions of faculty employment, as enacted by the Faculty Senate and approved by the provost, the president, and the Board of Trustees. Faculty must also comply with the applicable policies contained in the Academic Regulations.

Full-time faculty ranks are: Instructor, Assistant Professor, Associate Professor, Professor, University Professor, and Distinguished Professor.

Except as provided below, all appointments to faculty ranks are on the recommendation of a college, school, department or other appropriate administrative unit (with the concurrence of the appropriate dean), and constitute appointments to the faculty of the recommending school or college. Appointments at any rank may be made jointly to two or more faculties of the University, with the same rank in each. Appointment to the faculty of the College of Arts and Sciences, the School of Public Affairs, and the Kogod School of Business requires appointment to a department.

Except as provided below, all appointments to the full-time faculty are tenure-track appointments, with the appointment to a seventh year of service conveying tenure or being designated as a terminal contract.

b. University Library Faculty Members

The University Library is a central element in the educational structure of the University, and its activities support and promote the work of all teaching units. Therefore, its full-time faculty members are evaluated with concern for excellence, are offered the protection of academic freedom, and enjoy privileges, such as tenure and the opportunity for leaves, that are established for other full-time faculty members. (See the University Library Faculty Manual [Section II Part V of the Manual of Information and Procedures]).

c. Washington Semester Program Faculty

The Washington Semester Program enhances many departments throughout the University and contributes to the university’s national and international reputation. Its full-time faculty have the protection of academic freedom and are evaluated with concern for excellence. Persons appointed to positions as full-time faculty in the Program incur the responsibilities and enjoy the benefits of University faculty, including the opportunity for leaves, with the exception of indefinite tenured appointments. Washington Semester Program faculty are eligible for renewable contracts. All appointments are based on temporary one-year contracts until the fifth year of service. Full-time Washington Semester Program faculty who are in their fifth year of service may be considered for a multi-year contract of two- to five-year appointments without eligibility for or implication of indefinite tenure. In the last year of a multi-year contract, a Washington Semester faculty member may request renewal, in which case the file for action will go through the reappointment process as set forth in Section 7 of the Manual. A recommendation from the dean of the Washington Semester Program will accompany the file for action.

A person who is on leave from the full-time teaching faculty of an accredited college or university or from a comparable educational, research, or policy institution may be appointed on an annual basis as Visiting Professor, Visiting Associate Professor, or Visiting Assistant Professor. If a full-time faculty appointment to the University faculty is desired, the same qualifications and procedures shall apply as for initial appointments to full-time faculty ranks. Recommendations for reappointment of visiting faculty shall be made annually to the Committee on Faculty Relations. A visiting appointment may not be renewed for more than two consecutive years.

Visiting Faculty are entitled to specific resources and access to specific facilities of the university as determined by the dean of the college or school to which they have been appointed. While the conditions and perquisites of employment are not the same as tenure or tenure track faculty, all other rules, policies, and procedures that relate to the teaching faculty of the university apply.

An "In-Residence" faculty appointment allows for flexibility where there is a desire to provide for the presence of a distinguished and prominent individual to American University. The positions that are given "In-Residence" designation may be full- or part-time and include, but are not limited to, Writer, Artist, Diplomat, Poet, Scholar, Lecturer, Executive, Journalist, and Emeritus In-Residence. Such an appointment is initiated at the teaching unit level with prior consultation with the dean and the dean of academic affairs on behalf of the provost. The procedures for making the appointment will be those regularly followed for personnel appointment to full- and part-time positions. The specific duties, privileges, and remuneration of In-Residence appointees will be negotiated on an individual basis. In all cases of multi-year, In-Residence appointments, the holder of an In-Residence appointment will be evaluated annually on the specifications stipulated in the negotiated contract by the teaching unit, teaching unit administrator, dean, Committee on Faculty Relations, and the dean of academic affairs. No holder of an In-Residence appointment may be reappointed without a positive evaluation on the specifications stipulated in the negotiated contract by the teaching unit (rank and tenure committee, as applicable), teaching unit administrator, dean, Committee on Faculty Relations, and dean of academic affairs.

Moreover, with the exception of faculty emeriti/emeritae, no person who has served in any other full-time position at American University may be appointed as In-Residence faculty. Normally, the In-Residence appointments would be no more than five years in duration, but in exceptional circumstances may be renewed beyond that time.

f. Emeriti/ae Faculty

A Distinguished Professor, University Professor, Professor, Associate Professor, or Assistant Professor who has been a member of the full-time faculty of the University for eight years or more immediately prior to retirement will be given emeritus status as of the effective date of retirement. Faculty emeriti/ae are entitled to reasonable use of the facilities of the University. They retain their voting membership in the faculty and their names are included in published faculty listings. They may serve on committees and perform such other occasional services as are in keeping with their desires and capabilities and with the needs of the University. Faculty emeriti/ae who teach for the University after retirement shall be accorded the title of Emerita/Emeritus-in-Residence.

g. Temporary Faculty

Under limited circumstances, such as to replace faculty on leave, to fill vacancies that occur too late for any appropriate search to be conducted for a tenure-track faculty appointment, to fill a vacancy resulting from an unsuccessful search to fill a tenure track appointment, or to staff an experimental program, persons may be appointed as a temporary faculty at the rank of instructor, assistant professor, associate professor or professor, subject to the qualifications set out in Section 9 below.

Initial appointments are for one year, except in exceptional circumstances they may be for two years. In rare instances, reappointments may be made for a total service in temporary ranks not to exceed five years. If temporary faculty are subsequently appointed to tenure-track positions, they may waive all or part of their prior American University service credit.

Fulltime temporary faculty who are in their fifth year of service may be considered for a multi-year contract of two- to five-year appointments without eligibility for or implication of indefinite tenure. In the last year of a temporary contract, a teaching unit may propose a multi-year contract, in which case the candidate’s file for action must proceed through the reappointment process following norms used for reappointment to the fifth and sixth years of pretenure service as set forth in Section 7 of this Manual. The evaluation must state explicitly and document the exceptional qualities and experience of the candidate. The renewal of any multi-year contract must similarly follow the procedure used for reappointment to the fifth and sixth year of pretenure service. That evaluation must also state explicitly and document the exceptional qualities of teaching, creative, scholarly or professional contributions, and service.

The tenured and tenure-track faculty of each college and school of the university shall decide by majority vote whether to allow multi-year contracts in the major unit, except in the College of Arts and Sciences where such a vote will be done by department.
The total number of multi-year appointments shall not exceed ten percent of the total of tenured and tenure-track faculty members at the university. The dean of academic affairs shall review the number of temporary faculty on a multi-year contract and report those findings to the Faculty Senate at the beginning of the academic year. That report will include the number of faculty on a multi-year contract, the number of currently eligible individuals in their fifth year, plans for distributing multi-year contracts during the academic year, and any other pertinent information concerning temporary appointments to multi-year contracts. School and college deans shall report the same information to their respective faculty.

h. Adjunct Faculty

An Adjunct Faculty appointment allows an individual to contribute to the instructional program of a college or school on a part-time basis. Adjunct Faculty appointments are made at the rank of Distinguished Adjunct Professor, Adjunct Professor, Adjunct Associate Professor, Professorial Lecturer, or Lecturer. Persons may serve as Adjunct Faculty without limit of time through successive reappointment. These appointments carry no implications of or credit towards academic tenure. Adjunct Faculty are entitled to specific benefits and access to specific facilities of the University as determined by the dean of the college to which they have been appointed. While the conditions of employment and perquisites of employment are not the same as tenure or tenure track faculty, all other rules, policies, and procedures that relate to the teaching faculty of the university apply.

i. Research Faculty

A person engaged primarily in research or professional activities relevant to the work of the University may be given an appointment to the research staff. See additional information and policies concerning research and research appointments in Research Policies Manual [Section IV of The Manual of Information and Procedures], the Principal Investigator's Handbook, and in Section 10c of this Manual). Upon the recommendation of a teaching unit making such an appointment, and subject to the same review procedures as regular faculty appointments, a phrase such as "with the rank of Research Assistant Professor, Research Associate Professor, or Research Professor" may be appended to the title provided that research faculty member possesses the educational and research qualifications appropriate to the particular rank. Persons appointed with such titles will have the nature and extent of their duties clearly expressed in a letter of appointment. Such an appointment does not confer membership on the faculty. Research faculty appointments and reappointments are recommended by the department and school or college, subject to approval by the provost, and are made according to procedures established by the provost. A research faculty appointment expires at the end of the appointment period unless it is renewed according to the procedures set out by the provost. Employment beyond the contract period cannot be expected by a member of the research faculty. These appointments carry no implications of or credit towards academic tenure. Appointments may be made on a part-time or full-time basis. Persons having such an appointment will normally have their salary entirely funded by sources outside the University. Exceptions will require the written approval of the provost upon recommendation of the Committee on Faculty Relations and the Committee on Research. Research Faculty are entitled to specific resources and access to specific facilities of the University as determined by the dean of the college to which they have been appointed. While the conditions and perquisites of employment are not the same as tenured or tenure track faculty, all other rules, policies, and procedures that relate to the teaching faculty of the university apply.

j. Faculty Fellows

scholars from another institution may wish to have a short- term affiliation with the University for the purpose of doing research or participating in other scholarly, creative or professional activities. These individuals receive no compensation from American University but may participate in campus activities that are of mutual benefit to the individual and the University. The title of Faculty Fellow may be granted to such individuals with the understanding that they may receive the privileges determined by the dean of the school or college consistent with all university policies. The appointment process follows that of adjunct appointments for the unit.

k. Administrative Officers and Staff Members with Faculty Rank

The assignment to a University administrative or professional staff position and the conferring of faculty rank represent separate and distinct actions. A member of the faculty appointed to an administrative or staff position must understand clearly the dual nature of the relationship with the University. An individual holding both an administrative/staff position and faculty rank is subject to the rules and regulations for both appointments. Administrative/staff actions will be governed by staff policies and faculty actions will be governed by faculty policies.

A recommendation involving the faculty rank of an administrative officer or a member of the staff (for example, appointment, reappointment, promotion in rank, and appointment with tenure), shall be processed in the same way as any recommendation relating to full-time faculty members.

An affiliate faculty appointment recognizes a formal arrangement between a faculty member and a department or teaching unit outside that of the faculty member’s primary appointment. Ordinarily, only tenured faculty members are eligible for such an appointment. Individual faculty members are encouraged to initiate informal discussions regarding a possible cross-unit affiliation with the heads of both the primary and proposed affiliation units.

An affiliate faculty appointment must be supported by a written affiliation agreement which describes the responsibilities and benefits of the affiliate agreement as well as its resource implications, if any. The extent to which the faculty member will participate in the governance of the affiliate academic unit must be specified in the affiliation agreement. An affiliate faculty appointment and the related affiliation agreement must be approved by the head of the faculty member’s primary teaching unit and dean as well as by the teaching unit head, rank and tenure committee and dean of the proposed affiliate unit. Final approval of an affiliate faculty appointment will be made by the Dean of Academic Affairs. Review criteria for affiliate faculty appointments will be the potential affiliate’s past and/or envisaged contributions to research, teaching and/or service in the unit where affiliation is sought. It is not necessary that the proposed faulty affiliate have strong credentials or a track record relevant to the proposed affiliate unit so long as there is mutual agreement about the potential for future contributions to the unit’s mission. The term of an affiliate appointment may vary from one to three years and may be renewed. An affiliate faculty member will retain academic rank held in the faculty member’s primary discipline and may use a title such as “Associate Professor of History and Affiliate Associate Professor of Government.”

An appointee to this rank must have completed the doctorate, or the highest degree customary in the discipline. The appointee must have demonstrated the potential to achieve excellence in teaching and scholarly or creative activities and must also demonstrate promise of future professional growth in his/her field. The faculty member is also expected to give promise of participating in university affairs and of mentoring and advising students.

An appointee to this rank must hold a doctorate or the highest degree customary in the discipline. The faculty member must have demonstrated high quality as a teacher, shown engagement with students in and outside the classroom, must have demonstrated significant scholarly or creative accomplishments appropriate to the faculty member’s discipline, show potential for becoming a scholar or artist of distinction, and have demonstrated professional recognition and growth. The faculty member must have had at least four years of full-time teaching experience in a college or university in the rank of Assistant or Associate Professor, or at least five years of full-time teaching experience in a college or university, counting for this purpose not more than three years at the rank of Instructor.

d. Professor

An appointee to this rank must hold a doctorate or the highest degree customary in the discipline and have achieved all of the qualifications for Associate Professor. In addition, the faculty member must have achieved a record of continuing distinction in scholarship or creative endeavors in the field, and must have a demonstrated excellent teaching ability and shown continuing active engagement with students in and outside the classroom. There must be a record of continuing evidence of relevant and effective professional service and demonstrated ability for continuing achievement in all areas. The faculty member must have had at least eight years of full-time teaching experience in a college or university, including at least four of those years in a rank higher than Assistant Professor.

e. University Professor

An appointee to this rank must meet the requirements for the rank of Professor and, in addition, must have achieved distinction in research and/or teaching in his/her profession, in the University, or in public service. Recommendation for appointment to this rank must come from two or more teaching units with the concurrence of the deans of the relevant schools and colleges, be approved by the Committee on Faculty Relations, and follow the usual appointment process.

f. Distinguished Professor

There is a small number of specially-designated Distinguished Professorships at American University, so designated by the provost, with the approval of the president and the Board of Trustees. A faculty member appointed at that rank will have met all the criteria for the rank of Professor in his/her discipline and will have demonstrated excellence in teaching with a clearly demonstrated understanding of his/her subject area. The faculty member will have achieved national and international recognition in his/her academic field or area of performance, a sustained record of achievement at the highest professional and scholarly level, and a record of service to the profession and to the wider community which the University serves. The faculty member will have achieved distinction in scholarship, research, or professional performance by means of such evidence as:

The scholarship and professional achievement of the faculty member will be attested to by reputable professionals in the field.

Appointments to this rank will follow the procedures outlined in Section 7 of the Faculty Manual.

Departments, schools, and colleges may appoint adjunct faculty to supplement the effort of the full-time faculty. Adjunct faculty ranks are: Lecturer, Professorial Lecturer, Adjunct Associate Professor, Adjunct Professor, and Distinguished Adjunct Professor. The qualifications for appointment to adjunct faculty ranks must be germane to the course or courses to which the individual is assigned.

For Lecturer, qualifications include academic or professional experience that is comparable to the requirements for the full-time rank of Instructor stated in Section 9 of this Manual.

For Professorial Lecturer, or for any lecturer assigned to teach a graduate course, the criteria for the full-time rank of Assistant Professor in Section 9 of this Manual apply, except that, in the absence of a doctorate, relevant full-time professional responsibility and achievement must be shown.

For Adjunct Associate Professor, either the qualifications for the full-time rank of Associate Professor Section 9 of this Manual must be shown, or long-term, relevant experience in the candidate's professional field and highly satisfactory teaching performance.

For Adjunct Professor, either the qualifications for the full-time rank of Professor in Section 9 of this Manual must be shown, or relevant full-time professional responsibility and achievement, a high standing in the candidate's professional field, and highly satisfactory teaching performance.

For Distinguished Adjunct Professor, either the qualifications for the full-time rank of Professor in Section 9 of this Manual or relevant full-time professional responsibility and exceptional achievement must be shown. Distinguished service in the candidate's professional field or outstanding teaching performance is also required.

The evaluation of a member of the faculty at the time of initial appointment, at each renewal, and on the occasion of promotion in rank or appointment with tenure is based upon his/her actual and potential contribution to the general community of scholars, to students, to the faculty of which the member is a part, and to the University.

The criteria set forth in this section are intended to guide the Committee on Faculty Relations and all others concerned with the evaluation of faculty members. The purpose of these criteria is to call attention to the overall contribution and performance of the faculty member without necessarily implying that equal weight need be assigned to each criterion. Individual teaching units may establish and publish criteria more demanding, if consistent with criteria set forth herein.

Occasionally a teaching unit may wish to propose a faculty action that does not fulfill all the criteria for the rank or status involved. The recommendation must be justified on the basis of the exceptional merits of the case and its relation to the mission of the teaching unit. On the other hand, because programmatic needs may change over time, it should be understood that non-renewal of probationary appointments may occur occasionally even when an individual has fulfilled all other criteria for reappointment.

In order that the application of the criteria within a particular teaching unit be clearly understood by all of its faculty members, each teaching unit should engage in a full discussion of the criteria used by its rank and tenure committee for the appointment, retention, and promotion of members of its faculty. Such discussions should involve both the general criteria in this Manual and whatever other specific criteria are used by a teaching unit. Moreover, such a discussion should occur at least once a year after the Committee on Faculty Relations has held its annual information meeting for rank and tenure committees, and before the rank and tenure committee begins its review of faculty personnel actions.

It is assumed that a person recommended for appointment to the faculty will have the educational background and the professional experience appropriate to the position proposed. The record should show the completion of requisite academic work and possession of recognized earned degrees attesting to educational background, and an employment and professional history relevant to the teaching field and of sufficient duration to satisfy the requirements of the rank to which appointment is sought.

The University prefers that the members of its faculty be diversified in their educational background and teaching experience, and discourages the appointment of faculty members whose earned degrees have all been obtained at American University.

The quality of teaching is a primary consideration in the selection, retention, and promotion of faculty members.

Effective teaching includes superior classroom performance, organization, development, articulate presentation of subject matter, ability to motivate and involve students in the learning process, and an appropriate respect for the intellectual needs of students. Where appropriate to the faculty member’s duties, the conduct of seminars, colloquia, or other forms of planned faculty-student interaction, and the supervision of dissertations, theses, and independent study, will be evaluated under the effective teaching criterion.

Providing a stimulating atmosphere within which students can learn and grow intellectually is also a major professional contribution the faculty member should make to the development of students. This includes frequent and active presence on campus, student counseling and advising, and participation in activities that promote interaction between student life and the academic environment.

Student evaluations of teaching effectiveness will be important tools in ascertaining teaching effectiveness and will be used in evaluation and review of faculty members at all levels. In making faculty personnel decisions, however, these evaluations will not be the sole evidence for teaching effectiveness.

A broad, scholarly knowledge of one’s field, creative work and significant scholarship are essential to the mission of the university and to effective teaching. The University is committed to support and assist in the development of scholarly research and effective teaching. The University also recognizes that the practice of one’s profession may often constitute a contribution of importance similar to scholarly publications.

Evidence of development, scholarship, and creativity includes the publication of significant scholarly contributions, publication of teaching methodology and materials, public lectures, participation in responsible positions in professional organizations, creative production and performance, and other professional activity that demonstrates concern for advancing the faculty member's discipline or interdisciplinary work.

An instructor is appointed annually for not more than five years in that rank, with the exception of Instructors primarily teaching college writing and foreign language, as set forth in Section 9a. An Instructor who is not recommended for promotion to the rank of Assistant Professor will not be reappointed for a sixth year.

Appointments prior to the granting of tenure are usually made for two years. However, one-year appointments may be made when recommended by the teaching unit and approved through the usual appointment process. A one-year initial appointment will normally be appropriate when the terminal degree has not been awarded prior to the start of the appointment or if one year of prior credit towards tenure is brought in on the initial contract. Faculty on an initial two-year contract must be notified by the teaching unit no later than December 15 of the second academic year whether it will recommend renewal for another year. Contracts prior to the granting of tenure and subsequent to the initial two-year contract will be subject to the notice requirements specified in item “h” of this section.

An appointment to the full-time faculty is a contractual obligation to the University which is effective throughout the academic year and runs from September l to August 31. The obligations of full-time service are defined in Section 13 of this Manual. This obligation calls for nine months of full-time service to the University, which shall include, specifically, the faculty member's active presence while the University is in session from the start of orientation prior to the beginning of classes in the fall through commencement day in the spring.

Tenure-track or tenured faculty and some temporary faculty on multi-year contracts are paid in twelve monthly installments, from September through August. Temporary faculty are normally paid in nine monthly installments, from September through May.

Reappointments are contingent upon the satisfaction of the general criteria for the evaluation of faculty members contained in Section 10, the specific criteria set by the individual teaching unit, and the criteria for particular ranks outlined in Section 9 of this Manual.

All non-tenured, tenure-track faculty members being considered for reappointment will be evaluated with respect to the above criteria for appointment. The findings and recommendations resulting will be communicated to the faculty member concerned and forwarded as part of the reappointment process. An evaluation as set out in this paragraph may also be carried out in the first year of a second or third two-year contract at the request of the faculty member or the teaching unit head, if desirable for any reason relating to the faculty member's progress toward tenure. Normally, the File for Action for reappointment will be processed according to the procedures outlined in section 7.

Tenured faculty will be evaluated at least every three years by the teaching unit rank and tenure committee, and apprised of the results.

A person who is recommended for promotion in rank must meet the criteria in effect for initial appointment to that rank. Promotion in rank cannot be considered an automatic procedure or simply the result of loyal service to the University for a number of years. Promotion to the rank of Associate Professor, and particularly to the rank of Professor, will involve much more than the mechanical application of specified criteria and will be reserved for those persons who have demonstrated that they have made an outstanding contribution to the University.

On satisfying the University's criteria for advancement, an Instructor may be recommended for promotion to the rank of Assistant Professor consistent with the provisions of Section 9.a. of this Manual. Other members of the full-time faculty must serve the requisite number of years in rank, as specified in Section 9 of this Manual, including at least two years at American University, before being eligible for promotion to the next succeeding rank.

There are circumstances under which a faculty member may receive a special title. For example, an endowment fund may allow for the naming of a chair or a professorship in a school or college for an indefinite period or for a fixed term. A faculty member who is to receive such a designation must have the recommendation of the unit’s rank and tenure committee, school/college dean, and Committee on Faculty Relations before action is taken by the provost and president.

An individual faculty member is responsible for updating his/her own File for Action, and all the appropriate documents s/he has supplied will accompany the File for Action as it is sent through the personnel process.

Every faculty member will be informed promptly and in writing of exactly what recommendation has been made by the rank and tenure committee of the teaching unit, the head of the teaching unit, and the dean, as well as by the Committee on Faculty Relations, the dean of academic affairs, and the provost.

Department chairs and deans may report to a candidate the progress of the recommendation through the various stages and may indicate when final action may be expected. An offer of employment is not final until a contract is forwarded from the dean of academic affairs. In cases of the offer of tenure, final action by the Board of Trustees is required.

The precise terms and conditions of all appointments shall be stated in writing to the appointee. This Faculty Manual shall be made available to all faculty personnel and must be incorporated by reference in the letter of appointment.

It is the intention of the University that each full-time member of the teaching faculty (except those in a visiting status and those with temporary or emergency appointments) will be advised by letter as early as possible in each academic year whether he/she will be reappointed, and in cases of reappointment, the terms and conditions thereof.

Initial notification by a teaching unit of a recommended termination will follow this schedule:

In cases of terminations for cause (e.g., incompetence, misconduct, or when based on a conviction of a felony), the preceding dates do not apply.

A faculty member who has entered the final year of pre-tenure service without being earlier notified of a decision on the granting of tenure will be entitled to at least a terminal year's contract for the ensuing year in the event that tenure is not awarded.

Final notification of termination will be given in writing to the faculty member reasonably soon after the decision to terminate is made.

Reappointment of members of the full-time faculty to a succeeding academic year, and reappointment of members of the full-time faculty who are serving other term appointments may be accomplished only by notice from the dean of academic affairs. Notwithstanding the notification schedule above, no person shall be deemed to have been reappointed or to have been awarded tenure because notice is not given or received by the time or by the manner described above. If notice is not received in accordance with the schedule above, it is the faculty member’s responsibility to inquire of the dean of academic affairs, through the teaching unit chair, who will respond with a status report.

i. Candidates who are not US citizens or permanent residents

Faculty appointees who are not U.S. citizens or permanent residents are responsible for obtaining appropriate visa authorizations before the commencement of work. The head of the teaching unit should work closely with the appropriate University office in completing any required immigration paperwork. The Office of International Student Services handles paperwork for J-1 and F-1 visas for foreign nationals. Inquiries about H-1B work authorizations and immigration laws and regulations should be directed to the Office of General Counsel.

j. Faculty Action Procedures for Adjunct Faculty

Adjunct faculty may be appointed for a period of up to three years. The appointment may be renewed at the end of the appointment period if it is recommended by the appropriate college or school and is in the best interest of the University and its instructional programs. Adjunct faculty can receive compensation only for those sessions during which they have specific contractual duties. Adjunct faculty appointments and reappointments are recommended by the department and school or college, subject to approval by the dean of academic affairs, and are made according to procedures established by the dean of academic affairs. An adjunct faculty appointment expires at the end of the appointment period unless it is renewed according to the procedures established by the dean of academic affairs. Employment beyond the contract period cannot be expected by an adjunct faculty member even if the current appointment has not expired.

A faculty member who resigns from the University while under contract must do so in writing to teaching unit heads or to the dean of the college or school. Formal acceptance of a letter of resignation on behalf of the University must come from the dean of academic affairs. This ensures that all contractual obligations to the University have been, or will be, met. The dean of the college or school or the teaching unit head, must acknowledge receipt of the resignation to the faculty member, with an indication that the letter is being forwarded to the dean of academic affairs for action. The dean of academic affairs will notify the faculty member by letter as to the status of the resignation.

In all cases, a letter of resignation should be forwarded to the college or school dean’s office. The college or school dean’s office should then forward the resignation letter to the dean of academic affairs and to the Office of Human Resources.

A faculty member with tenure may continue in the rank to which he/she has been appointed with tenure, or at a higher rank, until retirement, unless the University finds it necessary after due process to invoke its right to terminate the association at an earlier date. Termination will be based upon proof of adequate cause for dismissal, and will be related directly and substantially to the fitness or performance of the faculty member in his/her professional capacity as a teacher, researcher, or creative member of his/her professional field.

If, for reasons of financial exigency of a program in which a tenured faculty member is teaching the termination of a tenured appointment is proposed, such termination shall be considered only as a last resort after every effort has been made to meet the need in some other way, and to find for the faculty member a suitable assignment in the University.

Tenure is not acquired merely by successive reappointment over a specified period of time. The granting of tenure is a positive judgment based on the process set forth in Section 7 of this Manual. For a positive tenure decision, a faculty member must have demonstrated high quality in both teaching and scholarship or creative activities. There must also be evidence of the ability to continue significant growth in these areas and continue to make positive contributions to the University community.

To be eligible for an appointment with tenure, a faculty member must have attained the rank of assistant professor or higher. Normally, the requirements for a positive tenure decision would be equivalent to the qualifications for the rank of Associate Professor or higher.

To be eligible for tenure, a full-time faculty member must have six years of full-time teaching service at the rank of instructor or above, at least four of which must be completed at American University, consistent with the waiver of prior service provisions described in iii.

A faculty member with a new appointment who has been previously tenured or who was eligible to be considered for tenure at another institution may, in exceptional cases, be appointed with tenure after following appropriate University procedures as described in section 7.

At the time of an initial tenure track appointment, a faculty member may be granted credit by the University for prior service. All years of prior service at American University may be waived. If the service was at another institution, up to two years of prior service may be credited towards tenure accrual.

Until the faculty member submits his/her first File for Action for reappointment to the University, a faculty member may waive such credit towards tenure, subject to notification through the established faculty action process. The waiver must be in writing and filed with the dean of academic affairs. Thereafter, time credited toward tenure may not be waived, even at the request of the faculty member, except in the most unusual of circumstances.

Certain types of leave do not count as accrued time for tenure. Eligibility for these leaves is described in section 15.

Leave Without Pay. A leave without pay is not included either in accrual of service for sabbatical eligibility or as part of pre-tenure service, unless there is advance written agreement to the contrary by the dean of academic affairs, in consultation with the individuals and committees ordinarily involved in recommending faculty personnel decisions. Normally, if a leave without pay is granted in the sixth year of pre-tenure service, the tenure review will go forward and the time accrues towards tenure. Periods of partial leave without salary stop the tenure clock on a proportional basis. These arrangements and related conditions must have the prior written approval of the dean of academic affairs.

Research Leave. A Research Leave normally carries with it accrual of eligibility for tenure and promotions in rank, but not for sabbaticals. Faculty members have the right to waive this accrual, if they specify this waiver as part of their application for Research Leave. Normally, if the Research Leave is granted in the sixth year of pretenure service, the tenure review will go forward and the time accrues towards tenure.

Parental Delay. A faculty member who is the primary care-giver for a newly born or newly adopted child may postpone tenure consideration for up to one year even if no leave from the University has been taken.

The maximum number of years of delay will be two years and this will include all other types of leaves.

The faculty of American University includes some members who are designated as full-time but who teach less than a full load of courses while engaging in full-time scholarly work and teaching. Provided that they participate effectively in the governance of the teaching unit and of the University, such faculty members will accumulate credit toward tenure as though they were teaching a full load.

A rate of not less than one-half of the regular rate of accrual of credit toward tenure for full-time faculty members who are engaged partly in administrative, counseling, or other functions, or who do not work full-time in scholarship and teaching will apply, provided that the rate is agreed upon in writing.

The normal teaching load for a full-time faculty member is nine credit hours per semester, except in the case of Washington Semester Program faculty for whom the load is 12 credit hours. In addition, full-time faculty members will hold a minimum of six hours of office hours per week to engage in student advising. These teaching responsibilities must be carried out in conjunction with the faculty member's research and service responsibilities to the University, college, and teaching unit committees.

The University recognizes the diverse roles assumed by individual faculty members and encourages teaching units to develop procedures for determining faculty obligations. Such procedures will be used to assure that parity of faculty assignments is achieved within each teaching unit. Deans and department chairs, within the framework of these general policies, will make such adjustments upward or downward as are necessary in individual teaching assignments, based on the faculty member's actual contributions to and involvement in research or other University programs, and based on the total mission of the teaching unit.

When a change in faculty member for any class is necessary, the teaching unit should seek to replace the originally assigned faculty member with one of similar qualifications, and it should make every effort to notify potential students of the change. Faculty members cannot delegate the responsibilities in the classroom to teaching assistants unless such a delineation of authority is implicit in the format of the course and specifically described in the published course description.

The University discourages overload teaching assignments, with or without compensation, during the fall or spring semesters. Such assignments might seriously impair the faculty member's ability to meet the criteria outlined in Sections 10 through 12 of this Manual. The approval of overload teaching assignments during the fall or spring semesters must be justified on an emergency basis or in terms of the teaching unit's mission, and requires written approval of the faculty member's teaching unit head, dean, and dean of academic affairs. It is recommended that the above-mentioned concern be conveyed to the faculty member at the time of approval.

In University-wide affairs, voting members of the University faculty include all full-time faculty members and faculty emeriti/ae with the rank of Instructor or above. A faculty member on leave of absence from the University retains voting rights.

In college, school, and departmental affairs, the voting members include all full-time faculty and faculty emeriti/ae with the rank of Instructor and above whose principal appointment is with the teaching unit concerned. Full-time visiting faculty may vote in college, school, and departmental affairs at the discretion of the teaching unit, but may not vote in University-wide elections. A faculty member having a joint appointment will have voting privileges in the affairs of one unit which shall be considered the unit of that faculty member's principal appointment. The faculty member may participate in the internal affairs of the other unit or units in which an appointment is held only at the discretion of the unit.

The University endeavors, to the extent possible and practicable, to allow full-time members of the faculty to be released temporarily from their assigned duties for such activities as:

Generally, leave requests must be supported with appropriate documentation demonstrating why the request should be granted. A leave of absence is granted on a case-by-case basis and must depend on the ability of the college or school and teaching unit concerned to organize the unit's work to permit the leave without significant additional expense to the University and without detriment to the unit's programs. Faculty members with administrative assignments at all levels must understand that their absence on any type of leave may affect the on-going operations of the University so adversely that otherwise laudable requests for leave may have to be denied on administrative grounds. All leaves and the related terms must have the prior written approval of the dean of academic affairs.

b. Limitations and Conditions

The University cannot permit any member of the full-time faculty to be away from his/her duties on any type of leave (or combination of types of leave) for more than two successive years at a time, except in the cases of serious illness or required active military service. Ordinarily, a faculty member who chooses to extend a leave beyond two years will forfeit his/her position at the University, even if he/she has not submitted a formal letter of resignation.

When a leave of absence is granted, a Full-Time Faculty Contract will set forth the precise terms of the leave. The faculty member's name and position will continue to appear in faculty listings printed in catalogs and other official publications during the period of his/her leave of absence.