Academic Affairs | Library Faculty Manual

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                                             FOREWORD

          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 is specific to library faculty at American University. 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.

                              GENERAL INFORMATION

1. A Brief History of American University

         American University was established in the District of Columbia by an Act of Congress approved on February 24, 1893, primarily as a result of the efforts of Methodist Bishop John Fletcher Hurst (1834-1903).

    Bishop Hurst and his colleagues were concerned with building an institution that would meld the strengths of the German universities with the strengths of the existing university system in America. As their plans developed during the early years, they began to conceive of American University as:

  • a privately-supported university financed principally by the membership of the churches of the Methodist Episcopal Church, which had founded many colleges and universities in the early years of American history;
  • an internationally-minded institution where scholars from across the nation and throughout the world would gather to dedicate their combined efforts to advance and disseminate knowledge;
  • a center of higher education and research activities which, while independent of the government, would draw freely on the intellectual and scientific resources of the nation's capital to supplement and extend its own capabilities;
  • an institution which would contribute to the general cultural life and development of the Capital in much the same manner that state-supported universities in other world capitals contributed to their communities.

         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 n 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.

2. The University and The United Methodist Church

         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.

3. Statement of Common Purpose

         In November 1994, the University Senate and the president recommended and the Board of Trustees approved the following Statement of Common Purpose for American 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:

  • Interdisciplinary inquiry transcending traditional boundaries among academic disciplines and between administrative units;
  • International understanding reflected in curriculum offerings, faculty research, study abroad and internship programs, student and faculty representation, and the regular presence of world leaders on campus;
  • Interactive teaching providing personalized educational experiences for students, in and out of the classroom;
  • Research and creative endeavors consistent with its distinctive mission, generating new knowledge beneficial to society;
  • Practical application of knowledge through experiential learning, taking full advantage of the resources of the Washington, D.C. metropolitan area.

     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.

4. Academic Freedom at American University

     American University endorses the Statement of Principles on Academic Freedom and Tenure issued jointly in 1940 by the American Association of University Professors (AAUP) and the Association of American Colleges. The principles with respect to tenure set forth in that document are incorporated in the relevant entry in Section 12 of this Manual. With respect to academic freedom, the principles in effect at American University are best described in the words of the 1940 Statement, as follows:

       (a) The teacher is entitled to full freedom in research and in the publication of the results, subject to the adequate performance of his/her other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution.

          (b) The teacher is entitled to freedom in the classroom in discussing his/her subject, but should be careful not to introduce into his/her teaching controversial matter which has no relation to the subject. Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of the appointment.

          (c) The college or university teacher is a citizen, a member of a learned profession, and an officer of an educational institution. When the teacher speaks or writes as a citizen, he/she should be free from institutional censorship or discipline, but his/her special position in the community imposes special obligations. As a man/woman of learning and an educational officer, he/she should remember that the public may judge his/her profession and his/her institution by his/her utterances. Hence he/she should show respect for the opinions of others, and should make every effort to indicate that he/she is not an institutional spokesperson.

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

 
                 UNIVERSITY ORGANIZATION AND POLICY-MAKING

5. Administrative Organization of the University

     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 the 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 the General Counsel or its designee.

     The deans of the colleges and schools and the university librarian 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 the library council and chairs and the university librarian.

         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:

  • the ultimate authority for appointing and removing administrative personnel rests with the appropriate administrative officers, the president, and the Board of Trustees;
  • the deans of the College of Arts & Sciences, Kogod School of Business, School of Public Affairs, School of International Service, Washington College of Law, School of Communication, and the University Librarian shall be appointed by the provost with the advice and consent of the faculty of the college or school concerned, and with the approval of the president and the Board of Trustees;
  • department chairs, deans, and directors within colleges and schools shall be appointed by the dean after the teaching unit council has made a recommendation, with no appointment ordinarily to be made by the dean which is unacceptable to a majority of the members of the teaching unit council. Should the dean make such an appointment, reasons for his/her actions will be supplied to the teaching unit council. These appointments require approval of the provost.
6. Academic Policy-Making Bodies   

         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] Based on the conclusion in the Statement of Governance of Colleges and Universities (1973 edition), a publication jointly by the American Association of University Professors, the American Council on Education, and the Association of Governing Boards of Universities and Colleges.

         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.

          In general terms, the roles of the policy-making bodies may be described as follows:

       a. The Board of Trustees

         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:

  • instruction and academic standards;
  • determination of curricula and approval of courses;
  • recommendation of faculty appointments, promotions, and other faculty personnel concerns;
  • recommendation for the instructional budget;
  • recommendation of policies affecting student affairs.

         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.

          b. The Faculty Senate

     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.


c. Educational Policy Committees and University Library Councils

         The educational policy committees and unit councils of the various colleges, schools, and departments and University Library develop the courses and curricula or policies which in their judgment will enable them best to perform their missions, limited only by the fact that they must act in conformity with policies and regulations established by the Faculty Senate. Whether a teaching unit or the library functions through a full council, a representative educational policy committee or both is a function of its size and style. In either case, the body will consist of fulltime faculty. The chair of the University Library Faculty Council will be an elected library faculty member; an educational policy committee may be chaired by a faculty member. The work of either will be subject to review by the appropriate chair or dean. By Senate regulation, unit councils must keep minutes of their meetings.

7. Structure for Handling Faculty Appointments, Reappointments, Promotion,Tenure, and Grievances

     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, university librarian, 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, university librarian, members of the Committee on Faculty Relations, department chairs, division directors and all who serve in library 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 or Library Rank and Tenure Committees

         Each teaching unit or library faculty council must establish a rank and tenure committee composed of faculty members. This committee must be consulted for its recommendation on all faculty personnel actions, and it must keep minutes of its meetings. Rank and tenure committees frequently serve as legislative committees to recommend policies to the University Library Faculty Council respecting faculty appointments and recognition of merit.
  
       b. Department Chairs, Division Heads, or Librarianinistrative Heads 

     Recommendation of the library administrative head will  be forwarded either to the Rank and Tenure Committee or the university librarian, depending on the established order of evaluation in the library.  

       c. Deans and the University Librarian 

     The university librarian receives recommendations from both the Rank and Tenure Committee and the administrative head and may endorse or dissent from them before forwarding his/her 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, the university librarian, 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:

  • to make recommendations to the Faculty Senate relating to criteria for appointment, reappointment, promotion, appointment with tenure, leave of absence, and separation of members of the faculty;
  • to review in terms of the criteria in this Manual and of provisions for exceptions thereto, faculty personnel actions relating to (1) exceptional initial appointment at the rank of instructor or assistant professor; (2) reappointment in rank to the third and fourth, fifth and sixth, and seventh years credited toward tenure and other reappointments outlined in Section 7 of the Faculty Manual; (3) appointment or promotion to the rank of associate professor, professor, university professor, or distinguished professor; (4) termination before the end of the contract period; (5) appointment with tenure; and (6) cases in connection with which the dean of academic affairs or the provost request the Committee's advice;
  • if the Committee finds that it cannot concur with a proposed faculty personnel action, it may either recommend disapproval of the action and forward it to the dean of academic affairs, or request that the dean of academic affairs return the proposed faculty action for reconsideration or amplification through channels to the library;
  • to make recommendations to the Faculty Senate on matters pertaining to faculty interests in the areas of scholarship, research, conditions of work, and other aspects of faculty welfare.

       e. The Dean of Academic Affairs

         The dean of academic affairs, under the direction of the provost, is authorized to act in all faculty personnel matters. The dean of academic affairs must approve all full-time faculty employment commitments in advance of the offer to the prospective faculty member. The dean of academic affairs will give due respect to, but is not bound by, the recommendations of the Committee on Faculty Relations or other faculty committees, department chairs, the university librarian, or deans involved in the faculty action process.
     
       f. The Committee on Faculty Equity and Grievances

     The Committee on Faculty Equity and Grievances is composed of seven tenured faculty members who are elected by the faculty-at-large. Persons identified as resource persons by Article V, Section A under section 50.00.00 of the Academic Regulations, deans, teaching unit chairs or division directors, the university librarian, and Committee on Faculty Relations members are not eligible to serve on this committee.

     The Committee represents the Faculty Senate in matters referred to it by any faculty member, faculty committee, library 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.
 
     g. Faculty Hearing Committee

     The University Faculty Hearing Committee shall be composed of fifteen tenured members of the teaching or library 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.

                                  FACULTY REGULATIONS

         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.
 
8. Faculty Rank: General Conditions of Appointment
 
         a. Full-Time Faculty Ranks

     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

     Regular full-time library faculty ranks are: assistant librarian, associate librarian, and librarian.

         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.
 
           d. Visiting Faculty

     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 or by the university librarian. 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.

     The University Library may offer visiting appointments on the same basis to qualified library and information professionals.
 
       e. In-Residence Faculty

      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, 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, Librarian, Associate Professor, Associate Librarian, Assistant Professor, or Assistant Librarian 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 assistant librarian, associate librarian or librarian, 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.

       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 tenure or tenure track faculty, all other rules, policies, and procedures that relate to the teaching faculty of the university apply.
 
         j. Faculty Fellows

        Occasionally, faculty members or 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.
 
     When a full-time member of the faculty is appointed to an administrative or staff position, it is expected that he/she will retain faculty status, and be entitled to consideration for promotion in rank or an appointment with tenure on the same basis as other full-time faculty members, provided he/she continues to participate in the affairs of the teaching unit, and he/she consents to teach without compensation one regularly scheduled course per twelve-month period. If these conditions are not met, an administrator may forfeit his/her faculty status and tenure in the teaching unit.
 
         Faculty appointments may be made conterminously with an administrative appointment and therefore have no implication of tenure. The same procedures for appointment are those outlined in section 7 of the Faculty Manual.

         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.

           l. Affiliate Faculty

     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 faculty 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.”

9. Qualifications for Specific Ranks
 
         In addition to fulfilling the general criteria for the evaluation of faculty members described in the following section, library faculty must meet specific requirements for each rank in order to be appointed to or promoted to that rank. A statement of these qualifications follows.

         a. Assistant Librarian

Initial appointment to the rank of assistant librarian does not require prior professional experience, but does assume a record which indicates the likelihood of success in a university library environment. Appointment to this rank is dependent upon the librarian’s ability, on an individual and collaborative basis, to apply the fundamentals of librarianship to academic library programs and problems. An assistant librarian is expected to participate in appropriate continuing education and to contribute actively to the general development of the university. After an assistant librarian has obtained one year of credit toward tenure he/she will be expected to demonstrate increasingly successful library service, and to engage in sufficient creative, scholarly, and/or professional activity to indicate the likelihood of continued professional growth.

           b. Associate Librarian

Promotion to the rank of associate librarian assumes at least four years of increasingly responsible professional library experience either in assuming more responsible positions or in exercising individual initiative in enhancing and redefining one’s initial position while making significant contributions to collaborative endeavors. One promoted to this rank will have mastered the skills and techniques of librarianship. In addition, an associate librarian must make significant contributions to the University, library, and professional communities. Evidence of a growing professional reputation in the extra- University community should be provided, such as being asked to deliver a paper, actively participating in a library or related professional association, chairing a Washington Research Library Consortium Committee, editing or compiling a catalog or list for use beyond the library or University, or publishing articles or books.

       c. Librarian

         Promotion to the rank of librarian assumes at least eight years of increasingly responsible professional library experience, an appointment with tenure, and a record which has enhanced the reputation of American University Library within the professional community. This rank is reserved for those who have made distinctive contributions, on an individual and collaborative basis, over a significant period of time to the University, to its library, and to the profession of librarianship. The professional effectiveness of a librarian at this rank will have been consistently superior. There must be a record of continuing achievement in all areas described in the criteria for assistant and associate ranks.

         Promotion to this rank should also entail a superior record of service to the University community, a reputation within the profession, creative and scholarly work, and an in-depth knowledge of research and developments within the profession.

         Occasionally it might also be appropriate to propose a promotion or reappointment action in which some of the requirements set forth above are not present. Such a proposal must be justified on the basis of the exceptional merits of the case.

       d. Adjunct Library Faculty Ranks

         Departments, schools, and colleges may appoint adjunct faculty to supplement the effort of the full-time faculty. Adjunct library faculty ranks are: Adjunct Associate Librarian, Adjunct Librarian, and Distinguished Adjunct Librarian. The qualifications for appointment to adjunct faculty ranks must be germane to librarianship.

         For Adjunct Associate Librarian, 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 performance of library responsibilities.

         For Adjunct Librarian, either the qualifications for the full-time rank of Librarian 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 performance of library responsibilities.

      For Distinguished Adjunct Librarian, either the qualifications for the full-time rank of librarian in Section 9 of this Manual must be shown, or relevant full-time professional responsibility and exceptional achievement. Distinguished service in the library field is also required.

10. General Criteria Used in Evaluation of Faculty Members

         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. The University Library Faculty Council may establish and publish criteria more demanding, if consistent with criteria set forth herein.

         Occasionally the University Library Faculty Council 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 University Library. 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 the University Library be clearly understood by all of its faculty members, the University Library Faculty Council 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 the University Library Faculty Council. 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.

      a. Educational and Professional Background

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 or library 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 or library experience, and discourages the appointment of faculty members whose earned degrees have all been obtained at American University.

     A person appointed as a library faculty member must have earned a master’s degree in library science (which is the recognized terminal degree in librarianship) from an institution accredited by the American Library Association, be familiar with at least one foreign language, and have the qualities and competencies which indicate the ability to contribute significantly toward the realization of the University Library’s role in the educational programs of the University.

         Initial evaluation of a library faculty member for renewal of appointment, for promotion in rank, and for appointment with tenure shall be conducted by the University Library Rank and Tenure Committee. Such evaluations shall be based upon the following criteria:

         b. Effectiveness in Fulfilling Primary Responsibilities

     The quality of the performance of a library faculty member in carrying out his/her primary responsibilities will be the chief criterion for an evaluation.

         Library faculty support the educational mission of the University in many ways, and their primary responsibilities vary depending on their particular positions within the library. They may respond to user information needs by: assisting patrons at public service desks; participating directly in classroom instruction and other types of instruction; selecting, acquiring and organizing library materials to make them accessible to the University community; working closely with teaching faculty in university curriculum development; and ensuring that the library continues to use all appropriate information technology. Some positions include an administrative component. All library faculty members must maintain a current awareness of research and technological advances relevant to their library positions and to a broad understanding of academic librarianship and related disciplines.

         c. Creative, Scholarly, and Professional Development

          The University is committed to support and assist in the development of scholarly research and effective teaching and academic librarianship. 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, reviews of books and other materials, participation as a member of an editorial board, on an accreditation committee, or on a similar body of experts, or participation in responsible positions in regional or national professional organizations, creative production and performance, and other professional activity that demonstrates concern for advancing the faculty member's discipline or interdisciplinary work.

         d. Contribution to the University

         A member of the faculty should actively contribute to the general development of the University. Participation in faculty meetings and committees and in student organizations and activities constitutes such contribution. Use of the faculty member's professional skills and training in public service to local communities, professional and scholarly communities, and society at large is also evidence of contribution to the University.

         In the evaluation of library faculty members and the application of the criteria enumerated above, proper recognition shall be given to the varied nature of the responsibilities which a library faculty member may assume within the University Library.

     Minimal satisfaction of the above criteria does not confer a right to positive personnel action. An outstanding record of creative, scholarly, and professional development and of contribution to the University will not compensate for inadequate or average performance of primary responsibilities.

11. Special Provisions and Procedures for Appointment, Reappointment, and Other Faculty Actions

      a. Terms of Service

          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 or University Library 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 University Library 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.

         The library faculty member’s contract year coincides with the twelve-month academic year. The schedule for evaluating files and notifying library faculty members of personnel actions is the same as the schedule for the teaching faculty. An initial contract of up to twenty-four months may be offered at the recommendation of the University Library Rank and Tenure Committee and/or the university librarian. A library faculty member who is appointed within six months of the end of a contract year will not receive credit toward tenure for the partial year.

          For library faculty, payment for service is in twelve monthly installments.

       b. Reappointment

         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 library and the criteria for particular ranks outlined in Section 9 of this Manual.

         All non-tenured, tenure-track faculty members being recommended for reappointment will be evaluated with respect to the above criteria for appointment. Such an evaluation will also be made for a faculty member with one year of prior service from another institution who is applying for reappointment after an initial two-year contract. 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 teaching unit head, if desirable for any reason relating to the faculty member’s progress toward tenure. Normally, the File for Action will be processed according to the procedures outlined in section 7.

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

         c. Promotion in Rank

           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 or associate librarian, and particularly to the rank of librarian, 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.

         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.

       d. Designation of Special Titles other than Regular Faculty Ranks

         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, university librarian, and Committee on Faculty Relations before action is taken by the provost and president.

         e. Documentary Support for Faculty Personnel Actions: Rights and Responsibilities of Faculty

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

          f. Right of a Current or Prospective Faculty Member to be Informed of Personnel Action Recommendations

            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 library, the administrative head, and the university librarian, as well as by the Committee on Faculty Relations, the dean of academic affairs, and the provost.

     Administrative heads and the university librarian 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.

        g. Schedule of Notice for Appointment or Termination

      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 and library 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 the library of a recommended termination will follow this schedule:

  • no later than January 31 of the first academic year of service if the appointment expires at the end of that academic year;
  • no later than December 15 of the academic year in which the appointment expires after one year of full-time teaching at the University;
  • at least twelve months before the expiration of an appointment after two or more years of full-time teaching or library service at the University.

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 university librarian, who will respond with a status report.

         h. 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 university librarian 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 directly to the Office of the General Counsel.

        i. 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 University Library 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 University Library, subject to the 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 even if the current appointment has not expired.

         1. Adjunct Associate Librarians and Adjunct Librarians are appointed with the approval of the appropriate committee of the University Library, the university librarian, and the dean of academic affairs.

         2. Distinguished Adjunct Librarians are appointed with the approval of the appropriate committee of the University Library, the university librarian, the Committee on Faculty Relations, and the dean of academic affairs.

           j. Resignations

         A faculty member who resigns from the University while under contract must do so in writing to the university librarian, preferably 60 days but not fewer than 30 days before the last day of employment. 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 university librarian 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 university librarian’s office. The university librarian’s office should then forward the resignation letter to the dean of academic affairs and to the Office of Human Resources.

12. Appointment with Tenure

         a. In General

     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, librarian, 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 or serving 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.

          b. Eligibility for Tenure

      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 effectiveness in carrying out primary responsibilities and creative, scholarly, and professional 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.

         i. Minimum Rank

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

           ii. Years of Service: Full-Time Faculty

     To be eligible for tenure, a full-time faculty member must have six years of full-time teaching or library service at the rank of assistant librarian 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.

          iii. Waiver of Prior Service

         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.

           c. Leaves and Accrued Time for Tenure

            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 pre-tenure 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.

        d. Prohibition Against a Concurrent Tenured or Full-Time Appointment at Another Higher Education Institution

      Regular faculty members who are teaching or serving full time at the university may not during the term of their appointment hold a tenured or full-time position on the faculty of another higher education institution.

13. Professional Obligations

           The University expects that during the terms of their contracts faculty members will devote themselves to library service, scholarship, professional activities, and University service in a fashion that is demonstrably full-time by any reasonable standard.

          Library faculty members may accept paid positions as adjunct teaching faculty outside the normal work-week with prior approval of the provost and the university librarian.

          a. Teaching or Primary Responsibilities

In the course of providing library service to the University community, library faculty members are encouraged to assume new projects and additional responsibilities which will broaden the scope of their positions. Such new opportunities should be undertaken with due regard for the research and service obligations incumbent upon library faculty.

          The University recognizes the diverse roles assumed by individual faculty members and encourages teaching units and the library to develop procedures for determining faculty obligations. Such procedures will be used to assure that parity of faculty assignments is achieved within each unit. Deans and department chairs, and library administrative heads, within the framework of these general policies, will make such adjustments upward or downward as are necessary in individual 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 library.

       b. Overload Teaching or Library Service

         The University discourages overload teaching or library service assignments, with or without compensation, throughout the contractual year. 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 assignments must be justified on an emergency basis or in terms of the library’s mission and requires written approval of the faculty member's administrative head, university librarian, and dean of academic affairs. It is recommended that the above-mentioned concern be conveyed to the faculty member at the time of approval.

14. Voting Faculty

           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 emeriti/ae whose principal appointment is with the teaching unit or library. the 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.

15. Leaves of Absence

           a. Justification for Leave

     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:

  • study in institutions of higher learning for the purpose of completing requirements for a higher degree or for post-doctoral study;
  • research, writing, scholarly, and creative activities;
  • teaching or library service as a visiting member of the faculty of another college or university;
  • service in government and other public or private agencies, if such service is clearly related to the assignment or research interests of the faculty member;
  • military service and essential national defense activities;
  • recuperation of health;
  • temporary residence in another area when a spouse's or domestic partner's employment and consequent family considerations require that a faculty member accompany his/her family;
  • family and medical leave
  • annual leave

         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 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.

         c. Types of Leave

A leave of absence may be designated in one of the following ways: leave without pay; leave with partial pay (which is so designated); research leave; sabbatical leave; annual leave; sick leave; family and medical leave; or terminal leave.

         i. Leave Without Pay

         A full-time faculty member who has completed at least one contractual year of service may apply for complete or partial leave of absence without pay by written request to the university librarian describing in detail the purposes and duration of the leave and the activities in which the faculty member will be engaged. Leave without pay applications, and extensions should be submitted by the established deadline and will be processed in the same manner as all faculty personnel actions. If a grant application is unresolved by the deadline for requesting leave without pay, the dean of academic affairs will accept a statement from a faculty member of intent to apply for leave if the grant is forthcoming. The statement of intent must be filed by the announced deadline.

         The University does not make contributions to employee benefit programs of a faculty member on leave without pay. However, the faculty member may continue group insurance benefits by paying the full cost. Retirement plan contributions cannot be made on a tax-deferred basis for a faculty member for whom no salary is being paid by the University. The Office of Human Resources contacts each faculty member who is beginning a leave without pay to notify the individual of the options available. Tuition privileges will be continued, but only in those cases where faculty members certify their intention to return to the University after the leave has terminated. Any exceptions to this general policy must be clearly expressed in writing and approved by the dean of academic affairs.

         A leave without pay is not included either in accrual of service for sabbatical eligibility or as part of pre-tenure service, unless written approval is obtained from the provost prior to the leave. The provost will grant or deny approval, or grant approval of specific conditions, based on his/her determination of the best interests of the University.

      ii. Research Leave

      Faculty members are sometimes presented with a significant scholarly, creative, or professional development opportunity funded by a prestigious award or other notable source outside the University. In such cases, they may be eligible to apply for a research leave. A faculty member on research leave shall be paid by the University a stipend equal to ten percent of the faculty member's pre-research leave base salary. The faculty member must sign the statement of intent to return to the University after the leave has terminated must accompany the application.

         An application for a research leave requires a substantial demonstration of scholarly merit, prestigious recognition, and timeliness. In addition to the review and approval by the university librarian, applications for research leaves require review and approval from the Committee on Faculty Relations before submission to the provost for final action.

     A research leave carries with it accrual of eligibility for promotions in rank, but not for sabbaticals. A research leave normally accrues as part of pre-tenure service consistent with the provisions in section 12.c above. Exceptions must be approved in advance by the dean of academic affairs. During the period of a research leave, the University will continue its contribution to the faculty member's retirement program and other employee benefits, subject to contributions from the faculty member on research leave. FICA, federal, and state taxes are applicable to certain of the University payments and privileges provided for in this section.

        iii. Sabbatical Leave

     A full-time tenured member of the library faculty who has served the University for a period during which six years of full-time faculty service has accrued, excluding periods during which the faculty member is on any other approved types of leave of absence for which there is no accrual of eligibility for sabbatical leave, is eligible for sabbatical leave. Once a member of the Washington Semester Program faculty has served three years on a multi-year contract (See Section 8), he/she is eligible for sabbatical leave under the same terms and conditions as tenured faculty. After the first sabbatical, a member of the Washington Semester Program faculty will be eligible for sabbatical leave on the same timetable as tenured faculty. A library faculty member may apply for sabbatical leave by addressing a written request to the university librarian and by completing the Application for Leave of Absence. The application must outline in detail an educational program which the applicant agrees to follow. This program must be approved by the appropriate departmental, school, or college committee, and the responsible academic officers as feasible and consistent with the applicant's professional responsibilities.

          Sabbatical leave is not granted for the purpose of taking remunerative employment of any sort, without specific justification of such employment as an educational endeavor and approval by the University Library Rank and Tenure Committee, the university librarian, Committee on Faculty Relations, and the dean of academic affairs.

         A sabbatical leave is granted to library faculty for either five or ten months. A faculty member will be paid his/her full budgeted salary during a sabbatical leave of five months or one-half of the budgeted salary during a sabbatical leave of ten months. While on sabbatical leave, the faculty member accrues time towards promotion.

         In unusual cases, a sabbatical leave may be authorized for two summers for faculty members appointed for service on a twelve-month basis. The faculty member on such a sabbatical leave receives his/her usual budgeted salary during two summers and the leave is recorded as a sabbatical leave for one academic session. Such leave is in addition to earned annual leave. The two-summer sabbatical leave is authorized primarily for the benefit of persons with administrative duties which make it difficult to release them for purposes of their own research and study during the fall and spring sessions.

     The fact that a faculty member has fulfilled the stated requirements for a sabbatical leave or that the applicant is strongly supported does not guarantee that the leave can be scheduled at the time preferred by the applicant. The needs of the University as well as budgetary and administrative considerations are important factors in the final determination.

     A sabbatical leave cannot be extended beyond the period for which it was originally granted. A faculty member on sabbatical leave who wishes to extend his/her leave may, however, apply for leave without pay. If that is granted, the faculty member will be subject to all conditions governing such leaves.

     Faculty members who accept a grant of sabbatical leave are obligated not only to pursue the educational program for which the leave was granted but also to continue in the service of the University for at least one academic year following the leave period, unless other arrangements are agreed to by the University.

         After completing a sabbatical leave, a faculty member will not be eligible for another sabbatical leave until he/she has completed another period of six successive years of full-time service, excluding the periods of leave for which there is no accrual of eligibility for sabbatical leave, and after the faculty member has made application in the usual way. An exception may be made in the case of a faculty member who has been requested to defer a sabbatical leave for the convenience of the University. Such a faculty member may be considered for another leave after the expiration of a period of years following the deferred leave calculated by subtracting from six years the number of years by which the sabbatical leave was deferred (excluding other types of leave for which there is no accrual of eligibility for sabbatical leave).

          In order to define clearly the University's position and to protect the interests of faculty members who are asked to defer a sabbatical leave, the provost must approve and confirm agreements for deferral of sabbatical leave for the convenience of the University. Requests should be directed to the provost with documentation, including a statement of the sabbatical leave project of the faculty member and a statement by the university librarian of the reason for deferral.

         Regardless of the total number of years of service, faculty members who elect not to take sabbatical leaves are at no time entitled to other types of leaves or payments in lieu thereof.

       iv. Annual Leave

         A library faculty member earns twenty-one days (day is equivalent to 7 hours) of leave with pay during each year of service. Leaves must be approved in advance, and they must be taken when they will not interfere with the ongoing work of the function unit.

         After five years of continuous service as a library faculty member at the American University, annual leave is earned at the rate of twenty-four days of leave with pay during each year of service.

     Annual leave is not accrued while a library faculty member is on Leave Without Pay or Short-Term Disability.

       v. Sick Leave

         A library faculty member accrues sick leave at the rate of twelve days per year. (Library faculty members appointed prior to July 1, 1976 do not accrue sick leave.)

           vi. Family and Medical Leaves

Please refer to the Faculty/Staff Benefits Manual for details on this type of leave.

          vii. Terminal Leave

         Terminal leave may be provided through agreement between the faculty member and the University or granted as a recognition of service in exceptional circumstances. Whether pay is continued during terminal leave will depend upon the circumstances in which the leave is granted. Exceptionally meritorious faculty who have served the University for a relatively long period of time may be granted terminal leave with pay during the regular academic semester immediately preceding retirement in anticipation of that retirement as an expression of the University's gratitude for past service.

16. Retirement

     Eligibility for participation in the retirement plan is limited to members of the full-time faculty and staff who are at least 24 years old and have completed one year of full-time service at the University or at another 501 (c) institution. Participation in the retirement program is optional.

     The University will assist individual faculty members who wish to retire. Guidelines for the University's retirement incentive policy are reviewed annually by the Committee on Instructional Budget and Benefits and forwarded to the provost for consideration and action. Once approved, the guidelines are distributed to all members of the full-time faculty. The Committee on Instructional Budget and Benefits is empowered to recommend minor adjustments in the policy; substantive changes, however, must have the approval of the full Faculty Senate, the provost and the president. Retirees who meet years-in-service requirements will also be eligible for the Benefit Extension Plan set forth in the Faculty/Staff Benefits Manual.

     Tenured full-time faculty are eligible to apply for phased retirement, which is an appointment with a reduced load, with proportionally adjusted sabbatical leave and other benefits for a fixed period prior to retirement. The dean of academic affairs is the administrator of the Retirement Incentive and Phased Retirement programs.

17. Faculty Grievances

         a. Scope

         In the event that a faculty member may have a grievance against the University or another member of the faculty, it is hoped that such differences can be resolved informally. However, it may become necessary for a faculty member to take formal steps to attempt to resolve the grievance. This section addresses the procedures that a faculty member should use for cases other than non-renewal, non-promotion, or denial of tenure for tenure track appointments.

          While baseless complaints are not to be encouraged, neither should a faculty member be prevented from pursuing a grievance if he/she so chooses. No individual will be penalized, disciplined, or prejudiced for exercising the right to make a complaint or for aiding another individual in the presentation of that complaint. Persons obstructing this grievance process may be disciplined up to and including dismissal.

          b. Timeline

          Each step outlined below should be taken in a timely fashion, generally not to exceed three weeks, except when the University is not in fall and spring sessions.

            c. Informal Resolution

          Ordinarily, faculty members should try to resolve grievances through discussions with the responsible administrative officer or colleague. For example, if a faculty member has a grievance with respect to the library’s action, the faculty member should attempt to resolve the matter through discussions with the administrative head. If it is the library’s action, the faculty member should discuss the matter with the university librarian. The administrative officer may then consult with the other individuals or groups involved in the matter. If the grievance cannot be resolved with the responsible administrative officer, the faculty member should then proceed upward through the chain of authority. If the grievance remains unresolved, then the faculty member may seek assistance from the Committee on Faculty Relations. If these informal means do not result in an agreement, then the faculty member may file a grievance with the Committee on Faculty Equity and Grievances.

       d. Handling of Grievances by the Committee on Faculty Equity and Grievances

      i. Filing of Grievance

         When a faculty member has exhausted the informal resolution process as set forth above, the grievant may file a formal written grievance. The formal written grievance should consist of the grievant's written statement and relief sought, all documents and decisions made during the informal resolution process, the name and telephone number of the grievant, and a preliminary list of individuals who may be relevant to the formal hearing process. The date of receipt of the formal written grievance by the chair of the Committee on Faculty Equity and Grievances establishes the "grievance date.” The Committee chair should note the grievance date for all parties. When presented with a grievance, the Committee on Faculty Equity and Grievances may seek an informal resolution before proceeding to formal hearings. When the Committee decides that a formal hearing is to be held, the procedure set forth below will be implemented:

        ii. Hearing Process

          a. A date for the formal hearing will be established by the chair and all persons directly concerned. The Committee will make available to persons directly concerned all materials in the Committee chair's file on the grievance. All persons directly concerned will be advised of the time and place at which the hearing is to be held.

          b. Extensions of time or rescheduling may be granted by the chair for good cause provided that the extension shall be added to the grievance date in calculating any subsequent due dates established for this process.

      c. If the grievant fails to appear at the hearing without good cause, the case will be dismissed with prejudice. For this purpose, only circumstances beyond the grievant's control which prevented his/her attendance at the hearing will constitute good cause.

     d. If the responding party fails to appear at the hearing, the case will proceed in his/her absence.

         e. Any party to the grievance under consideration will be given an opportunity to be heard by the full Committee on Faculty Equity and Grievances. The faculty member may have with them at all times a counsel of his/her own choosing. The Committee may invite other persons from within or without the University to give testimony relevant to the case, and either party to the grievance may request that the Committee invite such persons.

          f. A complete and verbatim record of the hearing will be kept. At the conclusion of the hearing, the full record, together with any documents or other materials which have been introduced during the hearing, will be made available to the parties principally concerned. These parties may file written closing statements, based on a study of the record, with the chair of the Committee on Faculty Equity and Grievances. Copies of any closing statements received will be transmitted by the chair to the Committee and to the other principals, and the chair will accept rebuttals to the closing statements during a specified period of time. Any Party to the grievance may file a closing statement with the chair.

         g. After an opportunity has been given to the parties concerned to review the record of the hearing, to submit closing statements, and to make rebuttals to the closing statements of others, the Committee on Faculty Equity and Grievances will deliberate in executive session and prepare its report.

      h. The Committee will deliver a copy of its final grievance report to the provost and to the parties, and to no other persons.

          i. Before, during, and after any hearings by the Committee on Faculty Equity and Grievances, all persons directly or indirectly involved in the case are requested not to discuss the matter at issue or to express any opinions about it. If it appears desirable that any public statement be made about the case prior to the release of the Committee's Final Grievance Report, such a statement should be made only by the Chair and should be limited to what the Committee has authorized him/her to say.

      j. Upon receipt of the report, the provost will issue a statement to the Committee on Faculty Equity and Grievances and to the parties indicating the action which will be taken by the University, and, if the action is at variance with the Committee's recommendation, the reasons for such action.

      k. In any grievance or charge of violation of due process against the provost, he/she will recuse himself/herself, and the Committee on Faculty Equity and Grievances will deliver its final grievance report, after formal hearings, to the president and the parties, and to no other persons. Similarly, when the provost has been substantially involved in negotiations to resolve a grievance, he/she will recuse himself/herself if the case still requires a formal hearing, and the Committee on Faculty Equity and Grievances will deliver its report to the president and to the parties. The president shall issue a statement to the Committee on Faculty Equity and Grievances, to the parties, and to the provost indicating the action which will be taken by the University, and, if the action is at variance with the Committee's recommendations, the reasons for such action.

               l. The final record of the grievance, including the formal grievance, the transcript or recording, and documentary evidence, final or rebuttal statements of the parties, the final grievance report and the provost's or president's statement will be retained by the Office of the Provost for four (4) calendar years from the grievance date.

18. Appeal Procedures for Recommendations or Final Action involving Non-Renewal, Non-Promotion or Denial of Tenure for Tenure Track Appointments

          If a faculty member has a grievance with respect to a recommendation or final action regarding non-renewal, non-promotion, or denial of tenure for a tenure track appointment, the following procedures apply:

          a. If a faculty member disagrees with the recommendation of the library rank and tenure committee, or administrative head, the faculty member should place a written statement in his/her file for action responding to the recommendation. The faculty member should be given one week to provide this written response before the file is forwarded to the university librarian.

          b. If a faculty member disagrees with the recommendation of the university librarian, the faculty member should place a written statement in his/her file for action responding to the recommendation. The faculty member should be given one week to provide this written response before the file is forwarded to the Committee on Faculty Relations.

          c. If a faculty member disagrees with the recommendation of the Committee on Faculty Relations, the faculty member should place a written statement in his/her file for action responding to the recommendation. The faculty member should be given one week to provide this written response before the file is forwarded to the dean of academic affairs.

      d. If a faculty member disagrees with the final action of the provost or dean of academic affairs, the faculty member may appeal to the Committee on Faculty Equity and Grievances, which present its findings to the president. If a faculty member disagrees with the final action of the provost or dean of academic affairs, the faculty member may appeal to the Committee on Faculty Equity and Grievances, which will present its findings to the president. The request for an appeal must take place within three weeks of the decision by the provost or dean of academic affairs. A faculty member may file an appeal for the following reasons: 1) improper procedure in handling of the grievance which adversely affected the faculty member, and 2) new, relevant, and material evidence unavailable to the faculty member at the time of the original submission which may tend to change the final outcome. The review will be based on the original file for action and the faculty member's written appeal. After receiving the report of the Committee on Faculty Equity and Grievances, the president may meet with the faculty member or other persons if the president considers it necessary. The president will approve, reject, or amend the provost's decision. The president must state the grounds for his action in writing to the grievant, the Committee on Faculty Equity and Grievances, and the provost. The president's decision is final. 

19. Disciplinary Procedures

           a. Scope

           Unfortunately, from time to time, a faculty member may be disciplined for incompetence, misconduct, or conviction of a felony. Disciplinary sanctions may include, but are not limited to reprimand, suspension, or dismissal. The University may terminate an appointment with continuous tenure or of a probationary or special appointment before the end of the specified term for adequate cause shown. Adequate cause for dismissal will be related, directly and substantially, to the fitness or performance of the faculty member in his/her professional capacity as a librarian, teacher, researcher, or creative member of his/her professional field.

         b. Concurrent Grievance Proceedings

Where there is a concurrent or pending related grievance action, the disciplinary action will be consolidated with the grievance action and both the disciplinary and grievance actions will be heard together by the Hearing Panel (section 19eii). The disciplinary procedures will govern the handling of both the grievance and the disciplinary matter in these situations.

           c. Timeline

Each step in the informal and formal resolution process should be taken in a timely fashion, generally not to exceed three weeks, except when the University is not in fall and spring sessions.

       d. Informal Procedures

     Where the University proposes to discipline a faculty member, the faculty member must be notified of the charges by the university librarian and be given an opportunity to respond. Should informal discussion between the faculty member and the university librarian fail to produce a mutual settlement, the university librarian shall request the Committee on Faculty Relations to seek informal resolution of the matter. The university librarian shall provide the faculty member with a copy of the request. Should informal discussion with the Committee on Faculty Relations fail to reach a resolution, the university librarian may request a formal hearing before the Faculty Hearing Committee.

        e. Procedures for Hearings Before the Faculty Hearing Committee for Termination with Cause and Other Major Sanctions

                 i. Filing of Statement of Charges

The university librarian will inform the provost, who will then submit a formal statement of charges, framed with reasonable particularity, to the Faculty Hearing Committee.

                 ii. Hearing Panel

           A matter forwarded to the Faculty Hearing Committee for formal hearing shall be heard by a panel consisting of five members of the Hearing Committee selected at random by lot. The panel will select one of its members to serve as chair. Members deeming themselves disqualified for bias or conflict of interest will remove themselves from the case, either at the request of a party or on their own initiative. Each party will have a maximum of two challenges without stated cause. The Faculty Hearing Committee will replace any member so disqualified in the same manner as the original selection process.

When a hearing panel considers a disciplinary matter or receives a grievance, it has the prerogative to attempt informal resolution before proceeding to formal hearings. If the hearing panel cannot resolve the matter informally, then it will schedule a formal hearing. The following general hearing provisions will apply:

                a. The hearing panel may modify these procedures if necessary for the fair and expeditious administration of these proceedings.

            b. The hearing panel shall conduct a pre-hearing session with the parties to simplify the issues, effect stipulations of facts, provide for the exchange of documentary or other information, and achieve such other appropriate pre-hearing objectives as will make the hearing fair, effective, and expeditious.

            c. The chair of the hearing panel shall notify all concerned parties of the time and place of the hearing. Notice of the hearing must be in writing and made at least three week prior to the hearing.

            d. Extensions of time or rescheduling requests by parties may be granted by the chair for good cause.

            e. At the minimum, there must be a quorum of the hearing panel for a hearing to proceed. A quorum of the hearing panel ordinarily means a majority of the members. In a disciplinary matter, a full hearing panel must hear the case.

                 f. All hearings are closed to the public. The grievant or accused faculty member may request that the hearing be public. Ordinarily, the hearing panel will honor such requests unless there are overriding interests to have the hearing closed. (e.g., to protect the identity of a sexual harassment victim). Even in a public hearing, the hearing panel may limit the number of observers based on the physical limitations of the hearing room. The hearing panel, at its sole discretion, may also remove observers or participants in the hearing who are disruptive to the process.

                 g. The panel may invite persons from within or without the University to give testimony relevant to the matter, and either party to the matter 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. The parties shall have the right to cross-examine all witnesses.

                  h. The accused faculty member may receive assistance of counsel of her/his choosing and at his/her cost.

                  i. The hearing panel should be provided with independent counsel. The Office of the General Counsel shall be responsible for providing such counsel.

              j. The hearing panel is not bound by strict rules of legal evidence, and may admit any evidence which is relevant and material.

              k. A complete and verbatim record of the hearing will be kept. At the conclusion of the hearing, the full record, together with any documents or other materials which have been introduced during the hearing will be made available to either party for copying at the requesting party's cost. These parties may file written closing statements, based on the record, with the chair of the hearing panel. Copies of any closing statements received will be transmitted by the chair to the other principals, and the chair will accept rebuttals to the closing statements during a specified period of time determined by the hearing panel.

                l. After an opportunity has been given to the parties concerned to review the record of the hearing, to submit closing statements, and to make rebuttals to the closing statements of others, the hearing panel will deliberate in closed session and prepare its report.

               m. The decision of the hearing panel will be by majority vote and will be forwarded as recommendations to the president. The chair of the hearing panel will also deliver copies of its report to the faculty member and the provost.

                n. The president may approve, reject, or amend such findings and recommendations. The president may also remand the report to the hearing panel with specific instructions for reconsideration. The hearing panel shall then review the matter in light of such instructions, holding additional hearings and receiving new evidence and testimony, as necessary, and rendering a decision in the same manner as before. Only after study of the reconsidered decision of the hearing panel may the president make a final decision. The president must state the grounds for his/her action in writing to the hearing panel and the faculty member. The president's decision is final in all cases, except as provided for below.

                  o. Before, during, and after any hearings, all persons directly or indirectly involved in the case are requested not to discuss the matter at issue or to express any opinions about it. If it appears desirable that any public statement be made about the case prior to the completion of its work, such a statement should be made only by the chair and should be limited to what the Committee has authorized him/her to say.

              p. The final record of the case will be retained by the Office of the Provost for four calendar years.

              q. The faculty member may be suspended by the provost or assigned to other duties during the pendency of the case. Suspension will be used in cases where the University deems that there is potential immediate harm to others if the faculty member continues in his/her current duties.

                   r. The accused faculty member may waive the hearing or respond to the specific charges in writing at any time before the hearing. In the event the faculty member waives the hearing, but denies the charges or asserts that the charges do not support a finding for the disciplinary action, the panel will decide its case based on the evidence in the record.

               s. If the accused faculty member fails to appear at the hearing, the hearing will proceed in her/his absence.

               t. If the provost or designee fails to appear at the hearing without good cause, the case will be dismissed with prejudice. For this purpose, only circumstances beyond the provost's or designee's control which prevented his/her attendance at the hearing will constitute good cause. The hearing panel will decide its case based on the evidence in the record.

              u. The burden of proof that adequate cause for dismissal exists rests with the University and shall be satisfied only by clear and convincing evidence in the record as a whole.

          f. Appeal Procedures for Dismissal Actions

A faculty member may appeal a disciplinary dismissal action to the Executive Committee of the Board of Trustees (Executive Committee) only for the following reasons: 1) improper procedure in the handling of the disciplinary process which adversely affected the faculty member; 2) new, relevant, and material evidence unavailable to the faculty member at the time of the original hearing which may tend to change the outcome of the hearing; or 3) the disciplinary action is not commensurate with the findings of the hearing panel or president. The appeal will be reviewed by the Executive Committee and the review will be based on the record and the faculty member's written appeal. The Executive Committee may meet with the faculty member or other persons if it considers it necessary. The Executive Committee may approve, reject, or amend such findings and recommendations. The Executive Committee must state the grounds for its action in writing to the panel, president, and faculty member. The Executive Committee's decision is final.

          g. Procedures for Imposition of Sanctions other than Dismissal

If the provost believes that the conduct of a faculty member, although not constituting adequate cause for dismissal, is sufficiently grave to justify imposition of a major sanction, such as suspension from service for a stated period, the provost may institute a proceeding to impose such a major sanction pursuant to the procedures outlined in Section 19e of this Manual.

         If the provost believes that the conduct of a faculty member justifies the imposition of a minor sanction, such as a reprimand, the provost shall notify the faculty member of the basis of the proposed sanction and provide him/her with an opportunity to persuade the provost that the proposed sanction should not be imposed. A faculty member who believes that a minor sanction has been incorrectly imposed under this paragraph may petition the Committee on Faculty Equity and Grievances for such action as may be appropriate.

         h. Terminal Salary or Notice

If the appointment is terminated, the faculty member will receive salary or notice in accordance with the following schedule: at least three months, if the final decision is reached by January 31 (or three months prior to the expiration) of the first year of probationary service; at least six months, if the decision is reached by December 15 of the second year (or after nine months but prior to eighteen months) of probationary service; at least one year, if the decision is reached after eighteen months of probationary service or if the faculty member has tenure. This provision for terminal notice or salary need not apply in the event that there has been a finding that the conduct justifying dismissal involved conviction of a felony.

20. 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 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 with the president and 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 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’s recommendation is at variance with the recommendation of the Faculty Senate and the Committee on Instructional Budget and Benefits, 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 university librarian and the Faculty Senate and the Committee on Instructional Budget and Benefits, when recommending 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 11 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.

         With faculty participation, the University 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 will 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 19 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 will be heard within thirty days by a panel consisting of five members of the hearing committee selected at random by lot. The panel will select one of its members to serve as chair. Members deeming themselves disqualified for bias or interest will 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 will replace any member so disqualified in the same manner as the original selection process.

         The panel chair will 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 will 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:

  • 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.
  • 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.
  • 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 will 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 no more than ten days following the conclusion of the hearing, the committee will prepare findings and a 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, will 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 therefor.

         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.

21. 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 relatives2 or who have a personal living relationship should not participate in the decision of any 2 A relative means a person who is related, such as a father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, niece, husband, wife, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepsister, stepbrother, half brother, half sister, grandparents, grandchildren, or any person an individual has responsibility to support as a dependent. 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.

         Service at another college or university at any time requires advance written approval of the university librarian 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 library faculty member’s work week. Special arrangements may be made if an unusual consulting opportunity becomes available to a library faculty member, provided that normal library operations can be maintained. There are many types of consulting relations and fee arrangements, and the precise form entered into is not determinative. The principle is that, in consulting, a faculty member agrees to use his/her professional capabilities to further the agenda of a third party for a significant immediate or prospective gain.

         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 regional or 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 university librarian 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 4 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 university librarian 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 or spring sessions.

         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 19e.

     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 19.

In either case, the provost's decision is final.

        e. Violations of Scholarly and Research Integrity3

      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 or 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 19e.

      If the dean of academic affairs or his/her designee concludes that the complaint is not supported by sufficient evidence, he/she 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 19.

         In either case, the provost's decision is final. 

22. Miscellaneous Provisions

           a. Graduate Study by Faculty

         Further details on this issue can be found in the Principal Investigator’s Handbook, Attachment II-D. Faculty members are not permitted to begin a degree program in the school or department in which they hold an appointment.

       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 chair 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 the faculty member's 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.