Chapter 4: Instruction

Policy on Quality Instruction

Section 1: Faculty Teaching Assignments

1.1 Teaching Loads
1.2 Minimum Class Size Guidelines

Section 2: Expectations for Faculty

2.1 Responsibilities of Faculty Members Conducting Classes
2.2 Textbooks and Instructional Materials
2.3 Academic Contingency Policies
2.4 Retention of Exams by Faculty
2.5. Evaluation of Teaching
2.6 Academic Regulations

Section 3: Expectations for Students

3.1.Policy on Class Attendance
3.2 Policy on Classroom Behavior
3.3 Code of Student Discipline
3.4 Policy on Campus Speech and Demonstration

Section 4: Examinations

4.1 Policy on Undergraduate Examinations
4.2 Policy on Number of Final Exams in One Day
4.3 Retention of Exams by Faculty

Section 5: Grading

5.1 University Grade System
5.2 Grade Submission Policy
5.3 Posting Grades
5.4 Faculty Policy on Assigning Grades of Incomplete
5.5 Faculty Policy on Grade Changes

Section 6: Academic Honesty

6.1 Academic Honesty Code
6.2 Academic Honesty Resources for Faculty

Section 7: Student Grievances

7.1. Student Academic Grievance Policy

Section 8: The Graduate School

8.1 The Graduate Council
8.2 The Graduate Faculty

A. Introduction
B. Graduate Faculty Membership
C. Nomination and Review of Graduate Faculty Candidates
D. Periodic Review of Department Plans

8.3 Graduate School Policies

Introduction: Policy on Quality Instruction

The Board of Trustees views the instruction of students as the foremost activity of Auburn University. It is proud of the outstanding levels of quality achieved throughout the institution in preparing graduates to enter the professions, graduate programs and leadership positions in all walks of life. To underscore and support this process, the Board identifies those characteristics that it views to be central to the teaching/learning process.

Class sizes, particularly at the freshman and sophomore levels, should be sufficiently small to provide for individual student attention and opportunity for free exchange of ideas.
Faculty teaching loads should not be so burdensome as to preclude the availability of faculty for individual or small-group counseling, advising, and informal discussion with students
Early in their Auburn career, all students should have opportunity for exposure to the University's best scholars. Senior faculty should have some teaching responsibility at the lower division level.
Particular care should be exercised to assure that those who have classroom instructional responsibility possess strong communication skills.
Innovative teaching approaches should be encouraged. To foster creativity in the instructional arena, a "learning center" should be organized to assist any faculty member who may desire its use. Junior faculty should be supervised carefully to assure that support is provided as needed.
The curriculum should reflect a desire that graduates be effective in written and oral communication skills and reasoning skills, as well as being well founded in the major discipline.
There should be an honors program and other similar opportunities developed for the exceptionally talented and curious student.
Outstanding teaching will be recognized and rewarded.
The Board supports a regular, validated, and effective faculty evaluation system that relies upon student, peer, and administrator input. Such a program should have performance improvement as its primary goal.
The Board will strive to provide adequate operating budgets, so that support materials are available to enhance the teaching/learning process.

Teaching is a dynamic and complex activity, and learning is an individual process. The Board of Trustees recognizes that a wide variety of teaching methods are available and that no singular approach is superior to others – that circumstances dictate the style most appropriate. The Board recognizes and congratulates the faculty and administration on their ability to attract high quality students to Auburn. By endorsing this statement, the Board desires that faculty, department heads/chairs, and deans be aware of its interest in and support of their dedicated efforts to offer Auburn students the highest possible quality of instruction.

Section 1
Faculty Teaching Assignments

1.1 Teaching Loads

The University recognizes the impossibility of creating a "teaching load" formula that would be applicable to the complex academic programs embraced by the various colleges, schools and departments. Considerable flexibility is given to the individual department head, in consultation with the dean, in assigning faculty workloads to meet the department's instructional, research, and public service commitments. Faculty workloads are regularly reported to the Provost and are utilized by the Central Administration of the University in budgetary management of the academic program.

Although there is no set teaching load formula at the University level, normally every attempt is made to give appropriate reduction in the classroom assignments of those faculty significantly engaged in research, graduate teaching, the direction of graduate student theses, or University service. Such reduction should be applied equitably to all eligible faculty. However, the University believes it is important that senior faculty who have distinguished themselves through research and publication be directly involved in undergraduate teaching.

1.2 Minimum Class Size Guidelines

Number of graduate/undergraduate registrants needed to offer a course with dean approval
http://www.auburn.edu/academic/provost/policies/Minimum_Class_Size_Guidelines.html

Section 2
Expectations for Faculty

2.1 Responsibilities of Faculty Members Conducting Classes

Auburn University recognizes that the classroom experience represents something of a partnership between student and professor. For the partnership to be successful, each has a right to expect certain things of the other: just as the professor may expect students to meet their responsibilities which he or she has made explicit on such matters as instructional objectives and evaluation procedures, so the student should expect the professor to meet his or her obligations also. The University believes that each faculty member in conducting classes should exhibit high standards of professional behavior through his/her scholarship, personal integrity, and enthusiasm for the profession of teaching.

More specifically, each professor has a responsibility to himself or herself and to his or her students:

To state, in writing at an early meeting of the class, specific course objectives and the manner in which they are to be attained.
To exercise care in the organization and presentation of all materials toward the end of achieving the stated instructional objectives.
To state, in writing at an early meeting of the class, grading and evaluation procedures, including:
1. the grading system and method of determining the final grade;
2. the relative importance of assigned papers, quizzes, examinations, class preparation, and participation;
3. the approximate schedule for examinations (other than the final exam); and
4. the policy on unannounced quizzes.
To arrive promptly at all scheduled classes. If absence is anticipated, the class should be informed in advance of contingency arrangements.
To maintain regular, posted office hours each week for conferences with students.
To grade and return examinations within a reasonable period of time.

2.2 Textbooks and Instructional Materials

Textbook orders for each instructional semester are placed with the Auburn University Bookstore and the private book stores in the city of Auburn through a University-wide system. Individual faculty orders are secured at the departmental level (on a specially prepared adoption form) and sent directly to local bookstores. Faculty are asked to cooperate fully in placing their orders well in advance and to utilize the University system, which is devised to ensure that textbooks will be available to students at all book stores and that instruction will not be impeded during the early part of the semester because texts are not available.

Faculty involvement in the writing or editing of textbooks published and marketed through national or regional publishing houses is regarded by the University as a legitimate and praiseworthy form of scholarly activity. At times, however, faculty members may wish to develop instructional materials for local use in their own classrooms. These nontraditional, duplicated packets or booklets of materials may be used supplementary to or in place of traditional textbooks.

The Auburn University Bookstore, working directly with the faculty member, obtains copyright clearance for duplication of all requested materials in advance of distribution. The AU Bookstore then reproduces, binds, and distributes the instructional material at cost plus overhead with no profit or revenue accruing to either the department or the faculty member. This system ensures that Auburn University and Auburn University faculty are not illegally using copyrighted material and exposing the University to liability and embarrassment. University endorsement has also been given to a procedure whereby individual faculty members, with the approval of their department heads/chairs, may arrange to have manuscripts for classroom use printed (only after obtaining copyright clearance) and sold by commercial duplicating services exterior to the campus.

Faculty shall refrain from selling textbooks or instructional materials directly to the students. Such practices are questionable financially and ethically.

Selection and production of instructional materials by faculty is essential to providing quality instruction. The freedom to choose instructional materials is central to the principle of academic freedom. Auburn University encourages faculty to publish instructional materials through reputable publishers that are marketed and used nationally. If such materials produced by a faculty member are appropriate for use in the faculty member’s classes and if the sale of such materials produces financial gain for the faculty member or his immediate family, faculty may (a) assign the material and choose not to accept financial gain that might result from royalties or other income generated by the sale of such materials by students enrolled in the faculty member’s class, or (b) turn the decision for selecting teaching materials over to an alternate responsible entity (e.g. a department chair or a departmental committee) qualified to determine if the materials are appropriate. Each department will develop a methodology for identifying the alternate responsible entity.

The production of instructional materials such as workbooks, answer sheets, or custom texts intended for use either exclusively or primarily at Auburn University shall be considered part of the faculty member’s assigned duties. It is expected that such shall be provided to the student at departmental or university expense, or at most, the cost of reproduction through a commercial reproducer.

2.3 Academic Contingency Policies

Provisions for individual faculty, departments and colleges to maintain the instructional mission of the university in response to faculty absence and other emergencies
https://sites.auburn.edu/admin/universitypolicies/Policies/AcademicContingencyPolicies.pdf

2.4 Retention of Exams by Faculty

Final examinations or similar evaluative material that has not been returned by faculty members should be retained by faculty members until the first day of the third semester after the final grade has been assigned.

2.5 Evaluation of Teaching
(See Also Chapter 3, Section 7, “Evaluations and Reviews”)

The University views the evaluation of teaching as an on-going process which relies on multiple assessment measures, including, at a minimum, both peer evaluations and data from student ratings of teaching effectiveness, gathered by means of the University’s standard survey instrument or an equivalent survey instrument. This policy mandates the collection of student-generated data on a regular basis, but these data are not to be used as the only mechanism to rank-order faculty, the data must not supplant other ongoing methods of teaching evaluation, and the data should be only one of several forms of teaching information gathered on a regular basis to assess teaching effectiveness.
The purposes of gathering student evaluations are

To assist individual instructors in improving their own teaching.
To assist academic administrators in counseling instructors about their teaching.
To assist faculty in reviewing the overall educational value and effectiveness of the course.
To provide input in judging the teaching component in tenure, promotion and salary determinations.

Administrative procedures for the survey are explicit and uniform. Surveys are to be administered anonymously, using the University instrument or an equivalent instrument. Colleges/schools, departments, and faculty members may use additional evaluation materials in addition to, or in lieu of, the University’s survey but must collect anonymous free-response comments from students.

University-sponsored survey instruments used to collect student evaluations of teaching effectiveness should have 8-10 questions, with at least one free-response question, and may have no more than 15 questions. The Teaching Effectiveness Committee of the University Senate will provide 8-10 broadly applicable survey questions for general use. Colleges and Departments, in consultation with representative faculty, may change this survey instrument as needed and are responsible for determining the reporting of relevant results.

Results of student evaluations may not be disclosed to faculty members before graduation for the semester. Faculty members may not contact individual students at any time to discuss survey responses or comments.
The instructor and relevant Department Chairs, or others so designated by the department (e.g., Course Coordinators), will receive the results of the evaluation after graduation that semester. These results will include any free-response comments received from the students by means of the survey instrument. Further administrative procedures related to the collection and processing of completed survey forms may be announced from time to time by the Provost’s Office.

Data drawn from student evaluations along with other assessments of teaching will be used in the yearly review of each faculty member by his or her department head/chair, in the third year review by the department, and in review for promotion or tenure by the department, and by the school/college and University-level promotion and tenure committees. In addition, at least annually the academic dean and the Provost receive summary student teaching evaluation data about each department without identifying faculty information.

Faculty and the various departments are urged to employ additional measures of teaching effectiveness. Possibilities include alumni assessments, employer assessments of matriculated students, evaluations from persons or organizations external to the University for which the faculty member consults or provides instructional services of some kind, and administrator assessment of performance. An important method of assessment is evaluation by professional colleagues.

Peer evaluations, mandated by the Board of Trustees, may be achieved in a variety of ways. Faculty members and/or departments should develop an appropriate peer evaluation strategy or strategies.

Evaluation by professional colleagues might include the following:

Evaluation of the faculty member’s syllabi, tests, handouts, and other materials used in class.
Evaluation of the faculty member’s preparation of students for subsequent courses in the field.
Evaluation of the faculty member’s work in a team teaching situation by his or her partner.
Comparison of the faculty member’s work with that of others teaching the same course.
Observation of the faculty member’s classes.
Evaluation of a portfolio developed by the faculty member in which he or she presents him or herself as a teacher. The portfolio might include a general statement on teaching philosophy; syllabi with detailed information on course content and objectives, teaching methods, reading and homework assignments, and student evaluation procedures; materials that show the extent of student learning, such as scores on standardized tests taken before and after the course, term papers and laboratory manuals, and work from the best and poorest students; a list of courses taught with enrollment and grade distributions; etc.

To further confirm the University’s concern for quality instruction and instructional programs, the Teaching Effectiveness Committee, the Curriculum Committee and the Core Curriculum and General Education Committee have been established. These committees are charged with carrying out a process of continuing evaluation and enhancement of instructional programs and evaluation of proposed changes in the curriculum.

2.6 Academic Regulations

Faculty members are expected to know and observe the University’s academic regulations. The publication, the Student Policy eHandbook, elaborates on many of these regulations.

Section 3
Expectations for Students

3.1 Policy on Class Attendance

Students are expected to attend all their scheduled classes. College work requires regular class attendance as well as careful preparation. Specific policies regarding class attendance are the prerogative of individual faculty members. Faculty shall inform each class in writing at the beginning of the course regarding the effect of absences on the determination of grades.

The student is expected to carry out all assigned work and to take examinations at the class period designated by the instructor. Failure to carry out these assignments or to take examinations at the designated times may result in an appropriate reduction in grade, except as provided in paragraph 4 below.
Instructors shall determine the policy regarding grading which they feel is best for the course. This policy shall be presented to the class, in writing, at the beginning of the term and will govern the actions of the instructor in the course.

Arrangement to make up missed major examinations (e.g. hour exams, midterm exams) due to properly authorized excused absences (as defined by the Student Policy eHandbook) shall be initiated by the student within one week from the end of the period of the excused absence. Normally, a make-up exam shall occur within two weeks from the time that the student initiates arrangements for it. Instructors are encouraged to refrain from giving make-up examinations during the last three days prior to the first day of final examinations. The format of make-up exams and opportunities for students to make up work other than major examinations are at the discretion of the instructor whose make-up policies should be stated in writing at the beginning of the term. Instructors are expected to excuse absences for:

Illness of the student or serious illness of a member of the student’s immediate family. The instructor may request appropriate verification.
The death of a member of the student’s immediate family. The instructor may request appropriate verification.
Trips for members of the student organizations sponsored by an academic unit, trips for university classes, and trips for participation in intercollegiate athletic events. When feasible, the student must notify the instructor prior to such absences, but in no case more than one week after the absence. Instructors may request formal notification from appropriate university personnel to document the student’s participation in such trips.
Religious holidays. Students are responsible for notifying the instructor in writing of anticipated absences due to their observance of such holidays.
Subpoena for court appearance.
Any other reason the instructor deems appropriate.

Additional Class Attendance Stipulations

If the instructor does not appear within 20 minutes after the designated class hour, it may be assumed the class is canceled.
It is university policy that all classes will meet as scheduled on the last day before and the first day after holiday periods designated by the university.
Unresolved problems regarding class attendance or procedures should be referred to the University Student Academic Grievance Committee.

3.2 Policy on Classroom Behavior
Introduction

1. The goal of Auburn University and its faculty and students is to foster a dynamic environment of higher learning where all students develop analytical skills, learn to think critically and communicate effectively, promote inquiry, pursue knowledge, and prepare for productive careers. Behavior in the classroom that impedes teaching and learning and creates obstacles to this goal is considered disruptive and therefore subject to sanctions. The purpose of these sanctions is to create and protect an optimum learning experience; they should not be considered punitive, neither by the student nor by the instructor.

Disagreement expressed in a civil fashion, eccentricity, idiosyncrasy, and unconventional behavior are not, per se, disruptive to the classroom experience. These sanctions are intended only to preserve the classroom as a place to pursue knowledge, exchange ideas, and share opinions in an atmosphere of tolerance.

Students have the responsibility of complying with behavioral standards. Faculty members have a professional responsibility to set reasonable limits on the expression of opinions while treating students with dignity, respect, and understanding while guiding classroom activities. At the classroom level, clear guidelines for behavior and early intervention are the foundation for an intellectually stimulating experience for students and instructors alike. Instructors are encouraged to include in their syllabi guidelines for classroom behavior. Instructors who state these guidelines early and enforce them at the first appearance of disruptive behavior prevent minor episodes of classroom misconduct from escalating into serious confrontations and help transgressors to avoid the more serious consequences of such actions. Examples of improper behavior in the classroom (including the virtual classroom of e-mail, chat rooms, telephony, and web activities associated with courses) may include, but are not limited to, the following:

1.1. Arriving after a class has begun;
1.2. Use of tobacco products;
1.3. Monopolizing discussion;
1.4. Persistent speaking out of turn;
1.5. Distractive talking, including cell phone usage;
1.6. Audio or video recording of classroom activities or the use of electronic devices without the permission of the instructor;
1.7. Refusal to comply with reasonable instructor directions;
1.8. Employing insulting language or gestures; and
1.9. Verbal, psychological, or physical threats, harassment, and physical violence.

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Policy

2. When confronted with disruptive, but non-threatening behavior, the instructor should issue a general word of caution to the class as a whole rather than to a particular student so as not to exacerbate the problem.

2.1. If a general caution directed to the entire class does not stop the disruptive activity, the instructor should endeavor to meet in private with the disruptive student. The resulting discussion should include a description of the problem, the reason it is disruptive, and the consequences of continued violations of classroom behavior guidelines.

2.2. If the disruptive behavior is preventing further instruction, the instructor is authorized to ask the disruptive student to leave the class immediately for the remainder of the class session. Removal from the classroom more than one class period, for an extended period, or on a permanent basis normally requires the instructor to file charges of a violation of the Auburn University Discipline Code with the Vice President for Student Affairs. The department head/chair or dean may negotiate a withdrawal from the course or a transfer of the disruptive student to a different course section or course, if, in his or her opinion, a different instructor and different classmates would diffuse the situation and provide the disruptive student with a new learning opportunity.

2.3. If threats have been made or physical violence is imminent, the instructor should notify the Auburn University Department of Public Safety immediately. The instructor should also notify the course department head/chair or dean promptly, followed by a memo to the department head/chair or dean.

3.3 Code of Student Discipline

Conduct expected of students; procedures for filing and processing alleged violations of the Discipline Code; hearings; sanctions that may be imposed; rights of those accused and those charging a violation
https://sites.auburn.edu/admin/universitypolicies/Policies/CodeofStudentDiscipline.pdf

3.4 Policy on Campus Speech and Demonstration

Regulations controlling time, place and manner of public speeches and demonstrations on campus; procedures for approvals and scheduling
https://sites.auburn.edu/admin/universitypolicies/Policies/PolicyonCampusSpeechandDemonstrations.pdf

Section 4
Examinations

4.1 Policy on Undergraduate Examinations

Examinations are classified as (1) final examinations at the end of each term; (2) special examinations; and (3) other course examinations as determined by the instructor.

Announced tests in undergraduate courses will be administered at a regularly scheduled meeting of the course. Exceptions to this regulation may arise in specialized courses requiring performance or oral tests, and in multiple-sectioned laboratory classes requiring practical laboratory tests. Faculty having sound reasons for scheduling tests at times other than regularly scheduled meeting times are to obtain approval from the department head/chair prior to the beginning of the term, and are to present a written schedule of these changes to the class during the first few days of the term. Rescheduled tests are not to interfere with other scheduled academic endeavors of the students involved, and an appropriate reduction in regularly scheduled class time is to be given to compensate for the rescheduled test period.

Final Examinations

A final examination is a desirable means of evaluation in most undergraduate courses. In unusual circumstances, performance tests, term papers, research projects or other forms of evaluation appropriate to the objectives of the course may be substituted for a final examination with the approval of the department head/chair, who will report such action to the dean and provost. Faculty who are not giving a final examination are to present to the class at the beginning of the term a written description of the forms of evaluation to be used and the means of determining final grades. The professor teaching a 6000-level course or higher shall determine whether a formal final examination is appropriate.

Final examinations are to be given as scheduled in the term examination schedule. Exceptions to this policy require prior approval by the provost. Rescheduled examinations must not interfere with scheduled academic activities of the students involved.

4.2 Policy on Number of Final Exams in One Day

Procedures for students to exercise their conditional right to take no more than two final exams in a single calendar day.

Policy on Number of Final Exams in One Day

4.3 Retention of Exams by Faculty

Section 5
Grading

5.1 University Grade System

Final grades that may be assigned by faculty to indicate passing, failing, withdrawal and incomplete; calculating a GPA; the S/U Grading Option, Grade Adjustment Policy (GAP) and other grade-related policies.http://www.auburn.edu/academic/provost/undergrad_studies/uuac/advising_manual/
university%20grade%20system.html

5.2 Grade Submission Policy

Submission of grades by faculty and staff at the end of each term; availability to students
https://sites.auburn.edu/admin/universitypolicies/Policies/GradeSubmissionPolicy.pdf

5.3 Posting Grades

Grades on examinations or in courses may not be publicly posted using students' names or social security numbers. If a faculty member wishes to post grades, he or she must do so in such a manner that no student can be personally identified by others.

5.4 Faculty Policy on Assigning Grades of Incomplete

Procedures for faculty to process student requests for an Incomplete (grade of IN) and to change an IN to another grade; responsibilities of students and of faculty
https://sites.auburn.edu/admin/universitypolicies/Policies/FacultyPolicyonAssigningGradesofIncomplete.pdf

5.5 Faculty Policy on Grade Changes

Limitations on the time and circumstances for changing final grades
https://sites.auburn.edu/admin/universitypolicies/Policies/FacultyPolicyonGradeChanges.pdf

Section 6
Academic Honesty

6.1 Academic Honesty Code (Title XII)

CHAPTER 1200 Definition

1200 This act shall be known as the Student Academic Honesty Code. The Student Academic Honesty Code applies to all students at Auburn University. Students in either the College of Veterinary Medicine or the School of Pharmacy, while taking classes in these schools, shall be subject to honesty codes published and distributed within each school. The following regulations are designed to support the interests of Auburn University, its students and faculty, in maintaining the honesty and integrity essential to and inherent in an academic institution.

CHAPTER 1201 Violations

1201Violations of the Student Academic Honesty Code are:

The possession, receipt, or use of any material or assistance not authorized in the preparation of any essay, laboratory report, examination, or class assignment, to be submitted for credit as a part of a course or to be submitted in fulfillment of a university requirement. The possession, receipt, or use of unauthorized material while an exam or quiz is in progress, or cheating, will be a violation of the Code;
Knowingly giving assistance to another person in such preparation;
Selling, giving, lending, or otherwise furnishing to any other person any material which can be shown to contain the questions or answers to any examination scheduled to be given at some subsequent date in any course of study, excluding questions and answers from tests previously administered and returned to a student by the instructor;
The submission of themes, essays, term papers, design projects, theses and dissertations, similar requirements or parts thereof that are not the work of the student submitting them. In the case of a graduate thesis or dissertation, submission is defined as the time at which the first complete draft of such is submitted to the major professor for review. When direct quotations are used, they must be indicated, and when the ideas of another are incorporated into a paper, they must be appropriately acknowledged. Plagiarism is a violation. In starkest terms, plagiarism is stealing using the words or ideas of another as if they were one's own. For example, if another person's complete sentence, syntax, key words, or the specific or unique ideas and information are used, one must give that person credit through proper documentation or recognition, as through the use of footnotes;
Altering or attempting to alter an assigned grade on any official Auburn University record. This violation may also be subject to review and action by the University Discipline Committee;
An instructor may delineate in advance and in writing other actions he or she considers a violation of the Code. For example, the teacher may consider dishonest or unethical the submission of papers substantially the same in content for credit in more than one course, unless specific permission has been given in advance. Actions so delineated must be reasonable and in the spirit of the Student Academic Honesty Code.
Altering or misusing a document (e.g., university forms, infirmary or doctor's excuse) for academic purposes. Associated violations may be referred by the Associate Provost for additional review and action by the University Discipline Committee.
Knowingly submitting a paper, report, examination, or any class assignment which has been altered or corrected, in part or in whole, for reevaluation or re-grading without the consent of the instructor.
Serving as or enlisting the assistance of another as a substitute in the taking of examinations.

CHAPTER 1202 Sanctions

1202The following sanctions may be imposed for violation of the Student Academic Honesty Code by the Provost upon recommendation of the Academic Honesty Committee:

A grade of F in the course in which the violation occurs, with the notation "assigned for academic dishonesty" being placed on the transcript for a designated length of time, and the grade of F being reported to both the dean of the college or school in which the student is registered and the Office of the Provost;
A zero grade on the examination, project, paper, etc. with written notification to the dean of the college or school in which the student is registered;
Suspension from Auburn University for a stated period of time during which the student will not be allowed to take any courses at Auburn University. Auburn University will not accept any credit for work earned at another institution during suspension. If the student has previously been subjected to sanctions for violations of the student academic honesty code, the minimum sanction will be suspension.
Expulsion from Auburn University.

CHAPTER 1203 Rights and Responsibilities of the Student

1203.1 The student has the right to request a meeting at which any charges of academic dishonesty can be discussed and resolved with the instructor of the course in which the alleged violation occurs and a faculty member of the Academic Honesty Committee who shall serve as a Facilitator. The student will be notified of his or her right to request a meeting within fifteen (15) class days of the detection of the alleged violation. The student will have five (5) class days after notification of the violation to indicate his or her intention to attend a Facilitated Meeting. In order for a Facilitated Meeting to occur, the instructor of the course in question must also request to engage in the Facilitated Meeting.

1203.2 A student has the right to a Hearing for any charge of academic dishonesty. A student may request to forgo the Facilitated Meeting and attend a Hearing of the Academic Honesty Committee. A student may also attend a Hearing of the Committee if no agreement on a sanction can be reached during a Facilitated Meeting. If a student desires a Hearing, his/her written request must be delivered to the Office of the Provost within five (5) class days after receipt of the Provost’s notification of the charge and the right to a Hearing. Otherwise, the right of the student to be heard will be waived.

1203.3 The notation "assigned for academic dishonesty" will remain on the student’s transcript for no less than two academic semesters in residence. Suspension for academic dishonesty shall be noted on the student’s transcript for the period of suspension. After expiration of a sanction, it shall be the responsibility of the student to request removal of the sanction to the Office of the Provost after expiration of the sanction. Expulsion from Auburn University for academic dishonesty shall be permanently noted on the student’s transcript. Students accused of academic misconduct, whether acknowledging involvement or not, should be allowed to continue in the course without prejudice pending action by the Committee.

CHAPTER 1204 Academic Honesty Committee

1204 The Academic Honesty Committee shall have the following structure:

There shall be an Academic Honesty Committee appointed by the President of Auburn University. The Committee shall consist of two undergraduate students, recommended by the President of the Student Government and one graduate student appointed by the Graduate Student Organization and four faculty members. One of the faculty members shall be appointed Chairperson by the President of Auburn University;
The students shall be appointed for one year terms by the President of Auburn University. The students shall be of at least junior classification and shall be recommended annually by the President of the Student Government Association with the concurrence of the Student Senate. Four undergraduates and one graduate alternate member shall be appointed through the same appointment procedure;
Faculty members shall be appointed for three year staggered terms by the President of Auburn University following standard University Committee appointment procedures. Three alternate faculty members shall be appointed through the same appointment procedure;
Should a member of the Committee be involved in a violation to be heard or reviewed by the committee, that member should be replaced by an alternate. If the Chairperson excuses him or herself, the Provost will appoint a temporary chairperson;
A quorum for committee hearings will be five members, of whom three must be faculty and two students. The Chair may form part of the quorum, but may replace a faculty member only, not a student member;
Committee recommendations shall be made by a simple majority vote of the committee. Abstentions on a vote of guilty/not guilty will be counted as votes for acquittal. The Committee chairperson shall only vote to make or break a tie or when functioning as part of a quorum.

CHAPTER 1205 Administrative Responsibilities

1205 The Administration shall have the following responsibilities:

The Office of the Provost shall be responsible for the administration of the Student Academic Honesty Code, including the provision of information for faculty, staff and students, the preparation of materials for hearings, and the maintenance of confidential files regarding violations of the Student Academic Honesty Code;
The Provost will be responsible for making a decision based on recommendations from the Academic Honesty Committee;
Appeals are made directly to the President of Auburn University.

CHAPTER 1206 Rights of the Accused Student

1206 A student accused of violation of the Student Academic Honesty Code has the following rights:

To be informed, in writing, of the charge of academic dishonesty made against him/her and of any sanctions recommended by the charging party;
To be informed, in writing, of the right to attend a Facilitated Meeting with the instructor of the course in question and a faculty member of the Academic Honesty Committee if the instructor agrees to attend such a meeting;
To be informed, in writing, of the right of Hearing, the procedures involved, and the names of any known witnesses;
The right to receive written notice of the time and place of a hearing regarding the charges at least 48 hours in advance of the hearing, if a hearing is requested by the student;
To present witnesses and evidence and to be present throughout the presentation of witnesses and evidence at the hearing, if a hearing is requested by the student and to examine the evidence to be submitted by the charging party during the three days prior to the hearing or review;
The right to have sanctions deferred until completion of the process described herein, including any appeal to the President of Auburn University;
The right to appeal the decision of the Academic Honesty Committee to the President of Auburn University.

CHAPTER 1207 Rights and Responsibilities of the Faculty, Staff, and Students

1207 Faculty, staff, and students have the following rights and responsibilities:

Faculty have the right to establish standards of academic performance and expectations for students under their instruction and to assign grades accordingly;
Faculty, staff, and students have the responsibility to help enforce the Student Academic Honesty Code;
The instructor in charge of the class in which the alleged violation occurred and the person charging a violation of the Student Academic Honesty Code has the right to be informed of Committee procedures and to be present throughout the presentation of witnesses and evidence at any Committee hearing requested by the accused student;
The instructor of the class in which the alleged violation occurred and the person charging a violation have the right to appeal the decision of the Academic Honesty Committee to the President of Auburn University.

CHAPTER 1208 Procedure

1208.1 The procedure for filing charges is listed as follows:

A faculty member, staff member or student who charges a student with a violation of the Student Academic Honesty Code shall first make a reasonable attempt to meet with the student and then report the incident to the Office of the Provost using an electronic form located on the Provost’s website. The Office of the Provost will then assign the case to one of the faculty on the Academic Honesty Committee who then becomes the Facilitator. The Office of the Provost shall forward a copy of this form to the assigned Facilitator, the dean of the college or school in which the student is registered, the instructor in charge of the course in which the alleged violation occurred, and the instructor’s dean or department head/chair. The written notice of the charge and any recommended sanctions shall be sent to the student within fifteen (15) class days after detection of the alleged violation. If an Academic Honesty Committee Hearing is ultimately held, such recommended sanctions shall not be construed as binding upon the Committee, and may be increased or decreased.
A person other than the instructor in charge of the course in which the alleged violation occurred, and who is charging a student with a violation of the Student Academic Honesty Code, would normally consult with that instructor, but is not required to do so.

1208.2 The procedure for processing charges is listed as follows:

When the Office of the Provost receives notice of the alleged violation of the Student Academic Honesty Code, that Office shall give written notice to the Facilitator assigned to the case, the accused student, the charging party, and the instructor in charge of the course in which the alleged violation occurred, of the optional Facilitated Meeting, the student’s right to a Hearing, the procedures involved, and the names of known witnesses. This Office shall also indicate its willingness to meet with any involved parties to discuss and clarify procedures;
The Office of the Provost shall initially assign the case to one of the faculty on the Academic Honesty Committee who then becomes the Facilitator. If the accused student fails to request a Facilitated Meeting or a Hearing within the time allowed, the Committee will then be notified of the charges and response of the student in order to consider the case based on evidence available, and will submit its findings and recommendations to the Provost. If both the accused student and instructor of the course in question request a Facilitated Meeting, a date shall be set for a meeting, and the involved parties shall be notified by the Office of the Provost of the time, date, and place. The Office of the Provost will have a period of five (5) class days to begin scheduling an appointment with the student, Facilitator, and instructor;
If the student and instructor forgo the Facilitated Meeting, or if the Facilitated Meeting does not result in a mutually agreeable solution, approved by the Provost, the matter will be forwarded to the Committee in order to consider the case based on available evidence, including a Hearing if requested by the student, and will submit its findings and recommendations to the Provost;
If the accused student desires a Hearing, his/her written request for a Hearing must be delivered to the Office of the Provost within five (5) class days after receipt of notice of the right to a Hearing. This request should include any response the student wishes to make to the charges, as well as the names of known witnesses. The Office of the Provost shall send a copy of the request for a Hearing and the response of the student to both the charging party and the other persons who received an original copy of the original charge;
If a Hearing is requested by the accused student, a date shall be set for a Hearing, and the parties shall be notified by the Committee of the time, date, and place. There shall be no less than ten (10) class days between the date of notification and the date of the Hearing, unless there is mutual agreement between the student and the Committee to schedule the Hearing at an earlier date;
If the student, after requesting a Hearing and receiving written notification of the Hearing date, fails to attend the hearing without good cause as determined by the Committee, or if the student has made it impossible to deliver the notification of hearing despite diligent efforts, the Committee’s recommendation shall be based on the evidence available;
The Committee shall make every effort to hear the case with reasonable promptness. If the student is found guilty, sanctions shall be imposed even if the student drops or withdraws from the course. If the Committee deems that suspension is warranted, the suspension will begin the semester immediately following the semester in which the sanction was determined, unless the Committee recommends otherwise and the Associate Provost concurs;
In the case of a student who has, or soon will have completed all graduation requirements, graduation will be delayed until any period of suspension has passed;
Expulsion shall become effective on the date of the student’s notification of the final action.

1208.3 Procedure for meeting with the Facilitator is listed as follows:

the student has the responsibility to request a meeting with the appropriate member of the Academic Honesty Committee as directed by the Office of the Provost upon receipt of notice of the alleged violation within five (5) class days of receipt;
Witnesses will not be present at the time of the meeting with the Facilitator. The meeting will be a discussion between the instructor of the course and the student about the incident and will be facilitated by the Committee member as a means of reaching a mutually satisfactory agreement that will conclude the matter, upon Provost approval, and preclude the involvement of the Committee;
The meeting is not a Hearing, rather the intention of the meeting is to discuss the charges and identify a resolution to the charges that is mutually agreeable to all parties attending the meeting. All parties are free to state their perspective and any supporting material evidence they have at the time of the meeting. The Facilitator’s purpose is to assist in achieving a fair and focused discussion. The Facilitator will not serve as a determiner of fact or make decisions on the outcome;

Agreements may include appropriate sanctions determined by the parties or withdrawal of the charges by the accusing party;

The Academic Honesty Committee will review the recommended sanctions agreed upon during the Facilitated Meetings and forward the Committee’s recommendation to the Office of the Provost. The Provost shall receive and consider the report of the Committee and shall determine the action to be taken. Approval of the agreement by the Provost will close the matter and no further actions on the charges will proceed;

If no agreement on a sanction can be reached during the meeting with the appointed Facilitator, the case will go before the Academic Honesty Committee for a final decision. The burden of proof rests with the accusing party and shall be satisfied by any clear and convincing evidence on the record considered as a whole. If this occurs, all procedures for the committee will apply as stated in 1208.4. The Facilitator will inform the Office of the Provost that an acceptable resolution was not reached and all involved parties will receive a copy of the notification. The date, time and location will be set for a Hearing in a timely manner and parties shall be notified by the Committee.

1208.4 The procedure for the hearings is listed as follows:

each party shall have the right to present witnesses and evidence at a hearing and to be present during the presentation of other witnesses and evidence;
Each party shall arrange for the attendance of their own witnesses. The Office of the Provost shall assist in securing the attendance of witnesses, if a written request for assistance is made to that office a reasonable time in advance of the hearing date. When either party requests that additional witnesses be present, the Committee may, after determining good cause, defer the hearing until such time that the witnesses may appear and be questioned;
The Committee may request the appearance of additional witnesses if the Committee believes that such witnesses could present relevant information. A witness who feels a need to be excused should, in advance of the hearing, confer with the Office of the Provost whose decision shall be communicated to the parties and the Committee;
When a witness fails or refuses to appear, the Committee shall decide whether or not to proceed on the basis of other evidence available. If the decision is in favor of proceeding, the Committee shall disregard the challenged portions of any written statements that may have been made by the absent witness;
The charged student is encouraged to give a statement and to cooperate with the Committee in processing his/her case. However, failure of the student to make a statement or to answer any or all questions shall not be considered in the determination of guilt or innocence;
A student's prior record of academic dishonesty sanctions shall be inadmissible as evidence to prove innocence or guilt. However, the prior record must be considered by the Committee in determining the appropriate sanctions;
The burden of proof rests with the charging party and shall be satisfied by any clear and convincing evidence in the record considered as a whole;
The hearing shall be recorded by tape recorder or other mechanical means, and a copy shall be made available to each party upon request. Committee deliberations shall not be mechanically recorded; the Committee shall conduct its deliberation in close and confidential session and shall submit findings and recommendations to the Provost.

1208.5 The procedure for any action taken against the student is as follows:

The Provost shall receive and consider the report of the Committee, and shall determine the action to be taken when the decision of the Provost differs from the Committee's recommendation, the Committee chair shall be consulted before the charged student is officially notified;
If, after the Committee hearing, additional evidence not presented in the hearing which could affect the decision of the Provost comes to his/her attention, the Provost shall return the case to the Academic Honesty Committee for consideration of additional evidence;
The Provost shall notify the charged student in writing of findings and sanctions to be imposed. Copies shall be sent to the instructor in charge of the course in which the alleged violation occurred, the dean and department head/chair of the instructor, and the person who initiated the action. The Registrar shall be notified in writing by the Office of the Provost when the notation "assigned for academic dishonesty" is to be placed on a transcript and/or when suspension or expulsion is assigned. Probation shall be monitored by the dean of the college or school in which the student is registered or to which he or she transfers, with the assistance of the Office of the Provost. No action shall be taken by any of the parties above for five class days after notification of the decision by the Provost or the completion of any appeal to the President of Auburn University, whichever is later;
When the period of a sanction has expired, the student shall be responsible for requesting in writing for the removal of notation of sanction from his/her record; 5. a student returning after completion of a suspension shall follow the same procedure for registration as any other returning student;
If the course ends before final action has been taken, the instructor shall assign the student a grade of incomplete.

1208.6 Upon notification of action, either party may appeal to the President of Auburn University. The appeal must be made in writing within five class days after receipt of notification of the action of the Provost and must include a full statement of asserted facts and argument concerning the appeal. The appealing party shall send a copy of the appeal to the Office of the Provost, which shall send a notice of the appeal to all parties who received notice of findings and sanctions. The party which is not appealing may submit a written response within five (5) class days of receipt of the appeal. Prior to any change in the sanctions, the President of Auburn University shall confer with the Provost and the Academic Honesty Committee. The Provost shall then respond in writing to the appealing party. Notice of the action shall be sent to the parties that received notice of the appeal. The President of Auburn University's decision shall constitute the final action of Auburn University.

1208.7 Records of proceedings of Academic Honesty cases shall be considered confidential and shall be filed in the Office of the Provost for a period of six years following the hearing of the case. Access to these records shall be limited as indicated by applicable law and Auburn University policy concerning student records as outlined in the Auburn University Student Policies website.

6.2 Academic Honesty Resources for Faculty

Summary of faculty rights and responsibilities, steps to take when reporting suspected dishonesty cases, and examples of violations from the Academic Code; ways to discourage academic dishonesty

http://www.auburn.edu/academic/provost/academicHonestyFaculty.html

Section 7
Student Grievances

7.1 Student Academic Grievance Policy

1.1 The purpose of this procedure shall be to resolve academic grievances of students, which result from actions of faculty or administration. This resolution should be achieved at the lowest level and in the most equitable way possible. The burden of proof rests with the student complainant who is filing the academic grievance against the faculty/administrator respondent.

1.2 The Student Academic Grievance Committee does not have the authority to change or direct changes in student grades, faculty conduct, or other disputed areas. The Committee does have the responsibility to evaluate each case carefully and make specific recommendations to the Office of the Provost/Vice President for Academic Affairs.

1.3 During the student academic grievance process, student complainants and faculty/administrator respondents should not contact the Office of the Provost/ Vice President for Academic Affairs regarding academic grievance issues. Complainants and respondents may contact the Vice President for Academic Affairs following the closure of the academic grievance case or the rendering of the committee’s judgment following the formal academic grievance hearing. Likewise, student complainants and faculty/administrator respondents should not contact the President of Auburn University regarding academic grievance issues.

2. Steps Toward Redress

2.1 When a student believes he or she has an academic grievance, he or she should first seek to resolve that grievance by discussions with the faculty member or administrator involved. If these discussions are not satisfactory, the complaint should be taken to the next highest level listed in the following procedure. If the grievance arises from a classroom situation, the student should take the following steps in seeking redress.

2.1.1 The student should consult with the faculty member involved, in person or by written contact, no later than within the first five working days of the semester following that in which the grievance occurs.

2.1.2 If agreement on or compromise of the problem is not achieved, the student should take the grievance to the department head/chair or department chair.

2.1.3 If the student is still not satisfied that a fair and equitable solution has been found, he or she should take the grievance to the academic dean of the respondent’s school or college (for undergraduate students). Graduate students must concurrently contact the academic dean of the respondent’s school or college and the dean of the graduate school.

2.1.4 In the case of University courses (UNIV-1000, UNIV-1050, and any other undergraduate course with a UNIV designation), the student should contact the UNIV course coordinator/director in lieu of the department head/chair and the Associate Provost for Undergraduate Studies in lieu of the academic dean.

2.1.5 As a last resort and only after steps 2.1.1-2.1.3.1 have been carried out, or have been conscientiously attempted, the student should take the grievance in writing to the Auburn University Student Academic Grievance Committee, specifically appointed to hear such complaints.

2.1.6 The student should read this entire “Student Academic Grievance Policy” carefully before contacting the chair of the Student Academic Grievance Committee.

2.2 The Committee chair must be notified of the filing of a grievance no later than the 20th class day of the semester following that in which the grievance occurred.

2.3 No faculty member or administrator shall be allowed to delay the resolution of a grievance by failing to hold a consultation with a student within a reasonable length of time of the initial request. Normally such consultation should occur within two weeks after the student request unless bona fide reasons such as illness, personal emergency or campus absence for professional reasons make this time limit unreasonable

2.4 In some instances when the personalities or problems involved would make starting at the lowest level of the complaint too awkward or embarrassing, the student may initiate a complaint at the next higher level listed, e.g., for a faculty member within an academic department, the department’s head or chair.

2.5 A faculty member may ask that a student grievance be submitted to the Auburn University Student Academic Grievance Committee if, in his or her professional opinion, the resolution procedure suggested by the department head or department chair and academic dean is not educationally sound.

3. Types of Grievances

No list of types of grievances can cover all contingencies. The following common types of student grievances, however, are within the Committee’s jurisdiction.

3.1.1 Errors in calculations or recording of quizzes or other grades.

3.1.2 Lowering of the grade on the basis of attendance if this contradicts the attendance policy established and communicated in writing by the faculty member at the beginning of the course.

3.1.3 Failure of a faculty member to follow University policies in the conduct of classes or examinations.

3.1.4 Failure of a faculty member to recognize properly authorized excuses of absence.

3.1.5 Capricious, unreasonable, intimidating, or arbitrary actions that harm the student’s performance.3.1.6. Failure of a faculty member to grade, return and discuss assigned work within a reasonable time (e.g., before subsequent assigned work is scheduled for completion or before a subsequent examination).

3.1.6 Failure of a faculty member to grade, return and discuss assigned work within a reasonable time (e.g., before subsequent assigned work is scheduled for completion or before a subsequent examination).

3.1.7 Failure of a faculty member to announce testing procedures, grading policies, and the various requirements for successful completion of the course; also, changes in announced policies without due notice and explanation.

3.1.8 Discriminatory action among students within a class by a faculty member (e.g., singling- out specific students for either preferential or adverse treatment).

3.1.9 Failure of a faculty member to honor a specific commitment to a student concerning completion of work delayed because of illness, accident, or other justified reason.

3.2 Certain types of grievances, though common, should not be brought before this Committee, although they may be referred to the department head or department chair and, if necessary, the academic dean of the school for administrative review. Grievances outside the jurisdiction of this Committee include the following:

3.2.1 Differences in grading by faculty members teaching separate sections of the same course.

3.2.2. Personal habits of the faculty member, however distracting.

3.2.3. Fine distinctions between any two grades, which may be appealed only to the faculty member.

3.2.4. Unannounced quizzes.

3.2.5. Questions concerning academic dishonesty, which should be referred to the Academic Honesty Committee.

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4. University Student Academic Grievance Committee

4.1. Membership

4.1.1 There shall be nine (9) voting members of the Committee to be appointed by the President of the University as follows:

4.1.1.1. Three (3) students [two (2) undergraduate students and one (1) graduate student] two (2) alternates [one (1) undergraduate and one (1) graduate alternate], to be recommended to the University President under procedures established by the Student Government Association. Not more than one (1) of the voting members may be a graduate student. Undergraduate students serving on this Committee must be regularly enrolled students in good standing and must have attained sophomore ranking at the time of appointment. Graduate students must have been admitted to an authorized advanced degree or certificate program. Student members shall be appointed in May of each year and serve a one (1) year term. Their terms of service shall begin with the summer semester each year and continue through the spring semester.

4.1.1.2. Four (4) full-time faculty members and one (1) alternate to be recommended by the Rules Committee of the University Senate. Department heads or department chairs and members of the administrative faculty shall not be named to these positions. Faculty members shall serve three (3) year terms, and their appointments shall be arranged so that at least one (1) faculty member and not more than two (2) faculty members will be replaced each year. Their terms of service shall start in fall semester of the year of their appointments. The chair of the Committee shall be appointed from among these faculty members nominated by the Senate Rules Committee in consultation with the President of the University. No person shall serve as the chair for more than three (3) years.

4.1.1.3. One (1) full-time member of the Administration (i.e., central administration, deans, associate deans, or assistant deans) and one (1) alternate to be appointed by the President.

4.1.1.4. One (1) representative of the Administrative and Professional employee group, who is currently teaching or has taught a class at AU within the past two years, and one (1) alternate, who shall meet the same requirements, to be recommended by the Nominations and Elections Committee of the Administration and Professional Assembly, in consultation with the Steering Committee of the University Senate. The Administrative and Professional representative shall serve a three (3) year term. The term of service shall start in the fall semester of the year of the appointment.

4.1.2. Five (5) voting members shall constitute a quorum. Decisions shall be reached by a majority of those present and voting.

4.1.3 The chair of the Committee shall be the administrative officer of the Committee. His or her duties shall include:

4.1.3.1. Arranging for appropriate times and places for Committee meetings and hearings;

4.1.3.2. Informing, in writing, those individuals listed in 4.2.3.2 of the times and places of Committee hearings that they are requested to attend, and supplying them with a statement of alleged grievances;

4.1.3.3. Informing those listed in 4.2.3.2 that a grievance is pending;

4.1.3.4. Securing and distributing to the Committee written materials or other documentation appropriate for its consideration;

4.1.3.5. Arranging for the recording of Committee proceedings;

4.1.3.6. Maintaining Committee records that are to be kept on file according to the guidelines established by the University Archivist in the Office of the Provost/ Vice President for Academic Affairs; and

4.1.3.7. Informing, in writing, the Office of the Provost/Vice President for Academic Affairs of the recommendations of the Committee.

4.1.4. Any member of the Committee may at any time disqualify himself of herself from consideration of any given case or cases because of personal bias.

4.1.4.1. Should a Committee member be unable to hear a particular case, for any reason, the alternate shall be appointed by the chair to serve for the course of the particular grievance.
4.1.4.2. Should the Committee be involved in a specific case at the time of the return of an absent member, the replacement member shall continue as a member of the Committee in all sessions dealing with the specific case until it is concluded. The returning member shall resume membership on the Committee in any new cases brought before the Committee.

4.1.5. Should any member of the Committee be unable, for any reason, to complete a term for which he or she has been appointed, the alternate shall fill the balance of the term. Resignations shall be submitted in writing to the chair of the Committee. The chair of the Committee shall then inform the appropriate person of a vacancy and request the appointment of a new alternate.

4.1.6. No member of the Committee may be reappointed upon the expiration of a full three-year term. However, a former student member may be appointed as an alternate. If the Committee is involved in any specific case at the time of the expiration of the term of any member, that member shall continue to function as a member of the Committee in its dealings with that specific case only, until such time as the case is concluded. No newly appointed member shall be considered as a member of the Committee in relation to any case continuing from a time prior to his or her term. He or she shall, however, serve as a member of the Committee for all other matters, beginning with the first day of his or her designated term of service.

4.1.7. Either party to the hearing may request of the chair in writing that any member or members of the Committee be excluded from consideration of a case. Such a request must be for cause and be brought to the chair’s attention as the first step in the hearing. In the event a member is disqualified by majority vote of the Committee from consideration of a case, the chair shall appoint the Committee alternate as a replacement.

4.2. Procedures for Hearings

4.2.1 Grievances must be filed with the Committee chair no later than the 20th class day of the semester following that in which the grievance occurred.

4.2.2 Where previous efforts for redress have failed, the student should file a grievance in writing to the chair of this Committee, accompanied by any initial documentary evidence.

4.2.2.1. Complainants and respondents are encouraged to communicate and cooperate with the chair of the Student Academic Grievance Committee regarding the preparation of support materials related to the allegations of academic grievance.

4.2.2.2. At no time (outside of the formal hearing process) should any person directly or indirectly involved in the academic grievance case communicate with any of the voting or alternate members (with the exception of the chair) of the Committee about the grievance.

4.2.3. The following (4.2.3.1 - 4.2.9) represents general guidelines regarding hearing procedures. However, additional guidelines will be made available to the parties at least one week prior to the hearing.

4.2.3.1. Upon receipt of the stated grievance, the chair shall forward a copy of the grievance to the faculty member, who is invited to submit a written response.

4.2.3.2. The only persons present at reviews of complainant and respondent academic grievance materials by this Committee shall be Committee members, either voting members or alternates.

4.2.3.3. The only persons present at full academic grievance hearings of this Committee shall be committee members, the complainant and the respondent(s), and material witnesses actually testifying before the Committee.

4.2.4 The Committee, as a whole, shall arrange for a swift and comprehensive review of the grievance and may request from the parties involved and from resource persons additional information. It shall then decide, on the basis of this evidence, whether there are sufficient grounds to hear a case or not, and whether it will accept written statements in lieu of personal appearances or not. If the Committee decides that there are not sufficient grounds to hear a case and closes the case, it shall notify the complainant and respondent in writing as to the reasons for its actions.

4.2.4.1. Written statements by material witnesses in lieu of personal appearance will not be allowed except under justifiable circumstances.

4.2.5. If the Committee determines that the case merits further consideration in the form of a hearing, the parties involved shall be informed in writing and be advised of the scheduled time and place of the hearing. Complainants will be given copies of the respondent’s academic grievance materials. Respondents will be given copies of the complainant’s academic grievance materials. The complainant’s and the respondent’s academic grievance materials will be returned to the Committee chair at the close of the formal hearing.

4.2.6. At the hearing, the complainant, respondent, and material witnesses may testify and may be questioned by the opposite party and Committee members. Only evidence previously presented to the committee and presented in the hearing may be considered in the final judgment.

4.2.7. Below is the procedure to be followed during the hearing:

4.2.7.1. Complainant will state the grievance(s) and introduce as evidence any documentation he/she feels supports his/her claim. Testimony may be questioned by respondents and Committee members.

4.2.7.2. Respondent will state the response to the charges and introduce as evidence any documentation he/she feels supports his/her counterclaim. Testimony may be questioned by complainants and committee members.

4.2.7.3. Any material witnesses the complainant wishes to introduce to give verbal testimony may be presented. Testimony may be questioned by complainants, respondents, and Committee members.

4.2.7.4. Any material witnesses the respondent wishes to introduce to give verbal testimony may be presented. Testimony may be questioned by respondents, complainants, and Committee members.

4.2.7.5. Complainants and respondents may make additional comments and may be questioned by complainants, respondents, and Committee members.

4.2.7.6. All parties except the Committee will be dismissed.

4.2.7.7. The Committee will develop recommendations and transmit said recommendations to the Office of the Provost/Vice President for Academic Affairs.

4.2.8. A record of the hearing, tape recorded or otherwise preserved, shall be preserved for references and may be reviewed until the case has been finally resolved. However, Committee deliberations will not be subject to this requirement.

4.2.9. Proceedings shall be conducted in accordance with the AAUP’s Joint Statement on Rights and Freedoms of Students proposed in 1967 and revised and updated in 1992. The AAUP’s Statement on Graduate Students, which was adopted in 2000, will serve as an additional reference source for complainants who are graduate students.

4.3. Judgment

4.3.1. Committee members shall arrive at a judgment in consultation among themselves after the parties have been dismissed. Only members of the committee who have been present during all the meetings and who have heard all testimony relating to the alleged grievance may vote on the case.

4.3.2. A majority vote of such qualified members shall constitute a judgment.

4.3.3.1. A decision of the Committee relating to redress of a particular case is final. The Committee does not have the authority to change or direct changes in student grades, faculty conduct, or other disputed areas. The Committee does have the responsibility to evaluate each case carefully and make specific recommendations to the Provost/ Vice President for Academic Affairs. A course of action deemed appropriate by the Committee will be recommended.

4.3.3.2. The Provost/Vice President for Academic Affairs has the power to veto the proposed course of action. However, in the case of such veto, the case must be returned promptly to the committee for further consideration.

4.3.3. Should not be reported and should remain confidential to the committee.

4.3.4. The Provost/Vice President for Academic Affairs should transmit only the final decisions to the appropriate persons. The results of the intermediate steps in decision-making outlined under

4.3.5. The decisions reached by this committee shall take precedence over decisions reached by student grievance committees within individual departments, colleges or schools.

4.3.6. If redress requires a policy change, or if a policy change appears advisable or necessary, the committee shall refer its recommendations to the Executive Committee of the University Senate, or President of the University, as appropriate.

4.3.7. Should any person, whether directly involved in a complaint or not, allegedly suffer some disadvantages, discrimination, or reprisal as the direct or indirect result of any complaint, testimony, or statement in connection with committee action, the committee shall, upon request or upon its own motion, exercise original jurisdiction and take all necessary steps to verify the facts and render justice.

5. Revisions in the Procedures

During the spring semester of each year, the committee may propose revisions of these procedures which will become effective upon ratification by the Student Senate, University Senate, and the President of the University.

Section 8

The Graduate School

8.1 The Graduate Council

The governing body of the Graduate School is the Graduate Council. Graduate Council members represent the Graduate Faculty as a whole rather than the particular areas from which they come.

The Council is advisory to the President and acts on regulations and policies governing all graduate study and graduate degrees and on curriculum requests and proposals for new graduate programs, and assists the Dean of the Graduate School in carrying out regulations and policies. The Council helps to formulate changes in Graduate School policy. All actions of the Graduate Council are subject to the University President's review and approval. All general policy recommendations of the Graduate Council shall be reviewed by the University Senate before going forward to the President.

8.2 The Graduate Faculty

A. Introduction

Auburn University maintains a Graduate Faculty in accord with the requirements and recommendations set forth in SACS Criteria for Accreditation: Commission on Colleges, 11th ed., 2000, Section 4.8.2.3. These are quoted below:

Institutions offering either master's or specialist degrees must demonstrate a high level of faculty competence in teaching and scholarship. Institutions offering doctoral degrees must demonstrate the research capability of the faculty members teaching in these programs. Eligibility requirements for faculty members teaching graduate courses must be clearly defined and publicized.

All institutions must have adequate resources to attract and retain a qualified faculty, especially in the disciplines in which doctoral programs are offered. Faculty members responsible for the direction of doctoral research must be experienced in directing independent study. In addition, those engaged in graduate teaching should demonstrate, by their involvement in institutional activities, their commitment to the academic community, the institution they serve, their students, and their academic disciplines.

Each faculty member teaching courses at the master's and specialist degree level must hold the terminal degree, usually the earned doctorate, in the teaching discipline or a related discipline. . . . All faculty members teaching courses at the doctoral degree level must hold the earned doctorate in the teaching discipline or a related discipline.

The Commission recognizes that in unusual cases institutions may appropriately include as graduate faculty members those who have demonstrated exceptional scholarly or creative activity, or professional experience, but who may not possess the required academic credentials.

The Criteria further elaborates (Section 4.3.5):

The effectiveness of a graduate program depends largely on the scholarly stimulation obtained when a group of students interacts with faculty in complementary specialties. For this reason, graduate faculty members should be productive, creative scholars, readily accessible to their students. The institution must provide an environment which supports and encourages scholarly interaction and accessibility among the faculty and students consistent with the quantitative intent of the Criteria.

B. Graduate Faculty Membership

Each department which offers a graduate degree shall develop and submit to the Graduate Council for approval a plan specifically detailing how those faculty members involved in teaching, directing research, or rendering other service to the program are selected and reviewed. New plans and modifications of approved plans may be submitted at any time. Guided by SACS criteria, the Graduate Council shall approve or disapprove the plans submitted. Department heads/chairs shall be responsible for ensuring that their departments comply with their approved plan.

While departmental plans may differ considerably, depending on local variables and on the nature of graduate instruction and research across the disciplines, all plans should include two main sections, one setting forth standards for appointment and one detailing procedures to be followed by the departments in determining whether faculty members have met those standards.

The following guidelines shall be observed:

All plans shall set forth specific and relevant standards for graduate faculty membership in the department in question. Where appropriate, plans may set forth distinct standards for the various levels of involvement in the graduate program, such as directing graduate student research, teaching graduate courses, serving on examining or advisory committees, or rendering other service to the graduate program.
All plans shall clearly state the term of appointment. No term shall exceed 7 years. Plans should contain criteria and standards for reappointment.
All plans shall specify clear and appropriate review procedures to be followed in considering candidates for initial appointment, and, where appropriate, reappointment. All plans that provide for more than one kind of appointment shall also specify appropriate procedures for considering changes in the kind of appointment.
All plans shall provide a coherent rationale for the criteria and procedures they propose.

C. Nomination and Review of Graduate Faculty Candidates

Candidates are nominated for Graduate Faculty membership and for renewal of membership in accord with the timetable set forth in their department's plan or in response to a call for nominations issued each fall semester by the Dean of the Graduate School. This call is timed to coincide with the Provost's call for nominations for promotion and tenure.

Each department shall review candidates for graduate faculty membership in accord with the plan approved by the Graduate Council.

Nominations shall be forwarded by department heads/chairs through the Dean of the College/School to the Dean of the Graduate School. Each nomination shall include 1) a letter from the department head/chair which explains how the candidate's record and performance meet approved standards and demonstrates that the department has followed approved procedures, and 2) a vita from the candidate including the Standard Biographical Data sheet supplied by the Office of the Provost. It is recommended that the candidate submit the same vita compiled for consideration for promotion and tenure.

If the Dean of the Graduate School is satisfied that the candidate has met the criteria for his or her department and that the nominating department has complied with its approved plan, he or she shall recommend to the President the candidate's appointment.

If the Dean of the Graduate School judges that the candidate has not met approved criteria or that the nominating department has not followed approved procedures, he or she shall notify the nominee and the department head/chair that the nomination shall be forwarded to the President with a recommendation against appointment. In such a case, the candidate may request an independent review of his or her credentials before the recommendation goes to the President. The Dean of the Graduate School shall then appoint an ad hoc review committee to render an independent assessment and recommendation. The committee shall be composed of three graduate faculty members from the candidate's discipline or from one closely related to it. The Dean of the Graduate School's recommendation and the ad hoc committee's recommendation shall then go forward to the President, whose decision is final. A candidate who is turned down at the department level may also request an independent review of his or her credentials by a similar committee. Such requests shall be sent to the Dean of the Graduate School through the department head/chair.

D. Periodic Review of Department Plans

The Graduate Council shall conduct periodic reviews of existing plans and of departmental compliance. Typically, these shall be timed to coincide with the SACS accreditation reviews.

8.3 Graduate School Policies

Policies governing academic standing, enrollment/program requirements, and curricular options for graduate students; graduate courses and curricula; graduate faculty appointments

https://sites.auburn.edu/admin/universitypolicies/Policies/GraduateSchoolPolicies.pdf

Last Updated: September 11, 2012