Faculty Senate Agenda
April 8, 2015, 2:30 PM to 5:00 PM
Butler Board Room
1) Chair’s Report – Lacey Wootton (2:30)
a) Approval of March Minutes
b) Conduct-code committee
2) Faculty Manual Foreword – Lacey Wootton (2:40)
3) CFA/DAA Instructions – Steve Silvia (2:50)
4) Athletics Report – Billy Walker (3:00)
5) Budget Report – Doug Kudravetz (3:30)
6) SET Progress/Preview – Tony Ahrens & Chris Tudge (4:00)
7) Graduate Regulations – Michael Keynes (4:20)
Minutes
Faculty Senate Meeting
*** The complete Recording for this meeting can be
March 4, 2015
Found at http://www.american.edu./facultysenate/agendas-minutes.cfm
Present: Professors: Lacey Wootton, Larry Engel, Candy Nelson, Tony Ahrens, Sheila Bedford,
John Douglass, Maria Gomez, Christine Lawrence, Gwanhoo Lee, Jonathan Loesberg, Jun Lu,
Mary Mintz, Glenn Moomau, John Nolan, Arturo Porzecanski, Steve Silvia, Chris Simpson,
Provost Scott Bass and DAA Mary L. Clark
Professor Wootton called the meeting to order at 2:40 PM
Introduction– Lacey Wootton
Professor Wootton welcomed everyone to the meeting and stated that the meeting order compared
to the agenda would be slightly different to accommodate President Kerwin’s schedule. She stated
that the first order of business would be the request the Senate made to have photos included on the
rosters. Additionally, the SET report will be sent out to faculty this week for comment online. The
timeline is very tight so it is important to discuss the report with your units.
Photos on Rosters – Doug McKenna
University Registrar Doug McKenna thanked the Senate for having him to the meeting to update
the senators on the status of the photos on the class rosters in Blackboard. He stated that OIT
representatives working on this project met with the Committee on Information Services in
February and have stated that they will have the photos moved by mid-March. Registrar McKenna
stated that he plans to see something following spring break, which will be implemented for the fall
rosters.
Approval of the February Minutes - Lacey Wootton
Professor Wootton stated that there was a friendly amendment already presented from Professor
Ahrens to change the current language in the Honors in the Major section to read, “Some Senators
would like to see the honors colloquia retained” in addition to the interdisciplinary wording.
Professor Wootton requested that the minutes be approved with the changes requested by Professor
Ahrens. The Senate VOTED and the minutes were approved 19-0-0.
President’s Report – Neil Kerwin
President Kerwin stated that he will give an overview of the health of the university as follows:
 The Middle States Report: This was one of the most positive reports that he has read. There
was no formal work from the committee to be done. There will be a mid-report review in
five years.
 The scholarship and research areas are as strong as he ever remembers for the university.
The faculty brought to the university over the past decade have added to a very strong base
of colleagues.
 The recent grant reports and teaching are very strong.
 Student learning outcomes are solid but not where the university wants them to be.
Faculty Senate • March 4, 2015 Minutes
Page 1 of 3
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The financial condition of the University is strong. All audits have been clean, both internal
and external. Moody’s just returned an A1 rating and Standard and Poor’s has given AU an
A+ rating.
The undergraduate revenue is very strong and the prospects for the undergraduate
programs look very bright. The graduate side is different, and the goals set for a ten-year
period have been missed. WCL also had some unexpected low numbers as well as SPExS.
This has negatively affected the budget revenue.
The budget committee has suggested to the BOT a tuition increase, small merit increases, a
cut in new spending and a 1% or 2% budget cut. Cash reserves will be used. The budget is
now in balance and it appears that the next two-year budget will balance without drawing
funds.
Discussion will be held at this BOT meeting on the building of a new science building in
order to keep up with the long-term growth of the programs offered at AU.
The Strategic Plan objectives from the Budget Committee have received comments back,
which included compensation for the term faculty to continue to meet market levels,
addressing the problems of sexual abuse and Title IX with proper staffing, and ensuring that
the undergraduate non-core academic experience is appropriate compared to other liberal
arts competition.
Provost’s Report – Scott Bass
Provost Bass started that the preview of the SET draft report showed real progress, but the
success of the SET revision depends on sufficient dialogue and discussion on campus. There
needs to be feedback and no surprises to faculty and students; all must have the opportunity to
contribute. Additionally, the Provost stated:
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The budget meeting with the BOT Finance and Budget Committee is scheduled for
tomorrow. The committee makes a recommendation to the full BOT. After the Board
action there will be a brief press conference. The President then receives the budget
from the BOT and informs all of the allocations and deductions.
Tenure files have arrived in the Provost Office and the promotion files will follow.
The Research Systems Innovation Task Force Report has been received and accepted
by the Provost’s Office. The report talks about a culture that is flexible and responsive
in building external partnerships and relationships and revenues as part of the
institution.
At the BOT meeting, for the Academic Affairs Committee the topics will be the
National Survey of Student Engagement report, Faculty Manual revisions, briefing the
BOT on a new Modular Masters proposal to engage different elements from various
units and briefing the BOT on the Mellon Foundation efforts to improve the student
success and services provided at AU. A task force is being put together, co-chaired by
Sharon Alston, Fanta Aw and Peter Starr.
Faculty Senate • March 4, 2015 Minutes
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The Gen Ed committee will be looking at the statistics, writing and math requirements
from the Office of Undergraduate Studies.
The Provost’s Annual Address to the Faculty will be later in March, and the topics will
include being agile, innovative and interdisciplinary.
Syllabus Archive – Nancy Davenport
Dean Nancy Davenport from the University Library stated that she was bringing before the Senate
the issue of archiving all syllabi at AU prior to the actual implementation of the approved Senate
policy statement. The information will be harvested off Blackboard, and all personal faculty
information will be remove prior to archiving for privacy concerns. This process is for historical and
research information and so the AU community has access to the syllabi.
Concerns were expressed that if syllabi are available to the community and public, that they could be
sold. Professor Chris Simpson brought a motion to the Senate floor for a vote to put on record that
no syllabi would be sold. The Senate VOTED in favor 15-0-2.
CFA 2015 Instruction Memo – Steve Silvia
Professor Steve Silvia as Chair of the Committee on Faculty Actions stated that the annual review of
the CFA memo has taken place and the following changes have been made:
 Previous evaluations will now become the unit’s responsibility, not the candidate’s.
 A sentence has been added to make clear the deadline for submitting scholarly material to a
file.
 A new section was added that provides direction for faculty submitting a file for promotion
to term associate professor or term full professor.
The Senators had lengthy discussion on expecting term faculty to fulfill the same requirements as
tenure-line faculty and concurred that this would be unfair. The suggestion was to remove the new
section from this year’s instructions and return it to the Senate for review next year. The Senate
VOTED on the first two changes, and they were passed in favor 13-0-0. It was agreed to bring the
instructions back to the Senate at a later date to finalize the term faculty promotion process.
Faculty Conduct Code Committee – Lyn Stallings
VP of Undergraduate Studies Lyn Stallings stated that the Senate needs to revise the faculty conduct
code. She stated that a committee will be formed and this work will begin over the summer.
The meeting was adjourned at 5:05 PM
Faculty Senate • March 4, 2015 Minutes
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Proposed Faculty Manual Changes
Pg. 10. Foreword
Current Language as written in Faculty Manual
FOREWORD
Each member of the faculty and American University accept a mutual set of obligations and
expectations at the time of initial appointment. The American University Faculty Manual presents
these obligations and expectations as a guide to university policies and practices regarding faculty.
The Faculty Senate formulated these policies, acknowledging the prior work of the Committee on
Faculty Relations and the ad hoc Faculty Manual Committee. They reflect the efforts of its
drafters to affirm principles in accord with those generally in effect in the academic world. The
university does not discriminate on the basis of race, color, religion, national origin, sex, gender,
gender identity and expression, age, disability, marital status, personal appearance, sexual
orientation, family responsibilities, political affiliation, or any other legally protected status under
federal or District of Columbia law. Seeking a diverse faculty and administration, the university
strives to conform to all applicable equal employment opportunity and affirmative action laws and
all federal and state nondiscrimination laws. American University is committed to providing and
protecting all rights afforded to faculty members under federal and District of Columbia
employment and employment-related laws.
The principles set forth in the Manual evince the firm intention of the university to provide as
favorable working conditions for its faculty as resources permit and an atmosphere in which
faculty members may pursue their scholarly, creative, and professional activities and interests
freely and without restraint. In return, the university expects faculty members to devote
themselves with energy to the primary duties of teachers, scholars, and creators of knowledge and
to challenge students intellectually and encourage them to acquire knowledge, understanding, and
vision.
This Manual sets a framework for a university that continually aspires to be recognized among
other distinguished universities as a distinct college-centered research university that values
outstanding teaching and scholarship.
This Manual applies to all facultyat the university with the exceptions noted below or unless a
specific rule, regulation, or policy requires otherwise.
Any faculty member may submit to the Faculty Senate a recommendation to amend the Manual.
If approved, the Faculty Senate forwards the recommendation to the Provost, who may either
accept or reject the recommendation. If the recommendation is accepted, the Provost forwards
the recommendation to the President who may either accept or reject it. The President forwards
accepted recommendations to the Board of Trustees for a final decision. The Board of Trustees
may make changes to the Manual in consultation with the Faculty Senate, the Provost, and the
President.
This Manual establishes a set of standard procedures. When the Manual uses the words
Senate Meeting Feb 11, 2015
“customarily,” “generally,” “usually,” “typically,” or “normally” in the description of a procedure,
it indicates the flexibility to depart from standard procedure in individual instances. When such
departures require a written exception as indicated in this Manual, these written exceptions must
be filed in the office of the Dean of Academic Affairs. The Dean of Academic Affairs provides to
any faculty member the exception agreements upon request except for those agreements that
contain health or other highly personal information.
This Manual applies to library faculty. When the Manual refers to the “teaching” related duties of
a faculty member, these references as applied to library faculty mean the “Primary
Responsibilities” obligation of a library faculty member.
This Manual applies to the Washington College of Law faculty only when not inconsistent with
the Washington College of Law Faculty Manual. In particular, faculty appointments, promotions,
tenure, and grievance decisions in the Washington College of Law are not subject to review by
either the Committee on Faculty Actions or the Committee on Faculty Grievances. The
Washington College of Law Faculty Manual supersedes and preempts this Manual when its
practices and procedures, including but not limited to those enunciated by the American Bar
Association and the Association of American Law Schools, are inconsistent with this Manual.
This Manual also applies to the Law Library faculty of the Washington College of Law only when
not inconsistent with its approved Washington College of Law Library Faculty Manual (section II,
part V, of the Manual of Information and Procedures). The Washington College of Law Library
Faculty Manual conforms to the American University Faculty Manual except in instances when
long-standing practices, criteria, or principles specific to Law Library faculty members result in
different policies or procedures. The Washington College of Law Library Faculty Manual
supersedes this Manual where the two manuals are inconsistent.
To the extent there are statements in the Manual which conflict with the policies and bylaws of
the Board of Trustees, the Board’s bylaws, policies, and other governing documents will be
controlling.
All questions related to interpretation of this Manual shall be resolved by the Provost or the
Provost’s designee.
Proposed Language with Deletions Struck Through and Additions Highlighted
FOREWORD
Each member of the faculty and American University accept a mutual set of obligations and
expectations at the time of initial appointment. The American University Faculty Manual presents
these obligations and expectations as a guide to university policies and practices regarding faculty.
The Faculty Senate formulated these policies, acknowledging the prior work of the Committee on
Faculty Relations and the ad hoc Faculty Manual Committee. They reflect the efforts of its
drafters to affirm principles in accord with those generally in effect in the academic world. The
university does not discriminate on the basis of race, color, religion, national origin, sex, gender,
Senate Meeting Feb 11, 2015
gender identity and expression, age, disability, marital status, personal appearance, sexual
orientation, family responsibilities, political affiliation, or any other legally protected status under
federal or District of Columbia law. Seeking a diverse faculty and administration, the university
strives to conform to all applicable equal employment opportunity and affirmative action laws and
all federal and state nondiscrimination laws. American University is committed to providing and
protecting all rights afforded to faculty members under federal and District of Columbia
employment and employment-related laws.
The principles set forth in the Manual evince the firm intention of the university to provide as
favorable working conditions for its faculty as resources permit and an atmosphere in which
faculty members may pursue their scholarly, creative, and professional activities and interests
freely and without restraint. In return, the university expects faculty members to devote
themselves with energy to the primary duties of teachers, scholars, and creators of knowledge and
to challenge students intellectually and encourage them to acquire knowledge, understanding, and
vision.
This Manual sets a framework for a university that continually aspires to be recognized among
other distinguished universities as a distinct college-centered research university that values
outstanding teaching and scholarship.
This Manual applies to all faculty at the university with the exceptions noted below or unless a
specific rule, regulation, or policy requires otherwise.
Any faculty member may submit to the Faculty Senate a recommendation to amend the Manual. If
approved, the Faculty Senate forwards the recommendation to the Provost, who may either
accept or reject the recommendation. If the recommendation is accepted, the Provost forwards
the recommendation to the President who may either accept or reject it. The President forwards
accepted recommendations to the Board of Trustees for a final decision. The Board of Trustees
may make changes to the Manual in consultation with the Faculty Senate, the Provost, and the
President.
This Manual establishes a set of standard procedures. When the Manual uses the words
“customarily,” “generally,” “usually,” “typically,” or “normally” in the description of a procedure,
it indicates the flexibility to depart from standard procedure in individual instances. When such
departures require a written exception as indicated in this Manual, these written exceptions must
be filed in the office of the Dean of Academic Affairs. The Dean of Academic Affairs provides to
any faculty member the exception agreements upon request except for those agreements that
contain health or other highly personal information.
This Manual applies to library faculty. When the Manual refers to the “teaching” related duties of
a faculty member, these references as applied to library faculty mean the “Primary
Responsibilities” obligation of a library faculty member.
This Manual applies to the Washington College of Law faculty only when not inconsistent with
the Washington College of Law Faculty Manual. In particular, faculty appointments, promotions,
tenure, and grievance decisions in the Washington College of Law are not subject to review by
Senate Meeting Feb 11, 2015
either the Committee on Faculty Actions or the Committee on Faculty Grievances. The
Washington College of Law Faculty Manual supersedes and preempts this Manual when its
practices and procedures, including but not limited to those enunciated by the American Bar
Association and the Association of American Law Schools, are inconsistent with this Manual.
This Manual also applies to the Law Library faculty of the Washington College of Law only when
not inconsistent with its approved Washington College of Law Library Faculty Manual (section II,
part V, of the Manual of Information and Procedures). The Washington College of Law Library
Faculty Manual conforms to the American University Faculty Manual except in instances when longstanding practices, criteria, or principles specific to Law Library faculty members result in
different policies or procedures. The Washington College of Law Library Faculty Manual
supersedes this Manual where the two manuals are inconsistent.
To the extent there are statements in the Manual which conflict with the policies and bylaws of
the Board of Trustees, the Board’s bylaws, policies, and other governing documents will be
controlling.
All questions related to interpretation of this Manual shall be resolved by the Provost or the
Provost’s designee. The Faculty Manual is a product of shared governance involving the
participation of the faculty, the Provost, and the Board of Trustees. As a living document, the
Faculty Manual is subject to regular revision, clarification, and updating consistent with the
evolving circumstances of higher education and the aspirations of our academic community.
Questions of interpretation regarding this Manual should be directed to the Provost.
Rationale for Change
Language changes are to clarify and reflect current practice and italicized all instances of the word
“Manual” for consistency.
Senate Meeting Feb 11, 2015
April 2015
FROM:
TO:
RE:
Stephen J. Silvia, Chair, Committee on Faculty Actions
Mary L. Clark, Interim Dean of Academic Affairs
American University Colleagues
Instructions for Submitting Files for Action
CFA Schedule for 2015-2016
A. Introduction
May 1, 2015 12-1pm Open CFA Meeting
Candidates, faculty coordinators, and all
internal reviewers should carefully read these
instructions for submitting Files for Action for
reappointment, promotion or tenure to the
Committee on Faculty Actions (CFA).
The CFA and Dean of Academic Affairs
(DAA) prepared these instructions in
accordance with the current American
University Faculty Manual. Candidates,
faculty coordinators, and all internal reviewers
should also read carefully the Faculty Manual
and the guidelines for reappointment,
promotion and tenure of the candidate’s
assigned teaching or academic unit, which are
posted on the Dean of Academic Affairs’
website.
Aug. 26, 2015 12-1pm Open CFA Meeting
Oct. 21, 2015 Deadline for submitting files to
the CFA for full University review for all
pre-tenure reappointments; and for
submitting files for term faculty seeking
promotion to the rank of Assistant Professor,
Associate Professor, or Full Professor, to the
CFA
Jan. 13, 2016 Deadline for submitting files
for reappointment with tenure to the CFA
Feb. 17, 2016 Deadline for submitting files
for promotion of tenured faculty to the CFA
B. General Information about the File for
Action
Candidates for reappointment, promotion, or tenure submit a File for Action using the designated
procedure of their assigned teaching or academic unit. Candidates should prepare their file in
accordance with their unit’s guidelines, and any additional instructions that the unit
provides. Internal reviewers evaluate the File for Action following criteria in the Faculty Manual
and Section 7 of this memo. Once the file has moved through the appropriate reviews within the
unit, the dean or University Librarian will then review the file, make a recommendation, and
send it forward to the Senate office, for a university-level review by the CFA and the Dean of
Academic Affairs. In cases of tenure and tenure-line promotion, the file then goes to the Provost.
In the case of a positive Provost review, a recommendation for tenure and tenure-line promotion
goes forward to the Board of Trustees, which has the final decision making authority.
A File for Action documents the faculty member’s development in three categories – teaching,
scholarship, and service – as generally defined in the Manual and more specifically defined in
the candidate’s unit guidelines. In each of these three categories, candidates will address
achievements, areas where improvement was made, areas where there needs to be further
improvement, plans for growth and development, and projected future outcomes.
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Materials in the File for Action, in both digital and hard copy, are to be concise, meaningful, and
clearly related to the candidate’s performance or development. The Files for Action will not
overwhelm reviewers with extraneous material, such as multiple syllabi that all convey the same
pedagogy. The candidate’s narratives will refer to the unit’s criteria for tenure and promotion.
The hard copy version of the File for Action, organized as described below, needs to fit in one
three‐hole binder with circular rings, which can be handled easily. No material is placed in
plastic sleeves. Original scholarly material accompanies the file in a separate binder, titled
Scholarly Appendix to the File. (“Scholarly” is a term encompassing traditional academic
research, creative and professional work.) All binders must be labeled with the candidate’s name
on the front and the spine. If a candidate has work in progress near completion, such as a
manuscript, the candidate may list the work on her or his curriculum vitae, noting that it is work
in progress, and include the work in the Scholarly Appendix. The academic units themselves
provide guidance to candidates on the form in which scholarship/creative/professional work is
digitized for the digital version of the Scholarly Appendix, and whether it is submitted in digital
form as a link to a resource or as digitized material itself. The CFA encourages candidates to use
links and cloud-based services as much as possible.
Reviewers at each level will independently analyze the body of work. All reviews, internal and
external, are analytic and specific. They must include a recommendation either for or against the
action.
Candidates have a week to reply to each level of review, although they do not need to. Reviewers
to whom the candidate is replying do not comment on the candidate’s reply.
No one but the candidate and/or those who submit written material as part of the established
process may include material in a File for Action. Reviewers may only add their own letter to the
file. Candidates may update information already mentioned as in process in the File for Action,
including the candidate’s own material if that material has been externally reviewed. Material is
eligible if it is new information, if it pertains to an aspect of the file that is already mentioned in
it and if such information significantly changes the status of the file in some way (e.g. a book or
journal acceptance for an item that was already referenced in the file, or an award or other
recognition). All internal parties who have contributed to the file to that point need to be notified
of additions, with redacted information if necessary.
The CFA expects all contributors to the file to observe the CFA’s deadlines strictly. The CFA
does not review incomplete files. Each academic unit provides a checklist, the template for
which is prepared annually by the office of the Dean for Academic Affairs, of the material
required in a File for Action.
Please note: At any stage of the review, reviewers may and often do request additional
information from the candidate, the internal reviewers, and/or external reviewers (via the dean or
University Librarian).
C. Components of a File for Action
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1. Components of a File for Action for Tenure‐Line Reappointment and Tenure or Promotion to
Associate Professor
Candidates will submit a File for Action both in hard copy and digital formats. Only one hard
copy of the File for Action and the Scholarly Appendix is needed; unit staff will deliver it to the
Senate office. Candidates will submit their electronic copy through their own unit’s Sharepoint
Team Site.
HARD COPY
Each File for Action in hard copy must have the following elements in the order specified below
and labeled with roman numerals.
WHAT THE CANDIDATE WILL DO:
The candidate will prepare the File in simple and easy-to-read format, tabbed appropriately, with
the body of text in 12-point type and one-inch margins. The sections will use the Roman
numerals below. Please use judiciously any illustrations, graphs, or other aids; only use them if
they significantly enhance the reader’s understanding of the file. The materials are presented in
this order:
I. Table of contents.
II. A single narrative, no more than 4,500 words long (including footnotes), with the expectation
that this narrative will usually be 10-12 pages, on double-spaced pages, using 12-point type and
1-inch margins, including:
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a scholarship section that describes scholarly objectives and goals, including, in some
detail and specificity, a discussion of the candidate’s future scholarly agenda such as
future projects and venues, funding prospects if relevant, and general trajectory toward
the next promotion (note however that substantiating data, including metrics, goes in the
scholarship documentation section);
a teaching section describing teaching philosophy, addressing achievements, charting
improvement, and establishing areas of growth;
and a service section describing engagement with the university community and
profession, field, discipline or public life related to scholarly expertise, and referencing
unit criteria.
III. Current, dated curriculum vitae. It is up to the individual to provide the appropriate
documentation and format for the CV. All article entries must include page numbers; annotate
professional and creative productions with basic information on scope of project.
IV. Scholarship documentation section. This section must include information on the
significance of publication or distribution venue (including acceptance rates, impact factor and
rank of journals; number of downloads, if available; status and scope of publishers, distributors,
galleries, etc.); information on nature of collaboration in co-authored works (e.g., the candidate’s
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role and contributions in the project); relevant peer reviews (such as readers’ reviews if work is
still unpublished, acceptance by publishers or distributors; published reviews; and, if appropriate,
evidence from relevant citation indices, using the unit’s criteria. Please do not put original
scholarly/professional/creative material here; put that material in the Scholarly Appendix.
V. Teaching documentation section. This section must include the numerical portions of all
student evaluations of teaching (SETs) as well as evidence of assessment of teaching that goes
beyond numerical ratings and provides information that points to the creative aspect of teaching,
including syllabi, information on student engagement outside the classroom (e.g. dissertation
advising, internship and community-based research supervision, course design and/or, new
curricular initiatives). If any student open-ended comments in SETs for a course are included, all
the comments for that course need to be included.
VI. Service documentation section. This section includes any relevant documents associated with
service.
The candidate will also submit separately a Scholarly Appendix; each academic unit provides
guidance on how to assemble this.
WHAT THE DEAN’S OFFICE/UNIVERSITY LIBRARIAN WILL DO:
At the front of the 3-hole binder, as the first tabbed sections, material prepared by the dean’s
office or the office of the University Librarian will include:
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checklist (this will be the first page in the file).
where applicable, unredacted (and of course, confidential) versions of external letters
with candidate’s responses to the redacted versions of these letters, along with copies of
relevant correspondence (e.g. soliciting of the letter and acceptance of it), the curricula
vitae of the reviewers, and a list of the candidate’s materials sent to those reviewers.
this year’s unredacted internal letters, with any responses from the candidate,
chronologically with the most recent on top, along with any relevant paperwork such as
communication waiving years to tenure
previous evaluations, that is, internal unredacted memos, vote counts and any candidate
responses from previous faculty actions including re-appointments, if applicable,
arranged from most recent to earliest. Do not include annual reviews internal to the
academic or teaching unit in the file.
DIGITAL FORMAT
For each candidate, the CFA also expects from the candidate and the dean’s office or the office
of the University Librarian, respectively, digital files that mirror the hard copy files.
WHAT THE CANDIDATE WILL DO:
The candidate’s digital File for Action is a document set that will replicate the
information in the hard copy, except for the table of contents, consisting in digital format
of seven files in simple, searchable, linkable PDF format. Use the structure described
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above in the hard copy section. Use file names following this model: candidatename
narrative.pdf; candidatename cv.pdf; candidatename scholarship.pdf; candidatename
teaching.pdf; candidatename service.pdf; candidatename scholarlyappendix.pdf.
The candidate will upload this material into the unit’s Sharepoint Team Site.
WHAT THE DEAN’S OFFICE/UNIVERSITY LIBRARIAN WILL DO:
These digital files simply replicate the material in the hard copy of the file. The files are:
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checklist (it is prepared by the dean’s office or the office of the University Librarian);
(candidatename checklist.pdf)
an external letters document set, where applicable:
o
unredacted versions of external letters with candidate’s responses;
(candidatename external.pdf)
o copies of relevant correspondence (e.g. soliciting of the letter and acceptance of
it) and a list of the candidate’s materials sent to those reviewers; (candidatename
external correspondence.pdf)
o the curricula vitae of the reviewers; (prepared by the dean’s office or the office of
the University Librarian). (candidatename externalcvs.pdf)
this year’s internal letters chronologically with the most recent on top, along with any
relevant paperwork such as communication waiving years to tenure (candidatename
internal.pdf)
previous evaluations, that is, internal unredacted memos, vote counts and any candidate
responses from previous faculty actions including re-appointments, if applicable,
arranged from most recent to earliest. Do not include annual reviews internal to the
academic or teaching unit in the file (candidatename previousevals.pdf).
2. Components of a File for Action for Tenure-Line Faculty Promotion to Full Professor or to
Librarian
Candidates will craft their files with special care to the language in the Faculty Manual defining
this position. This File for Action follows the outline and format described in item C.1 above,
with two differences: (1) only SETs for the previous six years of teaching are needed, and (2)
only recommendations for tenure and promotion are needed. External reviewers typically will
not have previously evaluated the faculty member, as a file is much stronger with new
evaluators.
The File for Action for those seeking promotion after a prior denial of promotion is as complete
and detailed as any File for Action being submitted for the first time. For such a file, new
external letters must be provided from reviewers who have not previously evaluated the
candidate.
3. Components of a File for Action for Faculty Entering the University at a Tenured or an
Associate or Full Professor Level
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The content of these files will depend to some extent on the uniqueness of the individual case. In
general, the CFA expects that the relevant unit will submit a curriculum vitae for the candidate;
relevant correspondence from the candidate, e.g. a submission letter explaining interest,
experience and credentials; any internal letters, including a letter from the relevant dean or
University Librarian and reporting on off-list reference checks by whichever person or
committee was responsible for it; external evaluations, which could include evaluations provided
for a recent promotion or evaluations solicited in the process of hiring; and evidence of teaching
experience and quality, e.g. student evaluations and syllabi. In an appendix, the unit will also
provide examples of scholarly/creative/professional work. The unit will provide a checklist of
the materials it is providing; if one of the above-suggested items is missing because it is not
relevant, and/or other materials are provided, the unit (perhaps in the dean’s or University
Librarian’s letter) will provide an explanation in both the digital file and hard copy.
D. Procedures for Reviewing Files
1. Internal Letters
The following internal letters at a minimim are required before submission to the CFA;
individual unit requirements may mandate more:



an evaluation from the head of the teaching unit, or equivalent as appropriate to the
academic unit;
an evaluation from any other designated review committee, such as the rank and tenure
committee at the teaching/academic unit or a group of senior faculty, as the unit defines
(n.b.: The committee names the individual heading or representing, for the purpose of
correspondence, the committee in its letter, e.g. “Jane Smith, Chair, Rank and Tenure
Committee”; letters from “Rank and Tenure Committee” or “Senior Faculty” are
unacceptable);
an evaluation from the academic unit dean or the University Librarian.
Do not include the annual reviews that are customary in some units..
Letters at the unit level are each independent evaluations of the candidate’s performance in
research, teaching and service, the candidate’s response to problems noted in previous
evaluations, areas of needed improvement and growth, and promise of continuing activity in
scholarship, teaching and service. Reviewers will use the criteria for the rank to which the
candidate has applied when evaluating the file. The letters will address in detail the nature and
quality of the candidate’s research. They will address questions that may arise for non-specialists
later reading the file, for instance the meaning of a co-authorship or the prestige-level of a
particular grant. They will identify the rank and significance of venues in which the candidate’s
work has appeared. They will consider the teaching record beyond SETs, and provide context
that may help those outside the unit to interpret data.
The letters will address any issues flagged in earlier reviews. Quotations from other letter writers
cannot substitute for one’s own analysis, though quotations may be included. Any references to
external letters must strictly preserve the anonymity of those reviewers, avoiding even
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descriptors, since they may in many cases significantly narrow the pool of possible reviewers.
In the case of professional and creative work, letters need to engage not only the substance of
material addressed but also the aesthetic and craft decisions chosen by the candidate, and the way
in which those choices locate and position the candidate within their field.
The dean’s or University Librarian’s evaluation will provide an evaluation of the candidate’s
performance and role within the unit and university and their field, and indicate where he or she
agrees or disagrees with unit reviewers and why.
2. Vote count
Within the unit, a secret-ballot vote count (yes, no, abstain) by some or all tenured faculty is
required separately for each of the criteria of research, teaching and service, and overall results
as well as tallies will be included at the end of the appropriate internal review letter or in an
attached letter (in its electronic form, within the same digital file). This vote is taken after review
of material and an in-person, phone or Skype (or its equivalent) discussion; no proxy votes are
accepted. No person has more than a single vote in the process of evaluation of a faculty
member. The numerical results of this vote, along with an explanation for the issues resulting in
any significant divided vote, are included in the appropriate unredacted internal letter. The letter,
or letters, in the case of intransigent disagreement needs to explain what issues were raised by
the faculty members who voted. Voting faculty are expected to raise issues in the discussion that
would explain the existence of dissenting votes. Abstentions should be a rare exception.
Abstentions cannot be used to signal that the voter did not read the material.
3. External letters
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A minimum of five external letters is required in the Files for Action for candidates seeking
tenure and/or promotion. The file must contain all solicited letters received. Candidates
submitting Files for Action do not solicit letters for their own files. A candidate may suggest
potential reviewers, but a file may contain no more than two letters from reviewers suggested by
the candidate. The academic unit head, teaching unit chair or a designated committee shall select
all of the reviewers and solicit all of the letters. Each candidate decides, in conjunction with their
unit, how much of the candidate’s work is relevant to put forward to the reviewer. In general
reviewers expect to read a strong representative sample of the work, not everything on the
curriculum vitae.
Deleted: outside
External reviewers are nationally or internationally respected individuals whose area of expertise
qualifies them to speak with authority about the candidate and whose professional and personal
relationship with the candidate is such that the external reviewers can provide an objective
review. Customarily, the majority of these letters is from faculty members, typically full
professors, who are affiliated with highly regarded institutions. In most cases, and appropriately
to the discipline, at least two of the letters should come from someone outside the narrower niche
within which the scholar works, who can provide assurance that the work rests on a solid
foundation underlying the narrow area and meets the standards of the field or profession.
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Deleted: A
Deleted: that are
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Deleted:
Deleted: majority of reviewers’ names is suggested by the
Deleted: , not by the candidate
The identity of external letter writers remains confidential before, during, and after the review
process. Teaching units decide whether external letters are completely closed to the candidate or
strictly redacted, such that potential identifying characteristics of the author are removed.
Those soliciting external evaluation letters for promotion and tenure will consider the following,
and so properly inform external reviewers, in order to minimize the hazard of having letters
rejected or reviewers requested for further information:



The reviewer’s objectivity must be credible. Some kinds of relationships are not credible
prima facie. These include a candidate’s former professor, a thesis or dissertation advisor
or committee member, co-author, co-editor or personal friend as opposed to professional
colleague. All these people can confidently be expected to have an investment in the
person’s success. A professional colleague is acceptable to the degree that the external
reviewer can establish in the letter that he or she can exercise objectivity in an evaluation
of the candidate’s work. Formal relationships in themselves do not always determine
whether or not a letter writer is too close to the candidate for objectivity. In that case, a
writer may need to address the nature of the relationship with some specificity, giving
consideration to the need for readers to understand how their judgment can be objective.
A reviewer at any stage in the process may request additional letter(s) should it be
discovered that the relationship between a letter writer and the candidate is not
sufficiently independent. Once the unit obtains the additional letter(s), a new review
commences that must start at the beginning of the process. Each level of review must
take into account the new external letter(s) and the elimination of the non-objective
letter(s) in the new review.
This is a task of evaluation, grounded in analysis of scholarship/professional/creative
work; a recommendation either for or against the candidate’s action, based in this
evaluation, will conclude the evaluation. The reviewers will provide a context for the
discussion of the candidate’s work, to aid those who are not expert in the field, and
analyze the specific work.
External letters explicitly address the specific criteria associated with the rank. The letter
writer must be given a copy of unit guidelines as well as faculty manual language on
tenure expectations.
A template for a request letter to external reviewers is available from the AU portal
(myau.american.edu), on the Academics/Dean of Academic Affairs’ page, under “Tenure Track
Faculty Re-appointments.”
Deleted: outside
Deleted: outside
Deleted: Outside
Deleted: outside
4. Communications in the File for Action review process
At each level of review, copies of the review letter will be sent to the candidate and to all earlier
reviewers. These letters will be delivered both in hard copy and (properly limited) in the unit’s
Sharepoint site. For all vote counts, including that of the Committee on Faculty Actions, the
numerical results are redacted for all previous reviewers and for the candidate.
Candidates submit any response to review letters are submitted both in hard copy and via
Sharepoint, but never in email, to their unit coordinator. Candidates should address the response
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Deleted: All
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to the level above the review to which he or she is responding (e.g., a candidate should address a
response to a dean’s review to the CFA) and indicate at the bottem of the response that all
previous reviewers/reviewing bodies should receive a copy.
In extraordinary circumstances, and with knowledge that doing so will delay the process, a
reviewer/reviewing body may ask for substantial new information, e.g. book chapters in
manuscript or revised or new external letters. If a reviewer/reviewing body requests such
information, earlier reviewers/reviewing bodies must also be given an opportunity to review the
new material. If the new material affects the assessment, any reviewer/reviewing body may
change an earlier judgment and add the changed judgment to the file.
Deleted: are cc’d and sent to
Commented [A1]: This revision clarifies for candidates how to
respond.
Deleted: as well
Deleted: and comment upon
Deleted: at work, if necessary
Commented [A2]: This revision clarifies the language.
Deleted: reviseing
Deleted: their
Deleted: revised
Deleted: s and if relevant taking a new vote only as they are
directly affected by that new material
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Colleagues:
In Fall semester our committee submitted a report of our findings on SETs and the evaluation of
teaching. We have received feedback from faculty, deans, students, and others. We are attaching
a new report in which we have attempted to address the concerns and opportunities that were
raised during the Fall. This report addresses SETs, going beyond the SETs, and the use of
various forms of evaluation. The report is extensive so that it speaks to as much of the feedback
we received as possible.
We value the opportunity to receive your feedback on this draft. There is a survey set up for
feedback: http://www.cvent.com/d/yrq0ln/3B. We will discuss this draft at the Faculty Senate on
April 8. We will also reach out to the community in other ways. You can reach us directly via
email. We plan to revise the report based on community feedback with the goal of having it
voted upon at the May Faculty Senate meeting.
This has been an interesting and constructive process. We look forward to continuing to work
with you to improve the evaluation of teaching at AU.
Chris Tudge (ctudge@american.edu) and Tony Ahrens (ahrens@american.edu), Co-Chairs,
Faculty Senate Ad Hoc Committee on Teaching Evaluation and SETs
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Faculty Senate ad hoc Committee on Teaching Evaluation and SETs
Draft Report
Evaluation of teaching is both necessary and necessarily imperfect. The task of the Faculty
Senate ad hoc Committee on Teaching Evaluation and SETs is to develop improved methods of
evaluating teaching given both the necessity of evaluation and the imperfections in current forms
of evaluation. We examined current scholarly research on evaluation of teaching. We solicited
feedback from the broader AU community: sessions at the 2014 Faculty Retreat, an online
forum for faculty, meetings with Deans and the Faculty Senate, a survey of undergraduate
students and feedback from student focus groups.
This report, which presents the results of our work, is divided into the following parts:
1) Background on evaluation of teaching
2) Consideration of changing to electronic student evaluation of teaching
3) General SET considerations
4) Going beyond the SET in evaluation of teaching
5) Usage of various forms of evaluation
6) A summary of our recommendations
7) References cited
8) An appendix of proposed SET questions
Our recommendations are in bold text and collected in section 6.
1) BACKGROUND ON EVALUATION OF TEACHING
To evaluate the effectiveness of teaching one needs to understand its purpose. However, there is
little formal agreement on the purpose of teaching, and purposes will likely vary from professor
to professor, group to group (for instance, undergraduate vs. graduate students), culture to
culture, and time period to time period. Indeed, many of the most interesting comments we
received were, at least in part, about the possible mismatch of assessment tool with that which is
being assessed. Moreover, our own reflections on what we value from our time as students also
do not map easily onto a small set of readily definable goals.
Consider some definitions of the purpose of teaching. Judith Shapiro, former president of
Barnard, presented this description of the purpose of higher education: “You want the inside of
your head to be an interesting place to spend the rest of your life” (Delbanco, 2012). Heidegger
writes: “Teaching is more difficult than learning because what teaching calls for is this: to let
learn. The real teacher, in fact, lets nothing else be learned than — learning. His conduct,
therefore, often produces the impression that we properly learn nothing from him, if by
‘learning’ we now suddenly understand merely the procurement of useful information. The
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teacher is far ahead of his apprentices in this alone, that he still has far more to learn than they —
he has to learn to let them learn” (Heidegger, 1968). Similarly, when a faculty colleague asked a
former student why she/he should continue to be employed the former student declared that the
faculty member should still be employed “[b]ecause four years out from college I remember
specific conversations and moments from the one class I took with you that helped shape my
career and education choices, more than any other educational experience I had at [that
professor’s school].”
AU’s Middle States Self-Study included the following description of the goals of education,
drawing from The Association of American Colleges and Universities (AAC&U):
By “liberal education,” AAC&U means, “an approach to college learning that empowers
individuals and prepares them to deal with complexity, diversity, and change. This
approach emphasizes broad knowledge of the wider world (for example, science, culture,
and society) as well as in-depth achievement in a specific field of interest. It helps
students develop a sense of social responsibility; strong intellectual and practical skills
that span all major fields of study, such as communication, analytical, and problemsolving skills; and the demonstrated ability to apply knowledge and skills in real-world
settings.”
Some of these goals, such as having the inside of one’s head be interesting, are more difficult to
evaluate than others, such as demonstrating a particular practical skill. Assessment, however, is
likely to focus on that which is most easily measured; some faculty may well then shape their
behavior to that which is being assessed. Therefore, there is a danger that those goals that are
more easily assessed will receive more attention at the expense of those goals that are more
difficult to assess, crowding out efforts toward reaching potentially more important goals.
Despite these difficulties, teaching needs to be assessed, for two purposes.
First, assessment of teaching can help to improve teaching. Professors routinely engage in a
variety of ways of seeking feedback so as to change how they teach, even in the middle of
courses. Facilitating this sort of “formative” evaluation should improve teaching.
Second, assessment of teaching also needs to occur to evaluate the faculty engaged in teaching.
In decisions ranging from merit pay review to reappointment to tenure, teaching must be
considered, and that cannot happen without some form of “summative” assessment.
If assessment cannot be done perfectly, it can be done better and with a sense of the limitations
of those methods used, as is true also in evaluation of scholarship and service – the other two
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legs of the three-legged stool of academic evaluation. Our committee has several
recommendations for how to improve our methods of teaching evaluation, as we describe below.
2) CONSIDERATION OF CHANGING TO ELECTRONIC STUDENT EVALUATION OF
TEACHING
We recommend that SETs be done online. This should facilitate easy analysis of SET data
and easier delivery. We will discuss some of the benefits of online evaluation in section 5, but
we note here that the current paper-based system is near collapse, and so we must move to a new
system in the very near future. This move affords an opportunity to switch to electronic SETs.
We will now discuss some of the considerations in changing to electronic SETs.
a) Not all forms of electronic evaluation are the same
Some universities that have switched to online SETs have experienced profound problems.
i) Some universities that have gone electronic have then experienced dramatically low
student-response rates, with as few as 20% of students completing SET forms. Those who do
complete the SET at these universities are likely to be atypical, as are those who often complete
on-line reviews such as ratemyprofessor.com.
ii) Some universities require students to complete SETs, usually through some form of
withholding of grades or inability to enroll in future classes, etc. This increases the response
rates but creates other problems such as student resentment of the university and of the
professors they need to review. In fact, more than 90% of recently surveyed AU undergraduates
expressed that they would not like to see a SET system that withheld their grades because of a
lack of participation.
b) We recommend that SETs be completed in the classroom as has been the case for paper
reviews. We also recommend that the window in which students can complete responses be
kept open if response rates are low. For instance, WCL (from which we drew ideas
concerning online evaluations) typically keeps the window for evaluations open for 48 hours.
However, they reopen evaluations for those courses below a minimum response rate (80%)
through the end of study days.
c) We recommend that the SETs be designed to be completed on smartphones, laptops, or
other personal electronic devices.
i) Doing so will maximize participation. Only 3.7% of recently surveyed AU
undergraduates said they would not have a personal electronic device available in the classroom.
ii) Keeping the window open for 48 hours should facilitate participation by those who
forget to bring electronic devices or do not own them.
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iii) Making the SETs smartphone compatible will likely reduce the space and time for
free-response comments, though perhaps leaving the response window open would help to
alleviate this problem.
iv) Note that this accessibility via small-screen smartphones may also put restrictions on
the SET (e.g., the number of questions and the extent and meaningfulness of open-ended
comments).
v) Other means of boosting response rates are available and may be useful under some
circumstances (e.g., Berk, 2012).
d) We recommend that a joint group of faculty, representatives from OIT and the
Registrar’s office manage the electronic system. Though our committee has yet not focused on
the rollout of the new system, we suggest that there be a pilot of the system using a subset of
senior faculty who have the rank of professor or term equivalent.
3) GENERAL SET CONSIDERATIONS
We propose a new set of SET questions. These will be presented at the end of this report in an
appendix. Before considering specific questions we will discuss SETs in general, so as to
provide context.
a) Using SETs to evaluate teaching presents a variety of problems. We describe three of
these problems here.
i)
One recent study (Braga, Paccagnella, & Pelizzari, 2014) suggested that higher SETs
were predictive of poorer performance in subsequent classes. Students were, to some
degree, randomly assigned to different sections of the same course. Outcome
measures were grades in subsequent (also somewhat randomly assigned) sections of
linked courses. Students in sections that received better SETs did better in the initial
class but less well in subsequent classes. This suggests that faculty who “teach to the
test” might have students who value the course-specific progress they make and do
better in the short run, but miss the deeper learning achieved by those in classes that
are less favorably reviewed (for which the gains might be less immediately visible to
students). However, this study examined courses in only three disciplines at one
university in Italy, and there were difficulties in random assignment, rendering
interpretation of the study difficult.
ii)
Student evaluations of teaching are likely affected by a variety of factors that are
unrelated to how much students learn. For instance, the largest correlate of student
evaluations may be whether students have a prior interest in a course (Wright &
Jenkins-Guarnieri, 2012). Thus, it is plausible that professors teaching lower-level
required courses might receive lower ratings than those teaching higher-level optional
courses even if there are no differences in objective learning. In addition, there may
be biases in evaluations based on race, gender or other demographic variables. For
instance, one review suggested that “gender appears to operate in interaction with
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iii)
other variables, such as the gender of the rater, the gender-typing of the field in which
one teaches, one’s gender-typed characteristics, and status cues” (Basow & Martin,
2012). There may also be biases based on actions faculty take that are unrelated to
learning. Indeed, one article, drawing on correlational studies, suggested twenty
methods faculty might use to raise SETs without increasing learning (Neath, 1996).
It is difficult to assess what we do and do not know. For instance, sometimes the only
way we can understand our own ignorance would require us to not be ignorant. Thus,
the least competent are often the most likely to overestimate their performance
(Kruger & Dunning, 1999). Students who have learned little might judge themselves
to have learned as much as those who have learned a great deal. If students rely on
erroneous estimates of what they have learned to make their evaluations, those
evaluations will be of dubious validity, as suggested by the Heidegger (1968) quote
above.
These are all serious problems, and they do not exhaust the list of problems to be considered
when using student evaluations. However, they do not doom student evaluations as a tool. That
the evaluations are affected by some things other than learning does not mean that they are
uninfluenced by learning. And the most recent review we could find of meta-analyses of the
validity of SETs concluded, drawing upon 193 studies, that SETs were in fact valid (Wright &
Jenkins-Guarnieri, 2012). Across a large number of studies, courses that were better rated also
demonstrated more learning.
In addition SETs give students an opportunity to provide insights into a course. This is
important not only because student input can improve teaching and help identify stronger and
weaker teachers, but also because the role of a student calls for the reflection and voice present in
the SET exercise. There can be an unfortunate tendency to reduce “students” to “customers.”
Having students supply input about their learning experience will, at its best, help students reflect
on their activities and experience and by doing so enter more deeply into their roles. Having
students voice their input serves as a reminder that their role in the scholarly community is not
passive but, rather, active.
All these considerations, the drawbacks, validity, and usefulness of SETs, influenced our
decisions regarding the SET. In the appendix, you will find those revised questions as well as a
key to the revisions. We will discuss modified usage of SETs in section 5.
4) GOING BEYOND THE SET IN EVALUATION OF TEACHING
Effective teaching has many dimensions, so our evaluation system must incorporate multiple
means of capturing evidence of teaching effectiveness. In fact, our Faculty Manual mandates
that we do so.
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Presently, all academic units have narratives (listed on the DAA website1) identifying the variety
of ways in which their own unit looks beyond SETs in evaluating (and hopefully mentoring)
good teaching, primarily for promotion and tenure. However, in reviewing these criteria in their
present form, as well as drawing upon CTRL’s survey of academic unit practices, it was difficult
to discern how such multiple criteria are actually applied. In addition, this is of particular
concern for term faculty, for whom there are few evaluation criteria for reappointment and merit.
While we believe that SETs play an important role in evaluation, we also believe that units
should develop a transparent, multifaceted assessment of teaching effectiveness. The choice of
measures and weight they are given may well vary with type of review (e.g., tenure-line versus
term faculty, merit review versus promotion or tenure). All faculty (tenure-line and term) within
each unit should be given the opportunity to participate in this development process, and the
results of the process should be widely disseminated, particularly to those faculty who are up for
review.
Examples of “beyond SET” criteria identified across units as well as proposed by our Committee
include:
o Peer review of teaching
o Teaching portfolio
o Course syllabi
o Innovations in teaching, including teaching a new course
o Publications in/presentations at pedagogical journals/conferences
o Letters from former students and advisees
o Publications by students whose research faculty have supervised (faculty may or may not
be co-authors)
o Self-description of course goals and self-evaluation of achievement of course learning
objectives
o Examples of feedback provided on student work
o Fulfillment of course and program learning outcomes
o Preparation for advanced courses in the program
As with SETs, each of these has its limitations. For instance, peer review may capture only a
small portion of a colleague’s teaching and is likely to be affected by who is reviewing. Different
peers might well give diverging feedback (a phenomenon familiar from peer review of scholarly
manuscripts or grant applications). A given classroom visit will be difficult to contextualize
absent knowledge of what has previously occurred in a course. And peer review on a large scale
would be labor intensive. Letters from students will likely favor those with many students or
those who encourage their students to write letters. Other items on the list also need to be
1
http://www.american.edu/provost/academicaffairs/unit-guidelines.cfm#ten, accessed March 2014.
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critically evaluated for both strengths and weaknesses. But such alternatives must be considered
to yield a richer, more holistic, evaluation than that provided by SETs alone.
To help develop and use these measures, units can consult with CTRL and other resources. In
addition, units may coordinate this process with the Committee on Faculty Relations during each
review cycle of unit guidelines.
In addition to developing a richer set of measures of teaching effectiveness, we recommend
identification of best practice mechanisms for supporting good teaching.
Teaching units should develop materials and training opportunities to support “beyond
SETs” options, working with CTRL or other resources as appropriate. The primary function
of this support should be to develop and mentor good teaching, rather than to serve as an
evaluation metric. For example, we offer the following list of support systems that should be
continued or augmented.
CTRL and Unit Programs, Conferences, and Workshops
Both CTRL and several of the academic units have events and personnel in place to help support
good teaching. We strongly suggest that academic units work to shift their emphasis from asking
faculty up for reappointment to “raise their SET scores” and instead nurture an environment of
helping them improve their teaching.
Peer Observation of Teaching
Individual units should continue to have the option of whether or not to conduct peer
observations. Similarly, units should continue to decide for themselves whether feedback will be
used strictly for mentoring purposes or for evaluation purposes as well. However, we urge that
the emphasis be put on mentoring, not evaluation. In Spring 2013, CTRL offered a training
session on effective ways of doing peer observations of teaching. CTRL has prepared a
handbook on peer observation and will continue to assist departments and programs in
developing peer observation of teaching methods tailored to their particular needs.
Explore Creation of University-Wide Teaching Mentoring Program
While some parts of the university have initiated programs to mentor faculty teaching (e.g. the
pilot CTRL-CAS Partners in Teaching Program; programming in SIS), others have not. We
propose that the university explore the usefulness and feasibility of establishing a universitywide cadre of faculty mentors available to faculty (and academic units) that choose to work with
them.
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5) USAGE OF VARIOUS FORMS OF EVALUATION
To some extent the difficulties with evaluation of teaching arise from the usage of particular
methods of teaching evaluation rather than the methods themselves. Evaluation shapes behavior,
and so, for instance, evaluating teaching by SETs likely changes behavior that will influence
SETs. Faculty have been known to say that they have to raise SETs, and that they must go to
CTRL to do so, rather than with the intent to do a better job of teaching. To the extent that
faculty are trying to raise SETs, are they doing so with an opportunity cost of not doing better as
teachers?
For all these reasons, evaluation of teaching must change to ensure that faculty do not do the
equivalent of “teaching to the test.” Such a change may be more important than the specific
questions used in any SET instrument.
But deans and others who evaluate teaching only have so much time to evaluate. All full-time
faculty are evaluated on an annual basis for merit pay. To do deep analysis of every teacher on
an annual basis would consume a huge amount of time. So for some purposes there is a need for
relatively simple evaluation, but one that minimizes distortion arising from the form or
schedule/frequency of evaluation.
These difficulties in interpretation of teaching-evaluation information also arise from the
challenge of self-assessment. It is difficult for people in general to understand their
shortcomings; if understood, they would be corrected (Kruger & Dunning, 1999). As a result,
people generally believe that they are above average (Dunning, Heath, & Suls, 2004). For
instance, in one study over 90% of faculty considered themselves to be above average compared
to others at their institution (Cross, 1977). This makes conflict between self-evaluation of
teaching and evaluation by outside observers both common and fraught. Having ways of dealing
with at least some of these problems would be useful.
Here are some suggestions for how to improve the usage of SETs.
a) Develop better comparison groups
Right now courses are compared within units (e.g., department and college). They are also
compared within broad categories of classes (e.g., 100-400 vs. 500- and above). But courses
vary within these groupings. For instance, an introductory course with over 100 students is likely
to be drawing a set of students with different commitments than a 400-level seminar with 15
students. Within a unit some courses generally get lower ratings. Chairs then have difficulty
recruiting faculty for these courses as faculty do not want to receive the lower SETs.
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We recommend the development of better, more fine-grained, comparison groups. For
instance general education courses that many students take simply to fulfill a requirement might
be separated out, as might small graduate seminars that draw students intensely interested in the
topic. (Of course some students take General Education courses out of desire, and some students
take courses that are not part of General Education for reasons other than desire. However,
General Education courses are disproportionately likely to draw students who at least initially do
not have that desire.) We suggest that general education courses for each of the five areas be
grouped for purposes of comparison. We also recommend that other groupings be considered
(e.g., courses taught by first year faculty, social science research methods courses, and required
courses) and note that a move to electronic SETs should facilitate this process.
b) De-emphasize the importance of small differences in SETs.
There is faculty concern that small differences on SETs, though not meaningful, might be
perceived as meaningful. For instance, some units review SETs for whether they are above or
below the mean for the relevant department and college. But it is unclear that, for instance,
being above and below a department’s average is an important distinction. For example, we
know of a case in which a faculty member received an average instructor rating of 6.07 for a
large general education course section but was nonetheless below the department average for the
instructor rating. As a result faculty, especially term and pre-tenured faculty, worry a great deal
about receiving SETs that are even barely below comparison means. This problem also leads
some faculty to try to avoid teaching courses that are particularly likely to draw low SETs. Our
recommendation in section 5a partially addresses this problem. We recommend that when
comparing faculty SET numbers, evaluating bodies avoid a single-number “average” for a
given question and instead determine an “average range” that would allow for small and
insignificant variations around the average. (By analogy while the midpoint on intelligence
tests is 100 “average” is considered a range from 90-109, rather than a single point.) There are
multiple ways in which the average range might be determined. For instance, SETs within a
standard deviation of the relevant teaching unit mean might be considered within the average
range. Alternatively, the average range might be between the 25th and 75th percentiles.
c) Use better statistics (dealing with outliers, for instance)
Right now SETs ratings are looked at in terms of averages, or as percentage of ratings in a
particular range (e.g., 6 or 7 on a 7-point scale). While use of averages has clear advantages it
also has limits. For instance, in a small class one or two very low ratings might well pull down
averages. We recommend that the statistical output of SETS include information on
medians as well as means. Discrepancies between these two might be examined for their
meaning. Standard deviations may also be helpful. Two courses with similar means might differ
with one having ratings clustered tightly about the mean and the other with ratings more widely
distributed. Identifying extreme variations in distributions might provide a richer understanding
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of the evaluations. We also suggest that information about mean and median ratings for
department/college/type of course be distributed to those involved in merit-pay review. This
should help those who are assigned to courses that typically draw lower SETs, while still
minimizing the reporting burden on faculty. Electronic SETs will likely facilitate the use of a
more sophisticated statistical approach.
d) Conduct further study of the role of grades in evaluation of teaching.
Students in some courses rightly receive better grades than students in other courses. For
instance, graduate students in very selective programs are likely to do particularly strong work
and so receive particularly good grades. But faculty reports suggest that there is pressure to give
relatively good grades, regardless of student performance, so as to bring about good SETs. At
the same time, some evaluating bodies examine grade distributions as they conduct their own
reviews of teaching performance, but these examinations are not done systematically or
consistently across or even within units. We recommend further study of the role of grades
in evaluation of teaching in order to produce recommendations for more consistent
consideration of grades when evaluating teaching.
e) Train faculty to make a case for themselves in files for action, merit files, etc.
Because the SET instrument cannot capture all of the details of a course, faculty should fill in
those gaps by describing innovations in their teaching, revisions to courses, “experiments” that
did or did not succeed, problematic situations and their responses to them, and new pedagogical
approaches. Units should create the opportunities for these descriptions by requesting them as
part of files for action and merit files and as appendices to FARS reports. Units should also
provide guidance to faculty—particularly new term faculty and junior faculty—in effective
methods of advocating for themselves as teachers.
f) Make written student comments accessible to those reviewing faculty. Student “open
response” comments can provide valuable context for the numerical ratings. Whereas numbers
sometimes allow for little nuance, comments can reveal, for example, students’ perception that a
class was good because it was easy or that a professor who rated somewhat negatively actually
benefited the students’ learning—or even that students harbor prejudices toward a professor that
might explain the numbers. These comments should only be available to reviewing bodies and to
the faculty members themselves.
g) Identify models of excellent evaluation of teaching
One of the reasons that SETs are so heavily used by administration is that units sometimes do not
provide detailed information about faculty teaching to deans. There are many reasons for the
failure to look beyond SETs in the evaluation of faculty teaching. As noted above, it takes time
to evaluate and faculty time is often scarce. It can also be uncomfortable for faculty to give
negative feedback to colleagues with whom they regularly interact and often, non-SET measures
are insufficiently standardized or transparent enough to use in evaluations. It is understandable,
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then, that units sometimes engage in analyses lacking in detail and constructive negative
feedback. However, it is also understandable that when deans are provided with teaching
evaluations with little detail and rare negative feedback that the departmental positive feedback
is less compelling.
We recommend that academic units identify teaching units that provide compelling
teaching-evaluation information. These units might then be used as models for other units.
The College Writing Program, for instance, has been held out as one such example.
h) We recommend using a separate SET for formative purposes early in the term, separate
from the traditional end-of-semester SET.
SETs serve not only for evaluating faculty but for helping them form their practice. However,
faculty only receive SET information well after a semester is over. Many faculty already engage
in mid-semester exercises to obtain student feedback on their courses. We recommend all
faculty survey students for formative input at or shortly before mid-term with a reduced,
customized, or modified question set. The outcomes of these formative SETs would only be
available to the faculty member. Because, ideally, faculty would seek assistance with
problematic classes, the university might need to increase support for such offices as CTRL if it
saw a large increase in faculty enquiries.
i) Modify FARS to better record and represent teaching effectiveness
FARS should be modified to include space at the beginning of the document where faculty
members can summarize their most important accomplishments (in teaching, research, and
service) for the year. Note that at present, the only open-ended space in FARS (found under
“Teaching”) limits faculty to talking about pedagogical innovations or student outreach activities
“that are not connected with a specific course.”
j) Educate all members of the university about the functions of teaching evaluations
Information about the purpose, components, and uses of American University’s SET
system of evaluating teaching effectiveness should be shared with students, faculty, and
administrators in a systematic and repeated fashion. This process should ensure that:
o students understand the role SETs play in faculty evaluation, and therefore their
importance
o faculty evaluation committees are aware of unit policies regarding the balance between
SETs and other criteria in evaluating teaching, along with the vital role of mentoring
o new faculty are introduced to the FARS system, including how it is used administratively
o administrators and/or university-wide committees making final decisions on merit pay,
promotion, and tenure remain cognizant of differential academic-unit policies
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k) Rename SETs
We recommend that the SET questions be renamed as “Student Input on Learning and
Teaching (SILTs)”. We believe this better reflects and frames what students are doing. (Note
that we will continue to refer to them as SETs for the rest of this report, for ease of reading.)
High-quality teaching is critical to the mission of American University. Therefore, we offer these
recommendations to include multiple aspects of teaching effectiveness in our evaluation and
support systems for the continued development and practice of high-quality teaching.
6) A SUMMARY OF OUR RECOMMENDATIONS
1. We recommend that SETs be done online.
2. We recommend that SETs be completed in the classroom as has been the case for
paper reviews. We also recommend that the window in which students can
complete responses be kept open if response rates are low.
3. We recommend that the SETs be designed to be completed on smartphones, laptops,
or other personal electronic devices.
4. We recommend that a joint group of faculty and representatives from OIT and the
Registrar’s office manage the electronic system.
5. We recommend identification of best practice mechanisms for supporting good
teaching.
6. Teaching units should develop materials and training opportunities to support
“beyond SETs” options, working with CTRL or other resources as appropriate.
7. We recommend the development of better, more fine-grained, comparison groups.
8. We recommend that when comparing faculty SET numbers, evaluating bodies avoid
a single-number “average” for a given question and instead determine an “average
range” that would allow for small and insignificant variations around the average.
9. We recommend that the statistical output of SETS include information on medians,
as well as means.
10. Conduct further study of the role of grades in evaluation of teaching.
11. Train faculty to make a case for themselves in files for action, merit files, etc.
12. Make written student comments accessible to those reviewing faculty.
13. We recommend that academic units identify teaching units that provide compelling
teaching-evaluation information.
14. We recommend using a separate SET for formative purposes early in the term,
separate from the traditional end-of-semester SET.
15. We recommend that FARS be modified to better record and represent teaching
effectiveness.
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16. We recommend that information about the purpose, components, and uses of the
SET system of evaluating teaching effectiveness be shared with students, faculty,
and administrators.
17. We recommend that the SET questions be renamed as “Student Input on Learning
and Teaching (SILTs)”.
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7) References Cited
Basow, S. A., & Martin, J. L. (2012) . Bias in student evaluations. In M. E. Kite (Ed.) Effective
evaluation of teaching: A guide for faculty and administrators. Retrievable at the
Society for the Teaching of Psychology site:
http://www.teachpsych.org/ebooks/evals2012/index.php
Berk, R., A. (2012). Top 20 strategies to increase the online response rates of student rating
scales. International Journal of Technology in Teaching and Learning, 8, 98-107.
Braga, M, Paccagnella, M, & Pelizzari, M., (2014). Evaluating students’ evaluations of
professors. Economics of Education Review, 41, 71-88.
Cross, K. P. (1977). Not can, but will college teaching be improved? New Directions for Higher
Education, 17, 1-15.
Delbanco, A. (2012). College: What it was, is, and should be. Princeton, NJ: Princeton
University Press.
Dunning, D., Heath, C., & Suls, J., (2004). Flawed self-assessment: Implications for health,
education, and the workplace. Psychological Science in the Public Interest, 5, 69-106.
Heidegger, M. (1968). What is called thinking? (J. G. Gray, Trans.). New York: Harper & Row.
Kruger, J., & Dunning, D. (1999). Unskilled and unaware of it: How difficulties in recognizing
one’s own incompetence lead to inflated self-assessments. Journal of Personality and
Social Psychology, 77, 1121-1134.
Neath, I. (1996). How to improve your teaching evaluations without improving your teaching.
Psychological Reports, 78, 1363-1372.
Wright, S. L., & Jenkins-Guarneri, M. A. (2012). Student evaluations of teaching: Combining
the Meta-analyses and demonstrating further evidence for effective use. Assessment and
Evaluation in Higher Education, 37, 683-699.
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8) AN APPENDIX OF PROPOSED SET QUESTIONS
Note that a key with comments on the proposed questions follows the questions themselves.
SCALES (both current and proposed):
Current SET form (7 point scale) =
1 - Almost never
2
3
4
5
6
7 – Almost always
WCL current on-line SET (5 point scale) =
1 - strongly disagree
2 – disagree
3 - neither disagree nor agree
4 – agree
5 - strongly agree
Proposed on-line SRT (5 point scale) =
0 – Not applicable
1 – Definitely not
2 – No, mostly
3 – Somewhat
4 – Yes, mostly
5 – Yes, definitely
QUESTIONS:
Note – any questions with two parts, a and b, are two possible choices.
I. The Course
1. I am confident I learned something of value in this course.
2. I was challenged to do my best work in this course.
.
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3. I have a greater interest in the subject now than I did before I began the course.
4. The readings and other course materials (such as films, guest lectures, online readings, etc.)
enriched my learning.
5. The graded assignments (such as papers, projects or other required work) enriched my
learning.
II. The Learning Environment
6. The professor was well organized.
7. The professor treated all students with respect.
8. The course experience (discussions, activities, lecture, labs, etc.) enriched my learning.
III. The Professor
9. The professor provided me with the concepts, insights, and/or skills to engage successfully
with difficult and complex ideas.
10. The professor brought a breadth and depth of knowledge to the course.
11. The professor was appropriately available for questions or discussions outside of the
designated class time.
12. The professor provided timely, constructive feedback on papers, tests, or other assignments.
13. Given the opportunity, I would take another course with this professor.
IV. Your Engagement with the Course
14. Excluding class time, the average amount of time I spent on the course per week was:
0-2 hours
3-5 hours
6-8 hours
9-11 hours
12 or more hours
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15. In terms of my attendance in this class this semester:
I never missed a class session
I missed only one class session
I missed 2 or 3 class sessions
I missed more than 3 class sessions
16. In all honesty,
I put my best effort into this course.
I did a reasonable amount of work for this course.
I did what I needed to do to get by in this course.
I put very little effort into this course.
V. Background and Reasons for Taking the Course
17. My class level is:
Freshman
Sophomore
Junior
Senior
Master’s
Ph.D.
Other (please specify)
18. My previous academic experiences prepared me well for this course.
(Standard 5-point rating scale)
19. The primary reason(s) I took this class was/were (choose all that apply):
I was interested in the subject matter
It was required for my major or minor
It satisfied a General Education requirement
It satisfied a university requirement
It satisfied a MA, PhD or certificate program requirement
I heard the professor was good
None of the above
Other (please specify)
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V. Additional Comments
20 What was the best part of this class?
21. What changes to this course do you suggest?
22. What changes to the professor’s teaching style or methods do you suggest?
Key to changes in student evaluations of teaching
We note here some points that will be useful for understanding our decisions about the specific
SET questions we are proposing. We describe how the proposed questions map onto the current
SET. We identify questions we think will be particularly useful for formative vs. summative
evaluation. We describe some changes we propose to accommodate online evaluations.
I) Changes from the current (“old”) SETs.
1) We no longer have a “used class time productively” question, though the new number 6
captures a similar idea.
2) We no longer have an “open to questions and comments” question, though the new numbers 7
and 11 capture a similar idea.
3) We have collapsed 3 and 4 on the old form into our 12.
4) The overall instructor question morphs into our 13.
5) We no longer have a “learning objectives were clear” question.
6) The old form’s 13 and 14 were expressed in terms of “learning objectives.” We have replaced
that with “learning” and shifted them to questions 4 and 5.
7) The “satisfied with what I learned” question from the old form is somewhat related to the new
question 1, though question 1 emphasizes perception that there was learning rather than
satisfaction with it.
8) We no longer have an overall course question.
9) Question 5 from the old form on “high levels of performance” changes to “high academic
standards” in question 2. (We have included one other option for getting at this concept.)
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II) Using the SILT
The SILT is used both to help improve teaching and to help form a summary judgment. The
SILT is designed to accomplish both purposes. We note here questions that we think may be
particularly helpful for each purpose. Not all professors or evaluators will use all of the
questions, but we expect that they will be particularly likely to draw from these subsets.
1) Questions we think will be particularly helpful for formative purposes are: questions 3, 4, 5, 6,
7, 8, 11, 12 and the free response questions.
2) Questions we think will be particularly helpful for summative evaluation: questions 1, 2, 3, 6,
7, 10, 12, and 13.
III) Going on-line
We made three changes to accommodate the move to online evaluation.
1) We reduced the number of questions (compared to the original committee recommendation).
2) We used a reduced answer scale (from 7 to 5 choices).
3) We have fewer free response questions than the current SET or the previous proposal.
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Contents: Academic Rules & Regulations for Graduate Students
Preamble
Preamble ......................................................................................................................................... 4
Admissions Policies........................................................................................................................ 4
Admission to Degree Programs ................................................................................................. 4
Minimum Requirements for Full Admission ....................................................................... 4
Provisional Admission ........................................................................................................... 5
Admission to Joint Degree Program ......................................................................................... 6
Admission to a Combined Bachelor’s /Master’s Program ........................................................ 6
Admission to an AU Dual Degree Program.............................................................................. 7
Admission with Nondegree Status ............................................................................................ 7
Admission from Non-degree Status or a Post-Baccalaureate Certificate Program to a
Graduate Degree Program ......................................................................................................... 7
Evaluation of Academic Performance .......................................................................................... 8
Credit Hour ................................................................................................................................ 8
Grade Point Average.................................................................................................................. 8
Grading System .......................................................................................................................... 9
Grades for Thesis / Dissertation ................................................................................................ 9
Pass/Fail Courses ........................................................................................................................ 9
Auditing Courses........................................................................................................................ 9
Incompletes .............................................................................................................................. 10
Independent Studies ................................................................................................................ 10
Internships................................................................................................................................ 10
Repetition of Courses............................................................................................................... 11
Good Academic Standing ........................................................................................................ 11
Satisfactory Academic Progress............................................................................................... 11
Academic Warning, Academic Probation and Academic Dismissal .................................... 12
Academic Integrity Code......................................................................................................... 13
Graduate Assistantships ............................................................................................................... 13
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Teaching Assistantships (TA) .................................................................................................. 13
Research Assistantships (RA) .................................................................................................. 14
General Requirements ............................................................................................................. 14
Program of Study ................................................................................................................. 14
Course Levels ....................................................................................................................... 15
Designation of Full-Time, Half-Time and Part-Time Status ............................................. 16
Continuous Enrollment ....................................................................................................... 16
Submission and Publication of Thesis / Dissertation ......................................................... 17
Research Assurances and Research Ethics Training .......................................................... 17
Time Limits to Degree ......................................................................................................... 18
Time Extensions ................................................................................................................... 18
Credit Requirements ................................................................................................................ 18
Criteria for Courses to be Accepted for Graduate Academic Credit ................................. 18
Transfer Credits.................................................................................................................... 19
In Residence Credit and Residency Requirements ............................................................ 20
Permit to Study at Another U.S. Institution ...................................................................... 20
Permit to Study Abroad ....................................................................................................... 21
Requirements for a Master’s Degree ....................................................................................... 21
Approved Program of Study ................................................................................................ 21
Degree Requirements .......................................................................................................... 21
Capstone Experience............................................................................................................ 21
Thesis .................................................................................................................................... 22
Jointly Administered Degree Programs .............................................................................. 22
Dual Degree Programs ......................................................................................................... 22
Combined Bachelor’s and Master’s Degrees ....................................................................... 23
Graduate Certificate Programs ............................................................................................ 24
Graduate Certificate Programs for Credit .......................................................................... 24
Graduate Certificate Programs not for Credit .................................................................... 25
Requirements for a Ph.D. Degree ........................................................................................... 25
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Approved Program of Study ................................................................................................ 25
Degree Requirements .......................................................................................................... 26
Comprehensive Examination(s) or Equivalent .................................................................. 26
Ph.D. Dissertation Committee ............................................................................................ 26
Advancement to Candidacy ................................................................................................ 27
Examination of Dissertation ................................................................................................ 28
Initial Course Registration ...................................................................................................... 29
International Students ............................................................................................................. 29
Changes in Course Registration Once a Semester Begins ..................................................... 29
Interruptions of Studies ........................................................................................................... 30
a.
Temporary Leaves ......................................................................................................... 31
b. Separation and Suspension from the University ......................................................... 33
Interruption of Studies Caused by Emergencies, Hostilities, or War ................................... 34
Trauma and Bereavement Policy ............................................................................................ 35
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Preamble
This document summarizes the body of Academic Rules and Regulations in place at
American University for the conduct of graduate education in academic programs housed in
Schools and Colleges other than the Washington College of Law. Graduate students in the
Washington College of Law are governed by the academic rules and regulations specific to
the Washington College of Law, except in those instances when they are enrolled in a joint
program between another unit at American University and the Washington College of Law.
When enrolled in a joint program, students must satisfy the Academic Rules and Regulations
that relate to both units in which their degree is housed. Based on a compelling rationale, an
appeal may be made with respect to a specific graduate academic regulation by a graduate
student or faculty member. Students filing appeal requests should begin with a written
request to their academic advisor.
Admissions Policies
Admission to Degree Programs
Individuals apply for admission to graduate study to the academic unit offering the degree
program. Applicants are admitted to a particular program for a specific degree objective
(M.A., M.S., M.F.A., Ph.D., etc.). Applicants are admitted to either full or provisional status.
Minimum Requirements for Full Admission
Applicants must hold an earned baccalaureate degree from an institution accredited
by one of the six United States regional accreditation agencies or a degree equivalent
to a four-year U.S. baccalaureate degree from an international institution with a
similar level of accreditation or recognition by its home country. Assessment of a
foreign degree will be based upon the characteristics of the national system of
education, the type of institution attended, its accreditation, and the level of studies
completed. Applicants must provide proof of an undergraduate degree with an
original certified transcript. Responsibility for the verification and approval of
documents supporting graduate applications and the minimal requirements for full
admission rests with the admissions office in each academic unit.
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Applicants may be admitted without reference to their baccalaureate record if they
earned at least a 3.30 cumulative GPA in a master’s degree program completed at a
regionally accredited institution or if they earned at least a 3.50 cumulative GPA for
the last 12 credit hours of a master’s or doctoral degree program still in progress.
Applicants whose native or first language is not English must demonstrate proof of
language proficiency by submitting satisfactory results from one of the following:
• English proficiency tests (specific scores that confer a passing grade on these
exams can be obtained from AU’s International Student and Scholar Services
(ISSS) .
 Test of English as a Foreign Language (TOEFL);
 International English Language Testing System (IELTS);
 the Pearson Test of English-Academic (PTE-Academic); or
 Successful evaluation on the Kansas Test administered by the ISSS
office at AU.
• Successful completion of the highest level of course work in an approved
intensive English-language program recognized by AU.
• An earned bachelor's degree from an accredited or approved institution where
the medium of instruction is in English.
In addition to academic requirements for admission, international students, for
purposes of obtaining a visa to study in the United States, must also provide proof
of financial ability. To determine the required amount, they should consult the
Cost Guides on the ISSS website.
Specific graduate degree programs may establish additional requirements.
Provisional Admission
Students, including international students, who do not meet the above GPA requirements
may be admitted with provisional status. Students who are admitted provisionally must have
a cumulative GPA of at least 3.00 after the completion of the first 9 credit hours of graduate
study at AU, or they will be academically dismissed. Specific degree programs may establish
additional requirements.
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Admission to Joint Degree Program
Admissions procedures for joint degrees vary by individual program but each academic unit
administering the joint degree must review applications and make admissions decisions.
While all units review the application, the student’s home school is the one to which he/she
applies.
Admission to a Combined Bachelor’s /Master’s Program
A combined bachelor’s/master’s program involves tentative admission to graduate standing so
that both a bachelor’s and master’s degree may be earned as the result of a planned program
of study. Highly qualified students in good academic standing may apply to a graduate
program for a combined degree as soon as they have completed 75 earned credits. With rare
exceptions, students will apply no later than the semester in which they have 90 completed
credits toward their degree. Admission during the junior year or equivalent allows sufficient
time and preparation for curricular sequences and other research experiences that distinguish
this option from separate bachelor’s and master’s degrees. No more than one graduate degree
can be earned as a combined degree.
Students will be admitted to the combined program at two levels, i.e., for both the
undergraduate degree and the graduate degree.
Once admitted during the junior year, students must follow a prescribed program of work,
and their record must show which courses will be applied toward the undergraduate degree
and which courses will be applied toward the master’s degree. Once all undergraduate
requirements have been satisfied, the student will be officially enrolled in the graduate
program if they complete their bachelor’s program in good academic standing, and if they
meet all University and academic unit or teaching unit requirements for admission to the
master’s program for the combined degree. Each academic unit or teaching unit sets its own
admission standards and procedures for graduate students. Once enrolled in the master’s
program, students are then subject to the academic regulations governing graduate students.
For every 9 required graduate credits earned for the graduate degree while a student has
graduate student status, the student may count up to 3 required graduate credits earned as an
undergraduate towards the master’s degree. For example, a student can share 9 credits for a
30-hour master’s degree, 12 credits for a 36-hour master’s degree, or 15 credits for a 39-hour
or more master’s degree for graduate level courses taken as an undergraduate. Individual
programs may set lower limits.
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Admission to an AU Dual Degree Program
For admission to an approved dual degree program, the student must meet the admission
criteria for each of the degrees and must be admitted separately to each degree program. The
student must be admitted to the second program before completing the first. Admission to
one degree program does not guarantee automatic admission to a second. Each admission
decision is separate, and conducted according to established procedures for the specific
degree. The student must take all admission examinations required by each of the graduate
programs.
Admission with Nondegree Status
Admission to attend classes with nondegree status is open to applicants who have a
bachelor’s degree or the equivalent. Enrollment as a nondegree student does not guarantee
acceptance into a degree program. Students must have approval of the instructor to enroll in
a class with nondegree status.
Admission to Post-Baccalaureate for-Credit Certificate Programs
Admission to attend classes in post-baccalaureate for-credit certificate programs is open to
applicants who have a bachelor’s degree or the equivalent. Enrollment as a postbaccalaureate student does not guarantee acceptance into a degree program.
Admission from Non-degree Status or a Post-Baccalaureate Certificate Program
to a Graduate Degree Program
Students who have non-degree status or who are enrolled in a post-baccalaureate graduate
certificate program at AU may be admitted to a graduate degree program following
completion of the regular applications process. Graduate programs may approve specific
credit hour limits and relevant coursework earned in nondegree status or in a postbaccalaureate certificate program for transfer to a degree program, but no more than 12
credit hours can be transferred for credit towards a degree. Academic unit policies regarding
the approval of semester credit hours of coursework earned in non-degree status or in a postbaccalaureate certificate program must be posted and publically available on the
departmental website.
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Evaluation of Academic Performance
Credit Hour
American University uses the Carnegie Classification definition of a semester credit hour. A
semester credit hour is defined as at least 12.5 hours of direct faculty instruction per semester
(in class, on-line, remote site) with at least 25 hours of student work outside of that direct
instruction, typically conducted over a 15-week semester, or an equivalent amount of faculty
instruction and work over a different time period.
Courses are typically 3 semester credits hours each, meaning that students meet in an
instructional venue (in class, on-line, remote site) for 2.5 hours each week and complete
academic work outside the instructional venue at least 5 hours each week for a 15-week
semester or an equivalent amount of work spread out over a different period of time.
Courses that carry 4 or 5 semester credit hours require proportionately more work each week
both inside and outside the instructional venue. Courses that carry 1 or 2 semester credit
hours require proportionately less work, both inside and outside the instructional venue.
Courses that meet fewer than 2.5 hours a week that are assigned 3 semester credit hours must
require students to do additional work outside of the instructional venue to achieve the
expected learning objectives of a 2.5 hour a week course. At the academic unit level, the
Educational Policy Committee in each academic or teaching unit is charged with approving
such courses and certifying that the expected student learning objectives for the course meet
the 3 semester credit hour standard. At the University level, the Committee on Graduate
Curriculum of the Faculty Senate and the Vice Provost for Graduate Studies and Research
must also review and approve such courses.
Grade Point Average
Included in the calculation of the cumulative GPA for graduate students are all graduatelevel courses taken at AU and courses taken from the Consortium of Universities of the
Washington Metropolitan Area as required by the Program of Study. Credits accepted as
transfer credit from other institutions or earned during a permit to study at another domestic
or foreign institution are included in the total number of credit hours applicable to degree
requirements, but grades earned in such courses are not recorded on the transcript at
American University and are not used in the calculation of the GPA needed for graduation.
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Determination of the cumulative GPA for graduate students, and the notification of graduate
students regarding any deficiencies in GPA is the responsibility of the Office of the Registrar.
Grading System
The grading scale and the grade calculations used in the graduate GPA are equivalent to
those used for undergraduate students.
Grades for Thesis / Dissertation
Thesis (797) and dissertation (899) course credits are graded as Satisfactory Progress (SP) or
Unsatisfactory Progress (UP). With grades of either SP or UP, students receive credit for
these courses but the grades earned are not used in computing the GPA. These grades do not
change upon the completion of the thesis or dissertation, and neither thesis nor dissertation
credits may be retaken to change a previously assigned UP to an SP.
Pass/Fail Courses
Graduate students may not choose the pass/fail option over the letter-grade option in courses
that are part of their Program of Study. However, in some instances, courses that can only
be taken Pass/Fail may be included as part of a student’s Program of Study. A grade of Pass
for a graduate student indicates performance of no less than a B which indicates at numeric
equivalent of 3.0. Neither Pass nor Fail grades are used to compute the GPA.
Auditing Courses
Graduate students may register for courses with an audit grade option that are not part of
their Program of Study. Faculty will establish standards for class participation and/or
attendance for auditing students. When auditing students fail to meet those standards, the
instructor will assign the grade of ZL (administrative withdrawal from audit). Tuition for
courses registered for an audit grade option will be billed at the same rate as courses
registered for academic credit. Other University requirements for auditing courses will be
applicable.
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Incompletes
The instructor of record may assign an Incomplete status for a grade when extenuating
circumstances prevent a student, who has otherwise completed the majority of the work in
the course, from completing all work during the stated instructional period. Students on
probation may not receive an Incomplete. To receive Incomplete status in a course, students
must receive the permission of the instructor in advance of the assessment of final course
assignments and agree on an incomplete contract before grades are posted. Multiple
outstanding incomplete grades may affect the ability of a student to maintain Satisfactory
Academic Progress.
The instructor must provide, in writing, the conditions for satisfying the incomplete to the
student and must enter those same conditions when posting the grades for the course.
Instructors must identify what work needs to be completed, when the work must be
completed, and what the course grade will be if the student fails to complete that work.
Remaining work must be completed before the end of the following semester. Students who
do not meet the stated conditions will receive the default grade automatically. The Associate
Dean of the academic unit, with the concurrence of the instructor, may grant extensions
beyond the agreed deadline, but only in extraordinary circumstances. The Associate Dean
must inform the Office of the Registrar of the extension. Students may not drop a course
once an Incomplete is granted. An Incomplete may not stand as a permanent grade and must
be resolved before a graduate degree or post-baccalaureate certificate can be awarded.
Independent Studies
With the approval of their Graduate Program Director, students making Satisfactory
Academic Progress may register for an independent study. The independent study must be
identified as a course in the Program of Study. Before registration, the student and the
supervising faculty member must agree upon and document the title, objective, scope, credit
value (1 to 6 credit hours), and the method of evaluation for the independent study. The
instructor must notify the Graduate Program Director of the agreement for the independent
study. Students will not have more than 9 Independent Study credit hours in any graduate
program. Individual programs may set lower limits.
Internships
Graduate students may enroll in credit-bearing, paid, or unpaid work assignments
(internships) with a significant academic component under the guidance of a faculty
member. The work for the internship may be no more than 15% administrative in nature,
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and instructors must weigh the academic component as at least half of the course grade. The
internship must be identified as a course on the Program of Study. Internships may be taken
for variable credit. With the approval of the Director of the Graduate Program, students may
enroll for 1 to 6 credits. The table below illustrates the average hours worked weekly per
internship credit that graduate students are expected to earn over 14 weeks of a traditional
semester or the equivalent for summer or special term classes. Customarily, students will not
have more than 6 Internship Study credit hours in any graduate program. Individual
programs may set lower limits.
Average Weekly Work Hours per Number of Internship Credits Earned
Average number of hours worked weekly
7 10 14 18 22 26
Number of internship credits earned
1 2
3
4
5
6
Repetition of Courses
Graduate students may repeat only once a course they have previously completed and failed
or from which they have withdrawn. They may repeat only two courses in this fashion
during a graduate program of study. Grades for each attempt are shown on the transcript
and are used to compute the overall GPA, but credits for only one passed course are included
in the credits required for the graduate degree.
Good Academic Standing
Graduate students are in good academic standing when they are maintaining at least a 3.0
cumulative GPA and are either enrolled in semester classes or are eligible to enroll in
subsequent semester classes.
Satisfactory Academic Progress
Students are making Satisfactory Academic Progress when, in addition to being in Good
Academic Standing and meeting any higher standards for the GPA that individual programs
might set, they are: meeting on time the defined milestones in their Program of Study and
they have received credit in at least two-thirds of the courses which they have attempted.
For master’s students, such milestones include, but are not limited to, completing the
required coursework and completing the capstone experience satisfactorily. For doctoral
students, milestones include, but are not limited to, completing the required coursework,
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passing the comprehensive examination(s) or equivalent, defending the dissertation proposal,
completing the dissertation, and defending the completed dissertation.
For students writing a thesis or dissertation, it is the collective responsibility of the student
and the student’s Thesis Advisor or Dissertation Committee Chair to ensure that Satisfactory
Academic Progress is being maintained. This process is coordinated by the student’s Thesis
Advisor or Dissertation Committee Chair, and oversight authority rests with the Graduate
Program Director. Thesis Advisors and Dissertation Committee Chairs are required to
review annually all students conducting theses or dissertations to determine that they are
making Satisfactory Academic Progress, and to (1) inform the student, and (2) inform the
Graduate Program Director, who will communicate the finding to the Associate Dean of the
Academic Unit. Students may request of the Graduate Program Director, at least once each
semester, that their Thesis Director or Dissertation Committee Chair meet with them to
discuss progress on the thesis or dissertation.
Academic Warning, Academic Probation and Academic Dismissal
The Registrar will place students on Academic Probation when, after attempting at least 9
credit hours of coursework, their cumulative GPA falls below 3.00 or when students fail to
receive credit in at least two-thirds of the courses they attempt. Full-time students will be
placed on Academic Probation for one semester. Part-time students will be placed on
Academic Probation for the time it takes them to attempt 9 more credits, or three semesters,
whichever is shorter. The Registrar will inform the students of their probationary status in
writing. This notification should also inform the students that they cannot receive an
incomplete grade while they are on Academic Probation status. After the Academic
Probation period is completed, students who fail to bring their cumulative GPA up to 3.00 or
fail to raise their course completion rate will be permanently dismissed from the University
by the Registrar.
If the Program Director or Associate Dean of an academic unit determines that a student is
not making Satisfactory Academic Progress for reasons other than failure to maintain GPA
and course completion requirements, the Dean may decide to either issue an Academic
Warning, place the student on Academic Probation, or academically dismiss the student.
The Dean must notify the Registrar of the decision to apply a sanction. The Registrar will
notify each student of the decision and the reason for the decision. In the case of either an
Academic Warning or Academic Probation notice, the Registrar must also inform the
student in writing of the period for the warning or probation and of the conditions that must
be met for the student to regain Satisfactory Academic Progress status. Customarily, students
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who are on an Academic Warning status for one semester are subject to Academic Probation
in subsequent semesters, and students who remain on Academic Probation in a subsequent
semester are subject to Academic Dismissal.
Academic Dismissals are permanently recorded on the transcript. Academic Warnings and
Academic Probation are not.
Academic Integrity Code
Students are bound by the University’s Academic Integrity Code, which ensures that all
work done in pursuit of a degree whether graded or ungraded, formal or informal, meets the
highest standards of academic honesty. The baseline sanction for a first-time offense for
graduate students violating the code is suspension from the university, although academic
dismissal is also a common sanction. Suspension and academic dismissal are permanently
recorded on the transcript as a violation of the Academic Integrity Code.
Graduate Assistantships
Teaching Assistantships (TA)
A teaching assistant (TA) is customarily a graduate student who assists an instructor with
instructional activities. TA responsibilities vary greatly and may include the following:
tutoring; holding office hours; assisting with grading homework or exams; administering
tests or exams; assisting an instructor with a large lecture class by teaching students in
recitation, laboratory, or discussion sessions. Students who assist with grading may not grade
assignments or exams for students at their own or higher degree level; e.g., a doctoral student
may assist with grading master’s and undergraduate work; a master’s student may assist with
grading undergraduate work. Advanced doctoral students who are awarded teaching
assistantships may also be the instructor of record for an undergraduate course.
The work assignments for TAs must be significantly more academically substantive than
administrative. Requirements for TA awards are typically fulfilled with 600 hours of work
per academic year, often with a 20 hour assignment per week over two traditional semesters,
but may be fewer hours per week for a longer period, with proportional reductions in the
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amount of the associated monthly stipend. The Vice Provost for Graduate Studies and
Research can, in cases where a compelling rationale exists, authorize a graduate student with
a TA award to work more than 20 hours per week.
Research Assistantships (RA)
A research assistant (RA) is a graduate student who assists a faculty member with academic
research. Research assistants are not independent researchers and are not directly responsible
for the outcome of the research. They are responsible to a research supervisor or principal
investigator.
The work assignments for RAs must be significantly more academically substantive than
administrative. Requirements for RA awards are typically fulfilled with 600 hours of work
per academic year, often with a 20 hour assignment per week over two traditional semesters,
but may be fewer hours per week for a longer period, with proportional reductions in the
amount of the associated monthly stipend. The Vice Provost for Graduate Studies and
Research can, in cases where a compelling rationale exists, authorize a graduate student with
an RA award to work more than 20 hours per week.
Degree Requirements
General Requirements
Program of Study
The Program of Study is an individualized, formal plan describing the program requirements
a student must meet to complete a specific degree, including the dates by which each
requirement is expected to be completed. Students must meet with a designated advisor to
outline their Program of Study by the end of their first semester in the program, and earlier
as appropriate. Thereafter, students are expected to meet as needed with their designated
advisor or Program Director to monitor their status related to Good Academic Standing and
Satisfactory Academic Progress and to update the Program of Study as needed.
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Course Levels
500-599
Graduate Courses that are not core graduate courses, but courses of general
importance in the discipline. These courses are open to qualified
undergraduate students.
600-799
Graduate Courses that are core content courses for the master’s degree in the
field of study. Undergraduate students are not allowed in these courses except
under specific circumstances where the courses are cross-listed with
undergraduate courses, or as part of a combined BA/MA program, or by special
permission of the associate dean of the academic unit.
800-899
Doctoral Courses are courses limited to Ph.D. students.
Once doctoral students advance to candidacy, they will only need to register for Dissertation
Credits (course #899) for up to nine (9) credits per semester, or a total of 18 credits per
academic year. They will continue to register as full-time students until they defend their
dissertations. For each semester, up to 9 dissertation credits in Course #899 will be priced at
the equivalent of one graduate credit hour. All doctoral students who have been admitted to
doctoral candidacy must register and pay for dissertation credits and related university
services during the fall and spring semesters of the academic year, unless they have an
approved temporary leave from the University. This will provide visibility to all who are
monitoring doctoral student progress, and faculty workload associated with the supervision
and mentoring of doctoral students will be reported with a greater degree of accuracy.
Undergraduate Courses that Count Towards a Graduate Degree
Graduate students will not receive credit for courses below the 500 level unless the course is:
(1) an AU language course that is necessary for language proficiency levels for the graduate
degree and is a graduate program requirement, or (2) the course is cross-listed as a 400/600
level course. In both cases, the courses must be included in the graduate student’s program
of study. In the second case, graduate courses at the 600 level may be cross-listed with 400
level undergraduate courses, but only when a significant portion of the course content is
appropriate for both levels of study. Graduate students taking a cross-listed course will
register under the 600 course number and are expected to complete work in addition to the
material covered in common with the undergraduate students in the class. Customarily, the
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additional graduate student work will occur outside the common class time. Expectations for
both sets of students will be clearly defined in the course syllabus. Graduate courses above
the 600 level cannot be cross-listed for undergraduate enrollment. No graduate course may
be cross-listed at the 100, 200, or 300 level.
Designation of Full-Time, Half-Time and Part-Time Status
Full-time student status is defined as registration for nine semester credit hours during both
the fall and spring semesters, or by enrollment for four semester credit hours during the
summer semester. Enrollments in all summer sessions during a calendar year will be added
to determine the total summer enrollment. Half-time student status is defined as registration
for five semester credit hours during both the fall and spring semesters, or by enrollment for
two semester credit hours during the summer semester. Students who are registered for
more than a half-time credit load in any semester, but less than a full-time credit load for
that semester, will be considered half-time students.
Graduate students must remain registered for a full-time course load under specific
conditions that include: holding a halftime Graduate Teaching Assistant or Research
Assistant award; holding a University Graduate Fellowship; having particular types of
student loans; and, having international student status. Associate Deans of academic units
will contact the Office of the Registrar each semester following the end of the drop/add
period to obtain enrollment information to check the full-time status of graduate students
who are required to be enrolled full-time. It is the responsibility of individual graduate
students to understand how changes in course load or full-time status may have an impact on
payment schedules or other conditions of their obligations to entities providing them with
educational loans.
Continuous Enrollment
Once enrolled in a degree program, graduate students must maintain continuous enrollment
at American University by registering for at least one semester hour of credit each fall and
spring semester until the degree objective is reached. Students who fail to register and who
have not requested and received a Temporary Leave will be dismissed from the University at
the end of the academic term for which they failed to register.
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Submission and Publication of Thesis / Dissertation
Dissertations and theses must be submitted to the University Library in electronic format
after final approval of the dissertation or thesis by the Examining Committee. See the
American University Electronic Thesis and Dissertation (ETD) website for the details of the
publication process. Dissertations and theses submitted to the University through the ETD
process will also be deposited in the AU Library's online electronic archive, the American
University Research Commons (AURC), as well as ProQuest's Digital Dissertations. The
submission of the thesis or dissertation to the University in fulfillment of degree
requirements grants the University the one-time, non-exclusive right to publish the
document in the American University Research Commons. Distribution is subject to a
release date stipulated by the student and approved by the University. As the owner of the
copyright of the thesis or dissertation, students have the exclusive right to reproduce,
distribute, make derivative works based on, publicly perform and display their work, and to
authorize others to exercise some or all of those rights.
Research Assurances and Research Ethics Training
Graduate students at American University who are conducting independent research are
responsible for obtaining the appropriate research assurances for research that involves:
human participants, animal subjects, recombinant DNA, infectious materials, select or toxic
agents, or human materials. For application forms and guidelines, please see AU’s Research
website at http://www.american.edu/research/. Copies of research assurances must be
presented to the Doctoral Program Director with the completed dissertation proposal at the
time of the defense of the dissertation proposal.
Appropriate protocol review and oversight of faculty and student research is an essential
component of Responsible Conduct of Research (RCR) training on campus. All graduate
students who are conducting research in partial fulfillment of a master’s thesis or doctoral
dissertation are required to participate in RCR training. Documentation of RCR training
must be presented to the Doctoral Program Director with the completed dissertation
proposal at the time of the defense of the dissertation proposal.
Data resulting from research projects, including thesis and dissertation research projects, that
do not receive a protocol review when appropriate from the Institutional Review Board
(IRB), Institutional Animal Care and Use Committee (IACUC) or Institutional Biosafety
Committee (IBC) cannot be used to fulfill degree requirements, cannot be published and
must be destroyed. A research protocol cannot be reviewed and approved retrospectively by
an IRB, IACUC, or IBC.
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Willful avoidance of the oversight functions of University research review committees can
result in a charge of research misconduct. Also see Research Compliance.
Time Limits to Degree
Students are expected to complete their degree within the time frame specified below.
Programs may set lower limits for all students or for individual students in their program.
Time limits must be included in the Program of Study. The time to degree may be extended
by the Vice Provost for Graduate Studies and Research for a compelling reason. See Time
Extension. Approved separations and temporary leaves do not count toward the time limits,
but cannot be used for the sole purpose of extending the time to degree.
Master’s students are expected to complete all degree requirements in no more than six years
after the date of first enrollment in the degree program. Doctoral students are expected to
complete all degree requirements in no more than nine years after the date of first
enrollment in the degree program. Each semester, the Registrar will identify students who
will exceed time limits to degree at the end of the current academic year and inform the
students of the potential status change.
Time Extensions
Under compelling circumstance, Doctoral students may apply for one-year extensions
beyond the expected time to degree, for a maximum of three extensions. Students must
petition the Graduate Program Director for each one-year extension. Petitions must include
a timetable listing specific goals from the Program of Study to be accomplished during the
extension. Each extension must be approved by the Associate Dean of the academic unit and
the Vice Provost for Graduate Studies and Research. Additional extensions will not be
approved.
Credit Requirements
Criteria for Courses to be Accepted for Graduate Academic Credit
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Course numbers 600-800 are reserved for graduate courses. Required core courses that have
key content in the discipline for graduate degrees at both the master’s and doctoral degree
are customarily at the 600 level. Courses at the 700 level are customarily advanced courses
for master’s programs, while courses at the 800 level are reserved for Ph.D. students.
Graduate students will not receive credit for courses below the 500 level unless the course is
an AU language course that is necessary for language proficiency levels for the graduate
degree and is a graduate program requirement. Classes at the 600-800 level courses may not
meet jointly with 100-, 200-, or 300-level courses. A 500-level course may be used for
fulfillment of general master’s degree requirements for courses of general importance to the
discipline (e.g., elective courses), but, ordinarily, not for required core courses for master’s or
doctoral degrees. No undergraduate students may take 600-level courses except when (a)
they are seeking a combined master’s/bachelor’s degree, (b) when the courses are cross-listed
with undergraduate courses under an undergraduate number at the 400 level, or (c) by
special permission of the Associate Dean of the academic unit. Grades of C- or lower will not
be accepted as fulfilling the requirements of the Program of Study but will be calculated in
the cumulative GPA. Individual programs may set higher standards.
Transfer Credits
Students may request to transfer credit for courses taken at an institution outside of the
Consortium of Universities of the Washington Metropolitan Area, prior to their admission to
a graduate program at AU. They must receive prior approval from their Graduate Program
Director within the first semester of their program and the courses must be included in their
Program of Study. Students must give the Graduate Program Director an official transcript
of the course and a course syllabus for each course requested for transfer. Courses must be
completed with a grade of B (3.0) or better and must be completed no later than five years
prior to the beginning of the semester in which the student is admitted to a graduate
program. Graduate programs may require that courses requested to be transferred be
completed more recently than this and may limit the number of credits that may be
transferred beyond the university limit.
Customarily the number of total credits transferred for a single degree program would be no
greater than six credits, but in all cases the number of allowable transfer credits is limited by
residency requirements. In no case may graduate credit be given for coursework designated
as solely undergraduate by the institution where the coursework was completed. Courses
proposed for transfer cannot have been used as credits toward a completed degree in the
same field at another institution. Decisions by Graduate Program Directors with regard to
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allowable transfer credits may be appealed to the Vice Provost for Graduate Studies and
Research.
In Residence Credit and Residency Requirements
Courses are considered in residence when they are taken at American University, through an
AU-coordinated off-site or on-line program, or through any member of the Consortium of
Universities of the Washington Metropolitan Area. Courses considered not in residence
include those transferred from another institution into AU. Courses that are not taken in
residence are not included in the computation of the GPA.
Both master’s and doctoral degrees require a minimum of 18 semester credit hours of in
residence graduate course work, while enrolled in a degree program, exclusive of 797 or 899.
Students in the Dual Degree option must complete a minimum of 36 semester credit hours of
in residence coursework at American University, with at least 50 percent of the credits
unique to each degree. Individual program requirements may require more than 18 credit
hours for either or both degrees. Courses used to satisfy residence credit requirements for an
undergraduate degree may not also be used to satisfy parallel requirements for a dual master’s
degree.
Permit to Study at Another U.S. Institution
Students in good academic standing who wish to take courses at another U.S. institution that
would not be considered in residence courses, must receive prior approval by their Program
Director and Associate Dean. Students who want to apply a course to their graduate program
of study must receive teaching unit or equivalent approval. Students must secure approval
from the academic unit prior to registering for the course and such approval is granted only
for specific courses. Customarily, students may transfer up to a maximum of 6 credits during
the span of approved study at another U.S. institution. Grades for courses taken during a
Permit to Study at another institution are not recorded on the AU transcript and are not
computed in the GPA, although they will count toward the total number of credits needed
for graduation. However, students must meet the GPA requirements of American University
for individual courses taken at other institutions as required for their graduate Program of
Study. Students must satisfy any additional requirements provided on the Permit to Study
form.
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Permit to Study Abroad
Students in good academic standing who wish to study at any foreign university not
partnered with AU must receive prior approval of their Graduate Program Director and the
Associate Dean. Permission for such study is granted only when the student can
demonstrate that the academic opportunity offered by the foreign university cannot be met
through study at any one of AU’s existing partner universities. Grades for courses taken
during a Permit to Study Abroad are not recorded on the AU transcript and are not
computed in the GPA, though they will count in the total number of credits needed for
graduation. However, students must meet GPA requirements of American University for
individual courses taken at other institutions as required for their graduate Program of Study.
Students must satisfy any additional requirements provided on the Permit to Study Abroad
form.
Requirements for a Master’s Degree
Approved Program of Study
An approved Program of Study includes, but is not limited to, coursework and a capstone
experience.
Degree Requirements
A master’s degree requires the completion of at least 30 semester credit hours of graduate
work. The requirement for residence credit must be met. A detailed description of the degree
requirements can be obtained from each graduate program and must be posted on the
website of the teaching unit.
Capstone Experience
One capstone experience (e.g., thesis, research project, practicum, internship or other
experience as determined by the graduate program) is required. The nature and scope of the
capstone experience is determined by the graduate program and is included in the Program
of Study. If the capstone is a comprehensive examination, the structure, content, and
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grading of the examination, as well as any policy on retaking the examination will be
determined by the teaching unit.
Thesis
Students who are writing a thesis as their capstone experience are expected to demonstrate
their capacity to do original, independent research. Students must take no fewer than three
semester credit hours of master’s thesis research (797). Students continue to register for
thesis credits each semester until the completion of the thesis. A thesis advisory committee
shall consist of no fewer than two members of the AU faculty. In consultation with the
Thesis Chair, the student solicits faculty for the committee and submits their names for
approval by the Graduate Program Director.
Jointly Administered Degree Programs
A Jointly Administered Degree Program is a specified combination of courses, typically from
more than one academic or teaching unit, that combines elements of the various courses of
study in those units for the purpose of providing a combined program of study towards a
specific degree. Both units have responsibilities to monitor student progress and provide
academic advising. Upon completion of the Jointly Administered Degree Program, the
student receives one graduate degree.
Dual Degree Programs
A Dual Degree Program is a combination of two separate approved degree programs. Upon
completion of a Dual Degree Program, a student will be conferred the two degrees included
in the Dual Degree Program. Credits that apply from one program to another must be
approved by their respective Graduate Program Directors and under the following
conditions:
•
•
Students must meet all of the course, capstone, and other requirements for each
degree program.
The details for dual master’s degrees must be approved by the Graduate Program
Director and the Associate Dean of the academic unit for each of the two degrees.
Candidates for dual master’s degrees must submit a formal petition to the Graduate
Program Director of each master’s program before the conferral date of the first
degree.
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•
•
The student applies for and receives each degree upon completion of all the
requirements for that degree. The degrees may or may not be completed
simultaneously.
At least 50% of the courses taken in each program in the Dual Degree Program must
be taken in residence, and students must satisfy residency requirements as specified in
these graduate regulations.
Combined Bachelor’s and Master’s Degrees
A combined bachelor’s/master’s program involves tentative admission to graduate standing
while a student is still an undergraduate so that both a bachelor’s and master’s degree may be
earned. Although graduate standing is not officially granted until all bachelor’s degree
requirements have been fulfilled, students who are admitted to a combined bachelor’s and
master’s program are granted conditional graduate admission so that they may take courses
based on their planned Program of Study to fulfill both the bachelor’s and master’s degree
requirements while still officially enrolled in undergraduate status. See Admission to a
Combined Bachelor’s /Master’s Program and Residency.
Undergraduate students in good academic standing may apply for a combined degree after
they have completed 75 credit hours towards their undergraduate degree, and, except in rare
cases, by the end of the semester in which they have completed 90 credit hours. No more
than one graduate degree can be earned as a combined degree. Once admitted, students will
be enrolled in the combined program at two levels, once for the undergraduate degree and
once for the graduate degree.
Once admitted to a combined program, students must follow their Program of Study, and the
Program of Study must show which courses will be applied toward the bachelor’s degree and
which courses will be applied toward the master’s degree. Once all undergraduate
requirements have been satisfied, students will be officially enrolled in the graduate program
if they complete their bachelor’s program in good academic standing, and if they meet all
University, academic unit, or teaching unit requirements for admission to the master’s
program for the combined degree. Each academic unit or teaching unit sets its own
admission standards for graduate students. Once enrolled in the master’s program, students
are subject to the academic regulations governing graduate students.
Students may count graduate credits earned at the 600 level during an undergraduate degree,
towards a master’s degree if the credits are listed as part of an approved graduate program of
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study. Specifically, a student can share up to 9 credits for 30-hour master’s degree (with or
without thesis), 12 credits for a 36-hour master’s degree, and 15 credits for a master’s degree
requiring 39 or more semester hour credits. Programs can set lower limits than those
specified here.
Graduate Certificate Programs
Graduate Certificate Programs for Credit
Academic units and the School of Professional and Extended Studies, at their discretion, may
develop and administer graduate certificate programs for which there is academic credit. All
graduate certificate programs for credit must include a minimum of 12 semester credit hours.
All course work must meet the same requirements as those used for graduate academic
programs See Criteria for Courses to be Accepted for Academic Credit. Some certificate
programs for graduate credit may have additional requirements. If approved by the academic
or teaching unit that administers the certificate program, equivalent credits earned at an
accredited college or university may be transferred toward a certificate at the following rates:
3 credit hours for certificates from 12 to 18 credit hours in length, and 6 credit hours for
certificates over 18 credit hours in length.
Graduate students who are enrolled in masters and/or doctoral programs may pursue
graduate certificates at the same time. Any sharing of the required semester hour credits
between the graduate certificate and the graduate degree program will be determined by the
Graduate Program Director. Students who are not enrolled in graduate degree programs but
who are enrolled in graduate certificate programs are not permitted to enroll in courses in
the Consortium of Universities of the Washington Metropolitan Area.
All students enrolled in graduate certificate programs must maintain a 3.0 grade point
average to be considered as making satisfactory progress and to be awarded a certificate.
Grades of C- or below in certificate program courses will not be accepted toward the
fulfillment of certificate requirements although these grades will be included in the
calculation of the cumulative GPA. Individual certificate programs may have higher
standards. Students who do not achieve a 3.0 grade point average at any point after
completing six credit hours are subject to an academic warning, probation, or dismissal from
the certificate program. Students who do not achieve a 3.0 grade point average upon
completion of 12 credit hours will be dismissed from the certificate program. The Office of
the Registrar will identify students with deficiencies in their grade point average and notify
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both the student and the certificate program. Certificate students who are dismissed may
seek readmission at the discretion of the Graduate Program Directors and will be subject to
any new admissions and program requirements instituted since their last enrollment.
Students in certificate programs must complete a minimum of 6 credit hours during each 12month period after the start of their first semester of enrollment. All graduate certificate
programs must be completed within four years. Students who do not meet these minimum
requirements will be dismissed from the certificate program. If a student is readmitted to the
program, the acceptance of previously completed credits will be determined by the academic
or teaching unit upon readmission. The completion of the certificate will be noted on the
student’s official transcript for the semester it was completed.
Graduate Certificate Programs not for Credit
Academic units, centers/institutes, and the School of Professional and Extended Studies, at
their discretion, may develop and administer graduate certificate programs for which there is
no academic credit.
Requirements for a Ph.D. Degree
Approved Program of Study
All doctoral students must have an approved Program of Study. The ability to do
independent research is an important part of the Program of Study and must be
demonstrated by an original dissertation on a topic approved by the Director of the Doctoral
Program in which the student is earning the degree. A dissertation is required of all
candidates for a Ph.D. degree.
An approved Program of Study includes:
•
•
A complete list of coursework, and
a schedule with anticipated dates for:
o planned courses in required and elective subjects,
o the comprehensive examination(s) or equivalent,
o an approved dissertation proposal, and
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o successful defense and completion of the dissertation.
Degree Requirements
The Ph.D. degree requires a minimum of 18 semester hour credits of coursework completed
in residence, exclusive of dissertation credits. Individual Ph.D. programs at AU require
additional semester credit hours, following the curriculum proposed by academic unit faculty
and approved by the Faculty Senate Committee on Graduate Curriculum.
Comprehensive Examination(s) or Equivalent
The nature and scope of the comprehensive examination(s) or equivalent are determined by
the Ph.D. degree programs housed within specific academic units. Options other than a
written exam may be used by a doctoral degree program to assess integration and synthesis of
the body of knowledge accessed via the program curriculum, and related research,
practicum, or internship experiences. The completed comprehensive examination(s) is
typically read by two faculty readers from the academic unit and is rated “with distinction,”
“satisfactory” or “unsatisfactory” by each. In order to pass the examination, the student must
obtain at least “satisfactory” on the examination from both readers. The faculty affiliated
with a doctoral program may, however, elect to design a different system for grading
comprehensive examinations in the academic unit.
A student who fails a comprehensive examination may apply to the Graduate Program
Director for one additional attempt. If the Graduate Program Director approves the
application, the retake of the exam should occur within six months of the date of the first
attempt. Students who fail a retake attempt will be dismissed from the doctoral program.
The Graduate Program Director will notify the Office of the Registrar of the outcome of all
comprehensive exam attempts.
Ph.D. Dissertation Committee
The appointment of the Dissertation Committee should be made well in advance of the
defense of the dissertation proposal. All core Dissertation Committee members must hold
the appropriate terminal degree. In consultation with the proposed Dissertation Committee
Chair, the doctoral student solicits faculty for the committee and submits the names of the
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Chair and other committee members for approval by the Graduate Program Director. Once
approved by the Graduate Program Director, the proposed membership of a Dissertation
Committee is then approved by the Doctoral Council. If the status of any member of an
approved Dissertation Committee changes, the doctoral student and the Graduate Program
Director will recommend a replacement for approval by the Doctoral Council.
Customarily, the Dissertation Committee will have four or more core committee members,
including the chair of the committee. The minimum number of core committee members,
including the chair of the committee, is three. At least two of the core members must be
full-time, tenure-line faculty members at American University and preferably from the
program in which the student is enrolled. Qualified individuals, either outside the
department or outside the University, may be invited to sit on a committee as external
members once the minimum requirement of two internal full-time, tenure-line faculty from
American University has been met. Together, the internal and external members form the
core of the Dissertation Committee. Core members are charged with guiding the student and
providing detailed feedback during the dissertation process.
The chair of the Dissertation Committee must be an AU faculty member who holds a
tenured position. Untenured, tenure-line faculty may be appointed as co-chairs of
Dissertation Committees, but must serve with a tenured faculty member. Adjunct faculty,
term faculty, and faculty from other universities and emeritus faculty may not chair a
Dissertation Committee but may serve on it. A Dissertation Committee chair who retires or
leaves the University before the dissertation is complete may petition the Doctoral Council
to remain on the committee as chair, as a co-chair, or as a member.
At the time of the final examination of the dissertation, at least one additional member will
join the core of the dissertation committee as an outside reader for the final examination.
The purpose of the outside reader(s) is to provide a review of the dissertation by a colleague
with the appropriate terminal degree who is an expert in the subject matter of the
dissertation. The outside reader should have no direct association with the student. An
outside reader serves an advisory role, and the charge to the outside reader is to determine if
the dissertation meets general standards in the field, not necessarily to critique the work in
detail. Once the dissertation has been defended successfully, all committee members sign
the dissertation approval form.
Advancement to Candidacy
Students advance to doctoral candidacy when they have completed all of the courses on their
Program of Study, passed their comprehensive examination or equivalent, and defended
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successfully their dissertation proposal. Advancement to candidacy normally occurs by the
end of the third year of study but may vary among doctoral programs. At the time of
advancement to candidacy, students who have not petitioned for or received en passant
degrees (e.g., M.A., M.S.) will automatically be considered for such degrees. If a student
advances to candidacy after the deadline to submit a petition for the degree in that term, the
student will be considered for a degree in the following term. Students who do not advance
to candidacy may receive a master’s degree according to the established guidelines in their
graduate program.
Examination of Dissertation
Each doctoral candidate is required to defend orally his or her doctoral dissertation as a
requirement in partial fulfillment of the doctoral degree. The requirement for a dissertation
examination is separate from, and is not fulfilled by, a comprehensive examination(s). The
dissertation examination will consist of a public presentation by the candidate on the
research reported in the dissertation, followed by a formal, public examination of the
candidate by the Dissertation Committee. The Doctoral Program Director is responsible for
posting publically the announcement of the oral defense of the dissertation seven days prior
to the date of the oral defense.
The Dissertation Committee has the following options:
•
•
•
•
•
To accept the dissertation without any recommendations for changes. The
departmental designee signs the appropriate form.
To accept the dissertation with recommendations for minor changes. The chair then
oversees and approves all required changes to the dissertation. Upon the chair’s
approval, the departmental designee signs the appropriate form.
To recommend major revisions to the dissertation. The candidate makes the required
changes and submits the revised dissertation to the Dissertation Committee for
additional review and approval. Upon their approval, the departmental designee signs
the appropriate form for the revised dissertation.
To recommend revisions and convene a second meeting of the Dissertation
Committee to review the dissertation and complete the candidate's examination.
To evaluate the dissertation, including its examination, as unsatisfactory. If the
candidate fails, the candidate can petition the Dissertation Committee chair and the
Dissertation Committee for one retake.
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Following the examination, the chair must inform the candidate in writing of the outcome of
the examination. A copy of this statement is to be included in the student's file at the
doctoral program office of the academic unit, and a copy is given to the student. The
Doctoral Program Director will provide a copy of notice of the outcome of the examination
to the Office of the Registrar.
Registration Policies
Initial Course Registration
Students must initially register for the courses in which they wish to enroll prior to the
beginning of each semester or they will incur a late registration fee. Before registration,
students should consult a graduate advisor or their Graduate Program Director regarding
their Program of Study.
International Students
International students in F-1 or J-1 status must obtain approval from ISSS when registering
for the first time or for a new program, when registering below a full course load or
equivalent (e.g., Reduced Course Load), when registering for an internship, when taking an
approved temporary leave, or when separating from the University. This approval is in
addition to those normally required by an academic unit and may not be waived.
Changes in Course Registration Once a Semester Begins
The add/drop period is the first ten business days of the semester or the equivalent for
summer and other non-standard sessions. During the add/drop period, students may add or
drop courses or change course sections, except when the academic unit or the teaching unit
explicitly prohibits it, without penalty or notice on their transcript. After the add/drop
period, students must receive instructor, as well as Graduate Program Director approval in
order to add a course. They must receive the new instructor’s approval to change sections.
Grade type can be changed until the end of the eighth week of the semester.
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Students may drop a course up until the end of the eighth week of the semester or the
equivalent for summer and other non-standard sessions unless they have been charged with
a violation of the Academic Integrity Code. After the end of the eighth week of the
semester, students may drop a course only by permission of the Associate Dean of the
Academic Unit, and only in cases of well-documented emergencies beyond the student's
control. A low or failing grade in a course is not grounds for withdrawal from the course.
No course may be dropped after the last class meeting. International students must receive
approval from ISSS before withdrawing from a course. Students who wish to drop all courses
simultaneously must work with their academic unit to determine their official status at the
University. Discontinuation of attendance at a class or notification to the instructor is not
sufficient to constitute an official withdrawal from a course.
Interruptions of Studies
A student who takes a temporary leave or separates from the University is no longer taking
courses at AU.
•
Temporary Leave: A temporary leave is a temporary interruption in studies when the
student is not actively taking classes at the University nor receiving support for thesis
or dissertation work. The leave is for a specified period of time after which the
student is expected to return to active status. A temporary leave is initiated by the
student in consultation with the student's academic unit.
•
Separation: A separation from the University results in the loss of active student status
with no expected date of return to active status. Students who have separated from
the University must reapply to regain active student status. A separation can be
initiated by the student or a representative of the University. If students are
considering separating from the University, they should consult with their academic
unit as soon as possible to determine whether there are other, more viable
alternatives.
Graduate students who take temporary leaves or separate from the University during a
semester for which they are enrolled must withdraw from classes for which they are
registered, and must apply to the Office of the Registrar, who will inform them about how
the time limits to degree will be affected. Students must apply to the Associate Dean of the
academic unit for readmission to the program if they are out for more than one semester.
New degree requirements may apply.
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Graduate student financial aid, merit awards, and graduate assistantship awards will be
affected by any temporary leave or separation from the University. Students should consult
with their Graduate Program Director or the University Office of Financial Aid for help in
determining the effects of the proposed temporary leave or separation on their graduate
career.
a. Temporary Leaves
There are three kinds of temporary leaves: General, medical, and military. Medical covers
only personal health reasons. Family health reasons are covered under a general temporary
leave.
General Conditions for All Temporary Leaves
•
•
•
•
•
•
•
An approved temporary leave period is not counted as part of the time allowed for
completion of degree requirements, and thus does not count toward the time limits,
but temporary leaves cannot be used for the sole purpose of extending the time to
degree.
Since a temporary leave is not a registration, a student on leave is not registered and
may only use university facilities as a member of the general public. This includes the
library, fitness center, and similar facilities. Occupied university housing must be
vacated promptly by students on leave.
Students on temporary leave are not eligible for financial aid.
Students are responsible for understanding the implications of a temporary leave for
housing, financial aid, health insurance, and progress toward the degree.
This policy will not be used in lieu of disciplinary actions to address violations of
American University’s rules, regulations or policies. A student who has engaged in
behavior that may violate rules, regulations, or policies of the university community
may be subject to the Student Conduct Code. A student may be required to
participate in the disciplinary process concurrently with the request for a voluntary
temporary leave. A student permitted to take a temporary leave while on academic or
disciplinary status will return on that same status.
International students are advised that taking a reduction in load or a voluntary
temporary leave may affect their student visa status and should consult with ISSS.
Students who do not return to the University at the end of the temporary leave will
be automatically separated. Separated students must apply for readmission and must
meet the then-current admission criteria and program requirements.
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General Temporary Leave
Students desiring a temporary leave to study at another education institution are
directed to permit to study section. Students desiring a temporary leave for reasons
other than study at another educational institution must obtain approval from the
Associate Dean of their academic unit. Based on whether or not it seems desirable to
guarantee automatic readmission, the Associate Dean of the academic unit will issue a
permit for a temporary leave. This permit will specify the duration of the temporary
leave. Students must request the leave no later than within the first two weeks in the
semester in which the temporary leave will begin. To extend the temporary leave,
students must apply directly to the Associate Dean of their academic unit. The
academic unit can extend the temporary leave only once. The permit becomes void if
the student attends any domestic or foreign educational institution during the period
of temporary leave, unless the student obtains a permit to study at another institution
from the Associate Dean of the academic unit.
Medical Temporary Leave and Reduction in Load
A full-time graduate student may petition for a permit to take a reduced course load
to address a medical issue; full and part-time graduate students may request a permit
to take a medical leave of absence for up to one year for personal health reasons.
Petitions for all of these requests must include supporting documentation and are
submitted to the Graduate Program Director and approved by the Associate Dean of
the academic unit. The permit becomes void if the student attends any domestic or
foreign educational institution during the period of leave, unless the student obtains a
permit to study at another institution from the Associate Dean of the academic unit.
Students requesting to return from a temporary medical leave must petition the
Associate Dean of the academic unit. Students must provide sufficient documentation
that the medical condition has been alleviated and that the student is ready to return
to full-time academic life at the University.
Military Temporary Leave
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Students may be required to leave the University to fulfill short-term or long-term
national service or military obligations that are unrelated to war or ongoing
hostilities. In the instance of shorter-term absences (e.g., fulfilling periodic training
obligations to serve in the U.S. National Guard), students must inform their Graduate
Program Director and their instructors in advance of the temporary leave during a
semester and a written plan to complete course requirements must be devised by the
instructor and the student. The written plan must be filed with the Graduate
Program Director. Students who require short-term leaves for military reasons must
provide a copy of their military orders to their instructor.
In the event of a longer-term leave (e.g., an international student being required to
leave the U.S. to serve in their home country to fulfill national service or military
service obligations for a period of time during their graduate studies) the student may
apply to the Associate Dean of the academic unit for a general temporary leave for
national service or military reasons. Students applying for leave for this reason must
provide documentation to support the request for the leave.
b. Separation and Suspension from the University
Students whose grades would have led to academic dismissal had they not separated,
voluntarily or involuntarily, from the University are treated, for purposes of readmission, as
if they had been academically dismissed.
Voluntary Separation from the University
Students in good academic standing wishing to separate from the University must notify the
Office of the Registrar and may do so at any time, up to and inclusive of the last day of
classes. Separations requested after the last day of instruction or by students on probation
must be approved by the Associate Dean of the academic unit. Students may separate from
the University only once for any reason.
When students are enrolled in classes when they separate from the University, a grade of
"W" is entered for each course. Students who have withdrawn from classes to separate from
the University may be eligible for partial tuition reimbursement. The date of separation is
based on the notification date and cannot be changed retroactively.
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Students in good academic standing can apply to the Associate Dean of their academic unit
for readmission in the following semester. Students on probation may apply for readmission
after two full semesters (fall, spring, or summer).
Administrative Separation from the University
Graduate students who fail to file for a separation with the Office of the Registrar and leave
during a semester in which they have registered will receive failing grades in classes.
Graduate students who leave the University during a semester for which they are registered
or who fail to register for classes as expected without notifying the Office of the Registrar
will be considered as separated, and will only be considered for readmission under
exceptional circumstances.
Involuntary Suspension from the University
The Academic Dean may suspend a student from the University for an interim period
pending disciplinary or criminal proceedings or medical evaluation regarding behavior
relevant to such proceedings. The interim suspension will be effective immediately without
prior notice whenever there is evidence that the continued presence of the student at the
University poses a substantial and immediate threat to him or herself, to others, or to the
stability and continuance of normal university functions. Interim suspension excludes
students from university premises and other privileges or activities. See Student Handbook.
Interruption of Studies Caused by Emergencies, Hostilities, or War
Students whose work toward a degree is disrupted as a direct result of pandemic, hostilities,
war, or some similar emergency shall be given every possible consideration. Included in the
categories of students affected are those who cannot travel, are called to active duty, enlist in
the armed forces, or are assigned to nonmilitary duties. Students called to active military
duty while enrolled at the University must provide their academic unit with a copy of their
military orders. The orders should confirm the begin date and the end date of service. This
policy is in addition to that described in the Military Temporary Leave policy elsewhere for
events unrelated to hostilities or war. Students will be advised by their academic unit and
instructors on how best to complete their studies through alternative methods such as online
learning and, in some cases, may be eligible for a refund of tuition.
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Students may resume their studies at the University if arrangements are made for their
return within the six months following the end of their forced absence and if their degree
program is still offered by the University. They may continue to work for the same degrees
in which they were enrolled at the interruption of their studies in accordance with the
regulations in effect at the time they left. Students should communicate with their Graduate
Program Director and the Associate Dean of the academic unit as soon as they know the date
of their return.
Trauma and Bereavement Policy
In the event of a personal tragedy or trauma, students may need to coordinate alternative
arrangements to complete coursework. Students or their authorized representative may
contact the Office of the Associate Dean of the academic unit.
If students believe it is not in their best interest to complete the semester or to return to
campus the next semester, the options exist to take a temporary leave or to separate from the
University.
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Summary of Proposed Changes to the Graduate Academic Regulations
A significant portion of the proposed revisions to the Graduate Academic Regulations
improves language which had previously caused some confusion. In some instances of
revised language, no policy changes were made. If any change was made to a section, it is
highlighted gray in the proposed regulations. However, there are some significant structural
and policy changes proposed in these revised regulations. These are listed below:
Numbering:
All sections have been numbered, similar to the undergraduate regulations. This allows for
easier referencing.
Redundancy:
In the current set of regulations, some policies are stated more than once, sometimes with
slightly different wording. This has caused confusion. These proposed regulations state each
policy only one time.
Re-Admission of Students with Previous AU Graduate Records:
Students who have been separated with low GPAs or were dismissed can reapply for
admission. If the academic unit wants to re-admit the student, approval for re-admission is
required by the Vice Provost for Research and Dean of Graduate Studies. This allows for
students who have sufficient evidence of maturity and academic growth to re-enroll in a
graduate program at AU. (2.8)
Incompletes:
If a student who is not placed on Academic Probation is assigned an incomplete grade and
the final assigned grade brings the student’s cumulative GPA to below 3.00, the student
will be placed on Academic Probation at the end of the semester when the default grade
was assigned. The student will not be placed on academic probation at the time the course
was taken. (3.13.4)
If a student separates from the University, any unresolved Incomplete will receive the
default grade. (3.7)
Internships:
The minimum number of credits hours associated with weekly internship work hours has
been changed to match the undergraduate regulations. (3.9)
1
Academic Probation/Dismissal:
If, at any point while a student is on Academic Probation status, it becomes mathematically
impossible to raise his or her cumulative GPA to 3.00 within the allotted 9 credits from the
onset of Academic Probation, the student will be academically dismissed. (3.13.1)
For example, suppose a student goes on probation due to a cumulative GPA below 3.00.
The first semester on probation, this student enrolls in 6 credits hours.
• If at the end of that first semester, he or she has a cumulative GPA of 3.00 or
higher, the student is no longer on probation.
• If at the end of that first semester, his or her cumulative GPA is still below 3.00 but
could be raised to 3.00 within 3 credits, the student could enroll in classes the
following semester. The university regulations would not limit to the number of
credits in which the student could enroll. However, academic units are free to
impose additional limits. The student must earn a 3.00 cumulative GPA at the end
of the next semester if he or she enrolls in 3 or more credits.
• If at the end of that first semester, it is not mathematically possible raise his or her
cumulative GPA to 3.00 within 3 credits, the student would be academically
dismissed after the first semester on probation.
The proposed regulations clarify probation and dismissal for non-degree and certificate
students. Non-degree students follow the same rules and degree-seeking students. (3.13.3)
Certificate students also follow the same rules, except they may be placed on probation
after 6 credits and have 6 credits to raise their cumulative GPA to 3.00. (3.13.2) These two
policies on probation and dismissal are not a change from the current regulations, but are
clarified now in one section.
Time Limits on Courses:
Courses completed more than six years before finishing a master’s degree or certificate and
more than nine years before finishing a PhD may not fulfill degree requirements. Academic
units may set stricter limits and may also give extensions on individual bases. (5.10)
Substituting Courses:
GPDs may use course substitutions, often with similar, but more advanced, content to those
specified in the degree requirements, based on students’ previous academic records and
experiences in the Program of Study. (5.11)
Waiving Requirements:
Waiving requirements is defined as satisfying degree or programmatic requirements by
means other than those specified in the Academic Catalog. This could include giving credit
for courses or other requirements based on individual backgrounds before admission. This is
2
allowed, but only if the conditions of waiving requirements are explicitly specified in
Academic Catalog. Otherwise, approval from the Vice Provost of Research and Dean of
Graduate Studies is required. (5.12)
Graduation:
Student who finish all degree requirements must submit an application to graduate in their
final semester. They must have a 3.00 GPA to graduate. (5.13)
Transfer Credits:
Transfer credits are defined as courses taken prior to their admission to a graduate program at
AU and counted toward an AU degree. Academic units can approve up to 6 credits to be
transferred – additional credits transferred needs approval of the Vice Provost for Research
and Dean of Graduate Studies. (6.2) Courses taken in a previous AU degree may not be
transferred, but may be shared. See Shared Credits from Non-Concurrent AU Degrees
Shared Credits from Concurrent AU Degrees:
It is clarified that the only way credits are shared with degrees is through the combined
bachelor’s/master’s program, a dual degree program, or appropriate master’s degree courses
taken at AU applied toward a PhD program. (6.4.1)
Shared Credits from Non-Concurrent AU Degrees:
If a student has a previously earned a graduate degree from AU and applies for admission to
another degree, 6 credits may be shared. The credits can be shared without petition if the
same courses are requirements or electives for both degrees. Otherwise, Vice Provost for
Research and Dean of Graduate Studies approval is needed. (6.4.2)
Limits on Transferred Credits, Shared Credits from Non-Concurrent AU Degrees, and
Courses Completed by Permit to Study:
The limit on the total number of credits for these three categories is 6 credits. (6.2, 6.4.2, 6.6,
and 6.7)
Dual Degree Programs:
Limits on credit sharing is specified for new dual degree programs. Dual degree programs
must be approved and listed in the Academic Catalog or approved by the Vice Provost for
Research and Dean of Graduate Studies. If a dual degree program is not listed in the
Academic Catalog, VPR/DGS approval is necessary for each student before admission to a
second degree program. VPR/DGS approval for a particular Dual Degree Program may only
be granted for 3 students before it must be approved by the Graduate Curriculum Committee
3
and listed in the Academic Catalog. Currently approved dual degree programs are not
subject to these regulations. (8.6.1)
Combined Bachelor’s/Master’s Program:
The proposed regulations specify that students accepted to a combined bachelor’s/master’s
program are not required to re-apply for the graduate program at a later time. They must,
however, satisfy the conditions of admission to the graduate program at the end of their
undergraduate career. (2.3)
The incorrect statement (For every 9 required graduate credits earned for the graduate
degree while a student has graduate student status, the student may count up to 3 required
graduate credits earned as an undergraduate towards the master’s degree) from the current
regulations has been replaced by a corrected table. It is specified that shared credits must
satisfy major requirements for the bachelor’s degree and not simply university requirements,
unless approved by the Vice Provost for Research and Dean of Graduate Studies or designee.
Graduate credit cannot be shared with minors unless they are stipulated as major
requirements for the bachelor’s degree in the Academic Catalog, unless approved by the Vice
Provost for Research and Dean of Graduate Studies or designee. Students must have a
cumulative graduate GPA of 3.00 or higher when completing their undergraduate degree to
share all credits in their Plan of Study. If the cumulative graduate GPA is below 3.00, only
graduate courses with grades of B or higher will be allowed to be shared. (8.7)
Doctoral Programs:
More details concerning the dissertation defense are provided, including when the
dissertation title page is to be signed. Outside readers are allowed to submit a letter in place
of a signature since some may not be local. (8.4) Public announcements of dissertation
defenses are required. (9.6)
Temporary Leaves:
All temporary leaves are limited to 2 semesters. (10.4.1.1) Exceptions can be made for longterm military leaves, assuming the student can provide a start and end date of military
service. (10.4.1.3) Medical leaves require documentation that the medical condition has been
alleviated and that the student is ready to return to academic life at the University to go to
the Dean of Students (in the old regulations, this was submitted to the Associate Dean).
(10.4.1.2)
4
Petition chart in the back of the regulations:
The petition chart, which used to be a separate document, is now included in the proposed
regulations. The new numbering system helps identify the location of the regulation to
petition in the document.
Glossary:
A glossary of terms is now included.
5
March 31, 2015
This document compares the proposed Graduate Academic Regulations to the current regulations in place. For each section where
wording has changed in the proposed regulations, we have provided the equivalent text from current regulations as well as the
rationale for the change (in red below the text of the current regulations).
Many changes were made that aren’t easily seen in this type of comparison. All sections in the proposed regulations are numbered
to make referencing easier. Two new appendices were added to the proposed regulations: a petition for exception chart and a
glossary. A petition for exception chart exists for the current Graduate Academic Regulations but is in a different document. We
decided it would make more sense to have proposed regulations and its associated petition for exception chart together. The idea
for a glossary originates from the current Undergraduate Academic Regulations. However, since there is no comparison in the
current regulations, these appendices are not included in this document.
The first draft of the proposed Graduate Academic Regulations was written by a writing group with staff and faculty representatives
from CAS, SOC, SPA, SIS, Kogod, the University Library, and the Office of the University Registrar, and the Office of Graduate Studies.
Afterwards, the first draft was disseminated to the campus community for comments. Their recommendations were incorporated
into the version of the proposed regulations in this document.
To compare the proposed and current Graduate Academic Regulations, formatting had to be sacrificed. Some tables are not
readable in this version. Furthermore, the proposed regulations in its original format has internal links throughout the document,
allowing the reader to click on some words for their definition, skip to the associated regulation, or open a related website. We
recommend that you read this document with a “clean” version of the proposed Graduate Academic Regulations to use as a
resource if needed.
Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
Contents: American University Graduate Academic Rules &
Regulations for Graduate Students
DRAFT VERSION OF REVISION – NOT THE CURRENT REGULATIONS!
1.
Preamble
2.
Admissions Policies
2.1.
Admission to Degree Programs
2.1.1. Minimum Requirements for Full Admission
2.1.2. Provisional Admission
2.2.
Admission to Joint Degree Program
2.3.
Admission to a Combined Bachelor’s /Master’s Program
2.4.
Admission to an AU Dual Degree Program
2.5.
Admission with Non-degree Status
2.6.
Admission to Post-Baccalaureate for-Credit Certificate
Programs
2.7.
Admission from Non-degree Status or a Post-Baccalaureate
Certificate Program to a Graduate Degree Program
2.8.
Re-admission of Students with Previous AU Graduate
Records
3.
Evaluation of Academic Performance
3.1.
Credit Hour
3.2.
Grade Point Average
3.3.
Grading System
3.4.
Grades for Thesis / Dissertation
3.5.
Pass/Fail Courses
3.6.
Auditing Courses
3.7.
Incompletes
3.8.
Independent Studies
3.9.
Internships
3.10. Repetition of Courses
3.11. Good Academic Standing
3.12. Satisfactory Academic Progress
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
3.13. Academic Warning, Academic Probation and Academic
Dismissal
3.13.1. Students Enrolled in a Graduate Degree Program
3.13.2. Students Enrolled in a Graduate Certificate Program
3.13.3. Graduate Non-degree Students
3.13.4. Incompletes and Academic Probation
3.14. Academic Integrity Code
4.
Graduate Assistantships
4.1.
Teaching Assistantships (TA)
4.2.
Research Assistantships (RA)
5.
Degree Requirements
5.1.
Program of Study
5.2.
Course Levels
5.3.
Cross-listed courses
5.4.
Designation of Full-Time and Part-Time Status
5.5.
Continuous Enrollment
5.6.
Submission and Publication of Thesis / Dissertation
5.7.
Research Assurances and Research Ethics Training
5.8.
Time Limits to Degree
5.9.
Time Extensions
5.10. Time Limit on Courses
5.11. Substituting Courses
5.12. Waiving Requirements
5.13. Graduation
6.
Credit Requirements
6.1.
Criteria for Courses to be Accepted for Graduate Academic
Credit
6.2.
Transfer Credits
6.3.
Credits from Master’s Degrees Applied to PhD Programs
Error! Bookmark not defined.
6.4.
Shared Credits
6.4.1. Shared Credits for Concurrent Degrees
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
6.4.2. Shared Credits for Non-Concurrent Degrees
6.5.
In Residence Credit and Residency Requirements
6.6.
Permit to Study at Another U.S. Institution
6.7.
Permit to Study Abroad
7.
Requirements for a Graduate Certificate
7.1.
Graduate Certificate Programs for Credit
7.2.
Graduate Certificate Programs not for Credit
8.
Requirements for a Master’s Degree
8.1.
Approved Program of Study
8.2.
Degree Requirements
8.3.
Capstone Experience
8.4.
Thesis
8.5.
Jointly Administered Degree Programs
8.6.
Dual Degree Programs
8.7.
Combined Bachelor’s and Master’s Degrees
9.
Requirements for a Ph.D. Degree
9.1.
Approved Program of Study
9.2.
Degree Requirements
9.3.
Comprehensive Examination(s) or Equivalent
9.4.
Ph.D. Dissertation Committee
9.5.
Advancement to Candidacy
9.6.
Examination of Dissertation
10.
Registration Policies
10.1. Initial Course Registration
10.2. International Students
10.3. Changes in Course Registration Once a Semester Begins
10.4. Interruption of Students
10.4.1. Temporary Leaves
10.4.1.1.
General Conditions for All Temporary Leaves
10.4.1.2.
General Temporary Leave
10.4.1.3.
Medical Temporary Leave and Reduction in Load
10.4.1.4.
Military Temporary Leave
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
10.4.2. Separation and Suspension from the University
10.4.2.1.
Voluntary Separation from the University
10.4.2.2.
Administrative Separation from the University
10.4.2.3.
Involuntary Suspension from the University
10.4.3. Interruption of Studies Caused by Emergencies, Hostilities,
or War
10.5. Trauma and Bereavement Policy
11.
Appendix I - Petition for Exception Decision Chart
12.
Appendix II - Glossary
1.
Preamble
Preamble
This document summarizes the body of Academic Rules
and Regulations in place at American University for the
conduct of graduate education in academic programs
housed in Schools and Colleges other than the
Washington College of Law. Graduate students in the
Washington College of Law are governed by the academic
rules and regulations specific to the Washington College
of Law, except in those instances when they are enrolled
in a joint program between another unit at American
University and the Washington College of Law. When
enrolled in a joint program, students must satisfy the
Academic Rules and Regulations that relate to both units
in which their degree is housed. Based on a compelling
rationale, an appeal may be made with respect to a
specific graduate academic regulation by a graduate
student or faculty member. Students filing appeal
requests should begin with a written request to their
academic advisor.
This document constitutes the American University’s Academic
Regulations of graduate degree and non-degree programs except
those offered exclusively by the Washington College of Law. When
enrolled in a joint program, students must satisfy the Academic
Regulations that relate to both units in which their degree is
housed. Students are expected to know and follow these
regulations; ignorance of a regulation will not be accepted as an
excuse for failure to act in accordance with it. Academic units and
graduate programs may establish additional regulations for their
students. Based on a compelling rationale, an exception to a
specific graduate academic regulation may be granted. Appendix I
details the individual or office that may authorize an allowed
exception to a specific policy.
5
Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
The language has been cleaned up. We added language
acknowledging that students must be aware of the
regulations. We made reference to the new appendix
about petitions for exceptions.
2.
Admissions Policies
2.1.
Admission to Degree Programs
Individuals apply for admission to graduate study to the academic
unit offering the degree program. Applicants are admitted to a
particular program for a specific degree objective (M.A., M.S.,
M.F.A., Ph.D., etc.). Applicants are admitted to either full or
provisional status.
2.1.1. Minimum Requirements for Full Admission
Applicants must hold an earned baccalaureate degree from an
institution accredited by one of the six United States regional
accreditation agencies or a degree equivalent to a four-year U.S.
baccalaureate degree from an international institution with a
similar level of accreditation or recognition by its home country.
Assessment of a foreign degree will be based upon the
characteristics of the national system of education, the type of
institution attended, its accreditation, and the level of studies
completed. Applicants must provide proof of an undergraduate
degree with an original certified transcript. Responsibility for the
verification and approval of documents supporting graduate
applications and the minimal requirements for full admission rests
with the admissions office in each academic unit.
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
Applicants may be admitted without reference to their
baccalaureate record if they earned at least a 3.30 cumulative GPA
in a master’s degree program completed at a regionally accredited
institution or if they earned at least a 3.50 cumulative GPA for the
last 12 credit hours of a master’s or doctoral degree program still in
progress.
Applicants whose native or first language is not English must
demonstrate proof of language proficiency by submitting
satisfactory results from one of the following:
•
English proficiency tests (specific scores that confer a
passing grade on these exams can be obtained from AU’s
International Student and Scholar Services (ISSS) .

Test of English as a Foreign Language (TOEFL);

International English Language Testing System (IELTS);

the Pearson Test of English-Academic (PTE-Academic); or

Successful evaluation on the Kansas Test administered by
the ISSS office at AU.
•
Successful completion of the highest level of course work in
an approved intensive English-language program recognized by AU.
•
An earned bachelor's degree from an accredited or
approved institution where the medium of instruction is in English.
In addition to academic requirements for admission, international
students, for purposes of obtaining a visa to study in the United
States, must also provide proof of financial ability. To determine the
required amount, they should consult the Cost Guides on the ISSS
website.
Graduate degree programs may establish additional requirements.
We emphasized academic units and degrees programs
have discretion to apply more stringent conditions for full
admission.
2.1.2. Provisional Admission
Students, including international students, who do not meet the
above GPA requirements may be admitted with provisional status.
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
Students who are admitted provisionally must have a cumulative
GPA of at least 3.00 after the completion of the first 9 credit hours
of graduate study at AU, or they will be academically dismissed.
Individual programs and academic units may establish more
restrictive standards.
We emphasized academic units and degrees programs have
discretion to apply more stringent conditions for provisional
admission.
2.2. Admission to Joint Degree Program
Admissions procedures for joint degrees vary by individual program
but each academic unit administering the joint degree must review
applications and make admissions decisions. While all units review
the application, the student’s home school is the one to which
he/she applies.
Admission to a Combined Bachelor’s /Master’s
Program
A combined bachelor’s/master’s program involves tentative
admission to graduate standing so that both a bachelor’s
and master’s degree may be earned as the result of a
planned program of study. Highly qualified students in good
academic standing may apply to a graduate program for a
combined degree as soon as they have completed 75 earned
credits. With rare exceptions, students will apply no later
than the semester in which they have 90 completed credits
toward their degree. Admission during the junior year or
equivalent allows sufficient time and preparation for
curricular sequences and other research experiences that
distinguish this option from separate bachelor’s and
master’s degrees. No more than one graduate degree can be
earned as a combined degree.
Students will be admitted to the combined program at two
levels, i.e., for both the undergraduate degree and the
graduate degree.
Once admitted during the junior year, students must follow
a prescribed program of work, and their record must show
2.3. Admission to a Combined Bachelor’s /Master’s
Program
Through a combined bachelor’s/master’s program, a qualified
undergraduate student may earn graduate credits that will apply to
a master’s degree upon completion of his or her baccalaureate
degree. See Combined Bachelor’s/Master’s Degrees for more
details about the option. Highly qualified students in good
academic standing may apply to a graduate program for a
combined degree as soon as they have completed 75 credits.
Students must apply before completing 90 credits toward their
degree except with approval of the Associate Dean of the academic
unit. Admission during the junior year or equivalent allows
sufficient time and preparation for curricular sequences and other
research experiences that distinguish this option from separate
bachelor’s and master’s degrees. Students are not required to reapply for the graduate program once they have been accepted in a
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
combined bachelor’s/master’s program. They must, however,
satisfy the conditions of admission to the graduate program at the
end of their undergraduate career. Each academic unit and
teaching unit may add additional admission standards to the
university criteria. No more than one graduate degree may be
earned in a combined degree program.
which courses will be applied toward the undergraduate
degree and which courses will be applied toward the
master’s degree. Once all undergraduate requirements have
been satisfied, the student will be officially enrolled in the
graduate program if they complete their bachelor’s program
in good academic standing, and if they meet all University
and academic unit or teaching unit requirements for
admission to the master’s program for the combined
degree. Each academic unit or teaching unit sets its own
admission standards and procedures for graduate students.
Once enrolled in the master’s program, students are then
subject to the academic regulations governing graduate
students.
For every 9 required graduate credits earned for the
graduate degree while a student has graduate student
status, the student may count up to 3 required graduate
credits earned as an undergraduate towards the master’s
degree. For example, a student can share 9 credits for a 30hour master’s degree, 12 credits for a 36-hour master’s
degree, or 15 credits for a 39-hour or more master’s degree
for graduate level courses taken as an undergraduate.
Individual programs may set lower limits.
We removed language in last paragraph that is repeated in
“Combined Bachelor’s/Master’s Degrees” (7.7 in the
proposed regs). A link is included to the new section on
“Combined Bachelor’s/Master’s Degrees” which address this
information. We cleaned up the language. We added a
statement that bachelor’s/master’s students cannot be
forced to reapply again after finishing their undergraduate
degrees, a practice some academic units had been doing in
the past.
9
Proposed Update of the Regulations (changes in gray)
2.4.
Current Version of the Regulations; justification of changes in red
Admission to an AU Dual Degree Program
For admission to an approved dual degree program, the student
must meet the admission criteria for each of the degrees and must
be admitted separately to each degree program. The student must
be admitted to the second program before completing the first.
Admission to one degree program does not guarantee automatic
admission to a second. Each admission decision is separate, and
conducted according to established procedures for the specific
degree. The student must take all admission examinations required
by each of the graduate programs.
2.5.
Admission with Nondegree Status
Admission to attend classes with nondegree status is open
to applicants who have a bachelor’s degree or the
equivalent. Enrollment as a nondegree student does not
guarantee acceptance into a degree program. Students must
have approval of the instructor to enroll in a class with
nondegree status.
Admission with Non-degree Status
Admission to attend classes with non-degree status is open to
applicants who have a bachelor’s degree or the equivalent.
Enrollment as a non-degree student does not guarantee acceptance
into a degree program. Students must have approval of the
Academic Unit to enroll in a class with non-degree status.
The decision involving permission was changed to the
academic unit rather than the individual instructor since the
new system for non-degree registration relies upon AU
Central communicating with the academic unit.
2.6. Admission to Post-Baccalaureate for-Credit
Certificate Programs
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
Admission to attend classes in post-baccalaureate for-credit
certificate programs is open to applicants who have a bachelor’s
degree or the equivalent. Enrollment as a post- baccalaureate
student does not guarantee acceptance into a degree program.
2.7. Admission from Non-degree Status or a PostBaccalaureate Certificate Program to a Graduate Degree
Program
Students who have non-degree status or who are enrolled in a postbaccalaureate graduate certificate program at AU may be admitted
to a graduate degree program following the completion of the
regular applications process. Graduate programs may approve
specific credit hour limits and relevant coursework earned in nondegree status or in a post- baccalaureate certificate program to
share with a degree program, but no more than 12 credit hours can
be shared for credit towards a degree. Academic unit policies
regarding the approval of semester credit hours of coursework
earned in non-degree status or in a post-baccalaureate certificate
program must be posted and publically available on the
departmental website.
This is a new section. The current regulations are silent on
re-admission of students with low GPAs and/or students
who have been dismissed. This rule establishes a system
which affords certain students the opportunity to return to
AU if they are prepared to resume their studies. The
coordination with OGS will allow for proper consultation
with campus stakeholders for an improved student
experience.
2.8. Re-admission of Students with Previous AU Graduate
Records
If an academic unit intends to re-admit a student who either has
a.
been previously academically dismissed from American
University or
b.
graduate coursework from American University with a
cumulative GPA below 3.0 that has not been counted toward a
completed degree, then the academic unit must obtain approval
from the Vice Provost for Research and Dean of Graduate Studies
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
before the student is admitted to any graduate program, certificate
program, or non-degree status. Specific conditions of provisional
admission may be required by the teaching unit, academic unit, or
VPR/DGS.
3.
Evaluation of Academic Performance
3.1.
Credit Hour
American University uses the Carnegie Classification definition of a
semester credit hour. A semester credit hour is defined as at least
12.5 hours of direct faculty instruction per semester (in class, online, remote site) with at least 25 hours of student work outside of
that direct instruction, typically conducted over a 15-week
semester, or an equivalent amount of faculty instruction and work
over a different time period.
Courses are typically 3 semester credits hours each, meaning that
students meet in an instructional venue (in class, on-line, remote
site) for 2.5 hours each week and complete academic work outside
the instructional venue at least 5 hours each week for a 15-week
semester or an equivalent amount of work spread out over a
different period of time. Courses that carry 4 or 5 semester credit
hours require proportionately more work each week both inside
and outside the instructional venue. Courses that carry 1 or 2
semester credit hours require proportionately less work, both
inside and outside the instructional venue. Courses that meet fewer
than 2.5 hours a week that are assigned 3 semester credit hours
must require students to do additional work outside of the
instructional venue to achieve the expected learning objectives of a
2.5 hour a week course. At the academic unit level, the Educational
12
Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
Policy Committee in each academic or teaching unit is charged with
approving such courses and certifying that the expected student
learning objectives for the course meet the 3 semester credit hour
standard. At the University level, the Graduate Curriculum
Committee of the Faculty Senate and the Vice Provost for Research
and Dean of Graduate Studies or designee must also review and
approve such courses.
3.2.
Grade Point Average
Included in the calculation of the cumulative GPA for
graduate students are all graduate-level courses taken at AU
and courses taken from the Consortium of Universities of
the Washington Metropolitan Area as required by the
Program of Study. Credits accepted as transfer credit from
other institutions or earned during a permit to study at
another domestic or foreign institution are included in the
total number of credit hours applicable to degree
requirements, but grades earned in such courses are not
recorded on the transcript at American University and are
not used in the calculation of the GPA needed for
graduation.
Grade Point Average
All graduate-level courses taken at AU and courses taken through
the Consortium of Universities of the Washington Metropolitan
Area while a student is enrolled in a degree program, a certificate
program, or as a non-degree student are included in the calculation
of the cumulative GPA for graduate students. If a student is
admitted after having earned a graduate or undergraduate degree
at AU, the cumulative GPA does not include grades from the earned
degree unless coursework is shared. Credits accepted as transfer
credit from other institutions or earned during a permit to study at
another domestic or foreign institution are included in the total
number of credit hours applicable to degree requirements, but
grades earned in such courses are not recorded on the transcript at
American University and are not used in the calculation of the GPA
needed for graduation.
Determination of the cumulative GPA for graduate
students, and the notification of graduate students
regarding any deficiencies in GPA is the responsibility of
the Office of the Registrar.
We cleaned up language in the first sentence. The second
sentence clarifies a process already in effect about how
GPAs are calculated if a student has multiple graduate
degrees.
Determination of the cumulative GPA for graduate students, and
the notification of graduate students regarding any deficiencies in
GPA is the responsibility of the Office of the Registrar.
13
Proposed Update of the Regulations (changes in gray)
3.3.
Current Version of the Regulations; justification of changes in red
Grading System
The grading scale and the grade calculations used in the graduate
GPA are equivalent to those used for undergraduate students.
3.4.
Grades for Thesis / Dissertation
Thesis (797) and dissertation (899) course credits are graded as
Satisfactory Progress (SP) or Unsatisfactory Progress (UP). With
grades of either SP or UP, students receive credit for these courses
but the grades earned are not used in computing the GPA. These
grades do not change upon the completion of the thesis or
dissertation, and neither thesis nor dissertation credits may be
retaken to change a previously assigned UP to an SP.
3.5.
Pass/Fail Courses
Graduate students may not choose the pass/fail option
over the letter-grade option in courses that are part of
their Program of Study. However, in some instances,
courses that can only be taken Pass/Fail may be included
as part of a student’s Program of Study. A grade of Pass
for a graduate student indicates performance of no less
than a B which indicates at numeric equivalent of 3.0.
Neither Pass nor Fail grades are used to compute the
GPA.
Pass/Fail Courses
Graduate students may not choose the pass/fail option over the
letter-grade option in courses that are part of their Program of
Study. Courses that can only be taken Pass/Fail may be included as
part of a student’s Program of Study. A grade of Pass for a graduate
student indicates performance of no less than a B which indicates a
numeric equivalent of 3.0. Neither Pass nor Fail grades are used to
compute the GPA.
We cleaned up language.
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Proposed Update of the Regulations (changes in gray)
3.6.
Current Version of the Regulations; justification of changes in red
Auditing Courses
Graduate students may register for courses with an audit grade
option that are not part of their Program of Study. Faculty will
establish standards for class participation and/or attendance for
auditing students. When auditing students fail to meet those
standards, the instructor will assign the grade of ZL (administrative
withdrawal from audit). Tuition for courses registered for an audit
grade option will be billed at the same rate as courses registered
for academic credit. Other University requirements for auditing
courses will be applicable.
3.7.
Incompletes
The instructor of record may assign an Incomplete status for
a grade when extenuating circumstances prevent a student,
who has otherwise completed the majority of the work in
the course, from completing all work during the stated
instructional period. Students on probation may not receive
an Incomplete. To receive Incomplete status in a course,
students must receive the permission of the instructor in
advance of the assessment of final course assignments and
agree on an incomplete contract before grades are posted.
Multiple outstanding incomplete grades may affect the
ability of a student to maintain Satisfactory Academic
Progress.
Incompletes
The instructor of record may assign an Incomplete in place of a final
grade when extenuating circumstances prevent a student, who has
otherwise completed the majority of the work in the course, from
completing all work during the stated instructional period. Students
on probation may not receive an Incomplete. To receive an
Incomplete in a course, students must receive the permission of the
instructor in advance of the assessment of final course assignments
and agree on an incomplete contract before grades are posted.
Multiple outstanding incomplete grades may affect the ability of a
student to maintain Satisfactory Academic Progress.
The instructor must provide, in writing, the conditions for
satisfying the incomplete to the student and must enter
those same conditions when posting the grades for the
course. Instructors must identify what work needs to be
completed, when the work must be completed, and what
The instructor must provide, in writing, the conditions for satisfying
the Incomplete to the student and post them when entering the
final grades for the course. Instructors must identify what work that
needs to be completed, when the work must be completed, and
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
what the course grade will be if the student fails to complete that
work. Remaining work must be completed before end of the
following semester. Earlier deadlines, such as by the add/drop date
of the next semester, are recommended. Students who do not
meet the established conditions will automatically receive the
default grade. In exceptional circumstances, the Associate Dean of
the academic unit, with the concurrence of the instructor, may
grant extensions beyond the agreed deadline. The Associate Dean
must inform the Office of the Registrar of the extension. Students
may not drop a course once an Incomplete is granted. An
Incomplete may not stand as a permanent grade and must be
resolved before a graduate degree or post-baccalaureate certificate
can be awarded. If a student separates from the University, any
unresolved Incomplete will receive the default grade.
the course grade will be if the student fails to complete that
work. Remaining work must be completed before the end of
the following semester. Students who do not meet the
stated conditions will receive the default grade
automatically. The Associate Dean of the academic unit, with
the concurrence of the instructor, may grant extensions
beyond the agreed deadline, but only in extraordinary
circumstances. The Associate Dean must inform the Office of
the Registrar of the extension. Students may not drop a
course once an Incomplete is granted. An Incomplete may
not stand as a permanent grade and must be resolved
before a graduate degree or post-baccalaureate certificate
can be awarded.
First, a recommendation is made to have earlier deadlines
for conversion to the default grade than the end of the
semester. Second, if a student separates, the grade converts
to the default grade. The current regulations are silent on
this matter.
Independent Studies
3.8.
With the approval of their Graduate Program Director,
students making Satisfactory Academic Progress may
register for an independent study. The independent study
must be identified as a course in the Program of Study.
Before registration, the student and the supervising faculty
member must agree upon and document the title, objective,
scope, credit value (1 to 6 credit hours), and the method of
Independent Studies
With the approval of their Graduate Program Director, students in
Good Academic Standing may register for an independent study.
The independent study must be identified as a course in the
Program of Study. Before registration, the student and the
supervising faculty member must agree upon and document the
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
title, objective, scope, credit value (1 to 6 credit hours), and the
method of evaluation for the independent study. The instructor
must notify the Graduate Program Director of the agreement for
the study. Students will not have more than 9 Independent Study
credit hours in any graduate program. Individual programs may set
lower limits.
evaluation for the independent study. The instructor must
notify the Graduate Program Director of the agreement for
the independent study. Students will not have more than 9
Independent Study credit hours in any graduate program.
Individual programs may set lower limits.
Changed Satisfactory Academic Progress to Good
Academic Standing.
Internships
3.9.
Graduate students may enroll in credit-bearing, paid, or
unpaid work assignments (internships) with a significant
academic component under the guidance of a faculty
member. The work for the internship may be no more than
15% administrative in nature, and instructors must weigh
the academic component as at least half of the course
grade. The internship must be identified as a course on the
Program of Study. Internships may be taken for variable
credit. With the approval of the Director of the Graduate
Program, students may enroll for 1 to 6 credits. The table
below illustrates the average hours worked weekly per
internship credit that graduate students are expected to
earn over 14 weeks of a traditional semester or the
equivalent for summer or special term classes. Customarily,
students will not have more than 6 Internship Study credit
hours in any graduate program. Individual programs may set
lower limits.
Internships
Graduate students register for credit-bearing, paid, or unpaid
internships with a significant academic component with the
approval and guidance of a faculty member. The work for the
internship may be no more than 15% administrative in nature, and
instructors must weigh the academic component as at least half of
the course grade. The internship must be identified as a course on
the Program of Study. With the approval of the Graduate Program
Director, students may enroll for 1 to 6 credits in a single
internship. Individual graduate programs may set lower limits on
the number of credits for which a single internship may be
registered and limit the total number of internship credits in a
Program of Study. Students may not exceed six internship study
credit hours in any graduate program. The table below indicates the
minimum number of total hours worked per credit hour allowed.
Earned Credits/Minimum Hours Interned
Earned credits 1
2
3
4
5
Average Weekly Work Hours per Number of Internship
Credits Earned
6
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Minimum total hours interned required by end of term 70
140
210
280
350
420
Average number of hours interned weekly over 14 weeks
10
15
20
25
30
Average number of hours worked weekly
14
18
22
26
Number of internship credits earned
1
4
5
6
5
7
10
2
3
The hours were converted to match the undergraduate
academic regulations. We cleaned up language.
Repetition of Courses
Graduate students may repeat only once a course they
have previously completed and failed or from which they
have withdrawn. They may repeat only two courses in this
fashion during a graduate program of study. Grades for
each attempt are shown on the transcript and are used to
compute the overall GPA, but credits for only one passed
course are included in the credits required for the
graduate degree.
3.10. Repetition of Courses
Graduate students may repeat only once a course they have
previously completed and failed to earn credit toward their degree
or certificate or from which they have withdrawn. They may repeat
only two courses in this fashion during a graduate program of
study. Grades for each attempt are shown on the transcript and are
used to compute the overall GPA, but credits for only one passed
course are included in the credits required for the graduate degree.
This was added since grades C- and D also don’t count
toward graduate degree or certificate programs.
3.11. Good Academic Standing
Graduate students are considered to be in Good Academic Standing
if they are achieving satisfactory academic progress toward the
degree requirements of their program and have a cumulative GPA
of 3.0.
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3.12. Satisfactory Academic Progress
Students are making Satisfactory Academic Progress when, in
addition to meeting any standards for the GPA that individual
programs might set, they are: meeting on time the defined
milestones in their Program of Study and they have received credit
in at least two-thirds of the courses which they have attempted. For
master’s students, such milestones include, but are not limited to,
completing the required coursework and completing the capstone
experience satisfactorily. For doctoral students, milestones include,
but are not limited to, completing the required coursework, passing
the comprehensive examination(s) or equivalent, defending the
dissertation proposal, completing the dissertation, and defending
the completed dissertation.
For students writing a thesis or dissertation, it is the collective
responsibility of the student and the student’s Thesis Advisor or
Dissertation Committee Chair to ensure that Satisfactory Academic
Progress is being maintained. This process is coordinated by the
student’s Thesis Advisor or Dissertation Committee Chair, and
oversight authority rests with the Graduate Program Director.
Thesis Advisors and Dissertation Committee Chairs are required to
review annually all students conducting theses or dissertations to
determine that they are making Satisfactory Academic Progress,
and to (1) inform the student, and (2) inform the Graduate Program
Director, who will communicate the finding to the Associate Dean
of the Academic Unit. Students may request of the Graduate
Program Director, at least once each semester, that their Thesis
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Academic Warning, Academic Probation and
Academic Dismissal
Director or Dissertation Committee Chair meet with them to discuss
progress on the thesis or dissertation.
3.13. Academic Warning, Academic Probation and
Academic Dismissal
The Registrar will place students on Academic Probation
when, after attempting at least 9 credit hours of
coursework, their cumulative GPA falls below 3.00 or
when students fail to receive credit in at least two-thirds
of the courses they attempt. Full-time students will be
placed on Academic Probation for one semester. Parttime students will be placed on Academic Probation for
the time it takes them to attempt 9 more credits, or three
semesters, whichever is shorter. The Registrar will inform
the students of their probationary status in writing. This
notification should also inform the students that they
cannot receive an incomplete grade while they are on
Academic Probation status. After the Academic Probation
period is completed, students who fail to bring their
cumulative GPA up to 3.00 or fail to raise their course
completion rate will be permanently dismissed from the
University by the Registrar.
3.13.1. Students Enrolled in a Graduate Degree Program
The University Registrar will place students enrolled in a graduate
degree program on Academic Probation when, after attempting at
least 9 credit hours of coursework, their cumulative GPA falls below
3.00 or when students fail to receive credit in at least two-thirds of
the courses they attempt. The Registrar will inform the students of
their probationary status in writing. This notification will inform the
students that they cannot receive an incomplete grade while they
are on Academic Probation status. Students will be placed on
Academic Probation for the time it takes them to attempt 9
additional credits, or three enrolled semesters, whichever is
shorter. After the Academic Probation period is completed,
students who fail to raise their cumulative GPA to 3.00 or fail to
raise their course completion rate will be academically dismissed
from the University by the Registrar. If, at any point while a student
is on Academic Probation status, it becomes mathematically
impossible to raise his or her cumulative GPA to 3.00 within the
allotted 9 credits from the onset of Academic Probation, the
student will be academically dismissed.
If the Program Director or Associate Dean of an academic
unit determines that a student is not making Satisfactory
Academic Progress for reasons other than failure to
maintain GPA and course completion requirements, the
Dean may decide to either issue an Academic Warning,
place the student on Academic Probation, or academically
dismiss the student. The Dean must notify the Registrar of
the decision to apply a sanction. The Registrar will notify
each student of the decision and the reason for the
If the Program Director or Associate Dean of an academic unit
determines that a student is not making Satisfactory Academic
Progress for any academic reason, the Dean or Dean’s designee
may decide either to issue an Academic Warning or place the
student on Academic Probation. The Dean may also academically
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dismiss the student without Academic Probation or Warning. The
academic unit must notify the Registrar of the decision to apply a
sanction. The Registrar will notify each student of the decision and
the reason for the decision. In the case of either an Academic
Warning or Academic Probation notice, the Registrar must also
inform the student in writing of the period for the warning or
probation and of the conditions that must be met for the student to
regain Satisfactory Academic Progress status. Students who are on
an Academic Warning status for one semester may be subject to
Academic Probation or be academically dismissed in subsequent
semesters if the terms of the Academic Warning are not fulfilled.
Academic Dismissals are permanently recorded on the transcript.
Academic Warnings and Academic Probation are not.
decision. In the case of either an Academic Warning or
Academic Probation notice, the Registrar must also
inform the student in writing of the period for the
warning or probation and of the conditions that must be
met for the student to regain Satisfactory Academic
Progress status. Customarily, students who are on an
Academic Warning status for one semester are subject to
Academic Probation in subsequent semesters, and
students who remain on Academic Probation in a
subsequent semester are subject to Academic Dismissal.
Academic Dismissals are permanently recorded on the
transcript. Academic Warnings and Academic Probation
are not.
3.13.2. Students Enrolled in a Graduate Certificate Program
[Part of] Graduate Certificate Programs for Credit
The Registrar will place students enrolled in a graduate certificate
program on Academic Probation when, after attempting at least 6
credit hours of coursework, their cumulative GPA falls below 3.00
or when students fail to receive credit in at least two-thirds of the
courses they attempt. Students will be placed on Academic
Probation for the time it takes them to attempt 6 more credits, or
two enrolled semesters, whichever is shorter.
All students enrolled in graduate certificate programs
must maintain a 3.0 grade point average to be considered
as making satisfactory progress and to be awarded a
certificate. Grades of C- or below in certificate program
courses will not be accepted toward the fulfillment of
certificate requirements although these grades will be
included in the calculation of the cumulative GPA.
Individual certificate programs may have higher
standards. Students who do not achieve a 3.0 grade point
average at any point after completing six credit hours are
subject to an academic warning, probation, or dismissal
from the certificate program. Students who do not
achieve a 3.0 grade point average upon completion of 12
credit hours will be dismissed from the certificate
If, at any point while a student enrolled in a graduate certificate
program is on Academic Probation status, it becomes
mathematically impossible to raise his or her cumulative GPA up to
3.00 within the allotted 6 credits from the onset of Academic
Probation, the student will be academically dismissed.
All other regulations concerning Academic Warning, Academic
Probation and Academic Dismissal for students enrolled in a
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graduate certificate program are the same as those for students
enrolled in a graduate degree program.
program. The Office of the Registrar will identify students
with deficiencies in their grade point average and both
the student and the certificate program. Certificate
students who are dismissed may seek readmission at the
discretion of the Graduate Program Directors and will be
subject to any new admissions and program requirements
instituted since their last enrollment.
3.13.3. Graduate Non-degree Students
All regulations concerning Academic Warning, Academic Probation
and Academic Dismissal for graduate non-degree students are the
same as those for students enrolled in a graduate degree program.
Students in certificate programs must complete a
minimum of 6 credit hours during each 12-month period
after the start of their first semester of enrollment. All
graduate certificate programs must be completed within
four years. Students who do not meet these minimum
requirements will be dismissed from the certificate
program. If a student is readmitted to the program, the
acceptance of previously completed credits will be
determined by the academic or teaching unit upon
readmission. The completion of the certificate will be
noted on the student’s official transcript for the semester
it was completed.
3.13.4. Incompletes and Academic Probation
If a student who is not placed on Academic Probation is assigned an
incomplete grade and the final assigned grade brings the student’s
cumulative GPA to below 3.00, the student will be placed on
Academic Probation at the end of the semester when the grade was
converted to the final assigned grade.
First, we got rid of probation language applying to part-time
students since the language governing full-time status was
sufficient for part-time students as well. This doesn’t
represent a change in the regulations – this is just a language
clean up.
Second, we added the new rule concerning dismissal if it
becomes mathematically impossible to raise the cumulative
GPA to 3.00 within 9 credits. See the summary of changes
for more information. One motivation for this rule was to
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avoid the “Hail Marys.” That is to say, a student newly on
probation would take 6 credits in the first semester, and
realize there was no way they could achieve a cumulative
GPA in 3 credits. So s/he would take 9 credits the following
semester, in hopes that they would earn all or mostly A’s,
despite not earning such grades in the past. This strategy
rarely succeeds, and often results in wasting a student’s time
and money. Another motivation was to fix an inequity with
the current rule. Under the current system, students
without certain federal financial aid packages or students
with US citizenship have an advantage. Foreign students
with F1 visas and some students with federal financial aid
must maintain full-time status, taking 9 credits per semester,
and therefore must achieve a cumulative GPA at or above
3.0 in 9 credits if they go on probation. A student who
doesn’t have these restrictions could reasonably (and
justifiably for academic reasons) take 6 credits per semester
while on probation, thus allowing 12 credits to get off of
probation rather than 9. This new rule allows an equitable
enforcement of the probation policy without curtailing
students from taking the number of credits in a semester
that is best for them.
Third, we combined language about probation and dismissal
for graduate certificates that was in a different section and
moved it to this section. We also significantly cleaned up
the language and utilized language from degree programs.
Fourth, we added language clarifying that non-degree
students are subject to the same rules as degree-seeking
students.
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Fifth, we added a regulation about incompletes and
probation. The current regulations are silent concerning
when an incomplete which converts to a letter grade is
counted toward probation. It could be interpreted as the
semester the course was taken or the semester when the
letter grade was assigned. In the former case, students can
retroactively be placed on probation and be dismissed
within one semester. This rule specifies that we will follow
the latter case.
3.14. Academic Integrity Code
Students are bound by the University’s Academic Integrity Code,
which ensures that all work done in pursuit of a degree whether
graded or ungraded, formal or informal, meets the highest
standards of academic honesty. The baseline sanction for a firsttime offense for graduate students violating the code is suspension
from the university, although academic dismissal is also a common
sanction. Suspension and academic dismissal are permanently
recorded on the transcript as a violation of the Academic Integrity
Code.
4.
Graduate Assistantships
4.1.
Teaching Assistantships (TA)
A teaching assistant (TA) is customarily a graduate student who
assists an instructor with instructional activities. TA responsibilities
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vary greatly and may include the following: tutoring; holding office
hours; assisting with grading homework or exams; administering
tests or exams; assisting an instructor with a large lecture class by
teaching students in recitation, laboratory, or discussion sessions.
Students who assist with grading may not grade assignments or
exams for students at their own or higher degree level; e.g., a
doctoral student may assist with grading master’s and
undergraduate work; a master’s student may assist with grading
undergraduate work. Advanced doctoral students who are awarded
teaching assistantships may also be the instructor of record for an
undergraduate course.
The work assignments for TAs must be significantly more
academically substantive than administrative. Requirements for TA
awards are typically fulfilled with 600 hours of work per academic
year, often with a 20 hour assignment per week over two
traditional semesters, but may be fewer hours per week for a
longer period, with proportional reductions in the amount of the
associated monthly stipend. The Vice Provost for Research and
Dean of Graduate Studies can, in cases where a compelling
rationale exists, authorize a graduate student with a TA award to
work more than 20 hours per week.
4.2.
Research Assistantships (RA)
A research assistant (RA) is a graduate student who assists a faculty
member with academic research. Research assistants are not
independent researchers and are not directly responsible for the
outcome of the research. They are responsible to a research
supervisor or principal investigator.
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Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
The work assignments for RAs must be significantly more
academically substantive than administrative. Requirements for RA
awards are typically fulfilled with 600 hours of work per academic
year, often with a 20 hour assignment per week over two
traditional semesters, but may be fewer hours per week for a
longer period, with proportional reductions in the amount of the
associated monthly stipend. The Vice Provost for Research and
Dean of Graduate Studies can, in cases where a compelling
rationale exists, authorize a graduate student with an RA award to
work more than 20 hours per week.
5.
Degree Requirements
5.1.
Program of Study
The Program of Study is a formal plan listing the program
requirements and electives, as described in the Academic Catalog,
that a student must meet to complete a specific degree, including
the dates by which each requirement is expected to be completed.
PhD students must meet with a designated advisor to outline their
Program of Study by the end of the second semester; individual
programs may require earlier deadlines. Programs of Study must be
developed for master’s students and should be completed during
the first semester. Thereafter, students are expected to meet as
needed with their designated advisor or Program Director to
monitor their status related to Good Academic Standing and
Satisfactory Academic Progress and to update the Program of Study
as needed.
5.2.
Course Levels
500-599
Graduate Courses that are not core graduate
courses, but courses of general importance in the discipline.
These courses are open to qualified undergraduate students.
Course Levels
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500-599
Graduate courses that are not core graduate
courses, but courses of general importance in the discipline. These
courses are open to qualified undergraduate students.
600-799
Graduate Courses that are core content
courses for the master’s degree in the field of study.
Undergraduate students are not allowed in these courses
except under specific circumstances where the courses
are cross-listed with undergraduate courses, or as part of
a combined BA/MA program, or by special permission of
the associate dean of the academic unit.
600-699
Graduate courses that are core graduate courses
for the master’s degree in the field of study. No undergraduate
students may take 600-level courses unless
a)
they are seeking a combined master’s/bachelor’s degree,
b)
when the courses are cross-listed with undergraduate
courses under an undergraduate number at the 400-level, or
c)
by special permission of the Associate Dean of the
academic unit.
These classes may meet jointly with 400-level classes, but not with
100-, 200-, or 300-level classes.
800-899
students.
Doctoral Courses are courses limited to Ph.D.
Once doctoral students advance to candidacy, they will only
need to register for Dissertation Credits (course #899) for up
to nine (9) credits per semester, or a total of 18 credits per
academic year. They will continue to register as full-time
students until they defend their dissertations. For each
semester, up to 9 dissertation credits in Course #899 will be
priced at the equivalent of one graduate credit hour. All
doctoral students who have been admitted to doctoral
candidacy must register and pay for dissertation credits and
related university services during the fall and spring
semesters of the academic year, unless they have an
approved temporary leave from the University. This will
provide visibility to all who are monitoring doctoral student
progress, and faculty workload associated with the
supervision and mentoring of doctoral students will be
reported with a greater degree of accuracy.
700-799
Graduate courses that are customarily advanced
content courses for the master’s degree in the field of study.
Undergraduate students are not allowed in these courses and they
may not meet jointly with undergraduate classes.
800-899
Doctoral courses, limited to Ph.D. students.
Certificate or Master’s students may enroll in these courses with
permission of the Associate Dean of the academic unit.
Criteria for Courses to be Accepted for Graduate
Academic Credit
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Course numbers 600-800 are reserved for graduate courses.
Required core courses that have key content in the discipline
for graduate degrees at both the master’s and doctoral
degree are customarily at the 600 level. Courses at the 700
level are customarily advanced courses for master’s
programs, while courses at the 800 level are reserved for
Ph.D. students. Graduate students will not receive credit for
courses below the 500 level unless the course is an AU
language course that is necessary for language proficiency
levels for the graduate degree and is a graduate program
requirement. Classes at the 600-800 level courses may not
meet jointly with 100-, 200-, or 300-level courses. A 500level course may be used for fulfillment of general master’s
degree requirements for courses of general importance to
the discipline (e.g., elective courses), but, ordinarily, not for
required core courses for master’s or doctoral degrees. No
undergraduate students may take 600-level courses except
when (a) they are seeking a combined master’s/bachelor’s
degree, (b) when the courses are cross-listed with
undergraduate courses under an undergraduate number at
the 400 level, or (c) by special permission of the Associate
Dean of the academic unit. Grades of C- or lower will not be
accepted as fulfilling the requirements of the Program of
Study but will be calculated in the cumulative GPA.
Individual programs may set higher standards.
First, we combined some overlapping language from two
different sections in regulations. This should help clarify
policies. Second, we allowed master’s and certificate
students to take 800 level classes with permission of the
associate dean. Third, the information about #899 moved to
section 8.5, Advancement to Candidacy, where it is more
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appropriate since it only refers to PhD students and isn’t
about a course level.
Undergraduate Courses that Count Towards a Graduate
Degree
5.3.
Graduate students will not receive credit for courses below
the 500 level unless the course is: (1) an AU language course
that is necessary for language proficiency levels for the
graduate degree and is a graduate program requirement, or
(2) the course is cross-listed as a 400/600 level course. In
both cases, the courses must be included in the graduate
student’s program of study. In the second case, graduate
courses at the 600 level may be cross-listed with 400 level
undergraduate courses, but only when a significant portion
of the course content is appropriate for both levels of study.
Graduate students taking a cross-listed course will register
under the 600 course number and are expected to complete
work in addition to the material covered in common with
the undergraduate students in the class. Customarily, the
additional graduate student work will occur outside the
common class time. Expectations for both sets of students
will be clearly defined in the course syllabus. Graduate
courses above the 600 level cannot be cross-listed for
undergraduate enrollment. No graduate course may be
cross-listed at the 100, 200, or 300 level.
Cross-listed courses
Graduate courses at the 600-level may be cross-listed with 400level undergraduate courses, but only when a significant portion of
the course content is appropriate for both levels of study. Graduate
students taking a cross-listed course will register under the 600
course number and are expected to complete work in addition to
the material covered in common with the undergraduate students
in the class. Additional graduate student work should occur outside
the common class time. Expectations for both sets of students will
be clearly defined in the course syllabus.
Language is cleaned up and we avoid repetition of
regulations.
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5.4.
Current Version of the Regulations; justification of changes in red
Designation of Full-Time, Half-Time and Part-Time
Status
Designation of Full-Time and Part-Time Status
Full-time student status is defined as registration for nine semester
credit hours in fall or spring semester or four semester credit hours
for summer semester. Part-time student status is defined as
registration for five semester credit hours in fall or spring semester
or two semester credit hours for summer semester. Enrollments in
all summer sessions during a calendar year will be added to
determine the total summer enrollment. Students who are
registered for more than a part-time credit load in any semester,
but less than a full-time credit load for that semester, will be
considered part-time students.
Full-time student status is defined as registration for nine
semester credit hours during both the fall and spring
semesters, or by enrollment for four semester credit hours
during the summer semester. Enrollments in all summer
sessions during a calendar year will be added to determine
the total summer enrollment. Half-time student status is
defined as registration for five semester credit hours during
both the fall and spring semesters, or by enrollment for two
semester credit hours during the summer semester.
Students who are registered for more than a half-time credit
load in any semester, but less than a full-time credit load for
that semester, will be considered half-time students.
Graduate students must remain registered for a full-time course
load under specific conditions that include having particular types
of student loans, and having international student status. The
Office of the University Registrar will contact the Associate Deans of
academic units following the end of the drop/add period to indicate
students who have full-time and part-time status. It is the
responsibility of individual graduate students to understand how
changes in course load or full-time status may have an impact on
payment schedules or other conditions of their obligations to
entities providing them with educational loans.
Graduate students must remain registered for a full-time
course load under specific conditions that include: holding a
halftime Graduate Teaching Assistant or Research Assistant
award; holding a University Graduate Fellowship; having
particular types of student loans; and, having international
student status. Associate Deans of academic units will
contact the Office of the Registrar each semester following
the end of the drop/add period to obtain enrollment
information to check the full-time status of graduate
students who are required to be enrolled full-time. It is the
responsibility of individual graduate students to understand
how changes in course load or full-time status may have an
impact on payment schedules or other conditions of their
obligations to entities providing them with educational
loans.
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First, we chose one term, part-time, as the designation
rather than “half-time.” Second, we get rid of references to
Research and Teaching Assistantships as they no longer are
connected to full-time or part-time status.
Continuous Enrollment
5.5.
Once enrolled in a degree program, graduate students must
maintain continuous enrollment at American University by
registering for at least one semester hour of credit each fall
and spring semester until the degree objective is reached.
Students who fail to register and who have not requested
and received a Temporary Leave will be dismissed from the
University at the end of the academic term for which they
failed to register.
Continuous Enrollment
Once enrolled in a degree program, graduate students must
maintain continuous enrollment at American University by
registering for at least one semester hour of credit each fall and
spring semester, or maintaining matriculation through authorized
0-credit courses, until the degree objective is reached. Students
who fail to register and who have not requested and received a
Temporary Leave will be administratively separated from the
University at the end of the academic term for which they failed to
register.
5.6.
Added a maintain matriculation course as a way to have
continuous enrollment.
Submission and Publication of Thesis / Dissertation
Dissertations and theses must be submitted to the University
Library in electronic format after final approval of the dissertation
or thesis by the Examining Committee. See the American University
Electronic Thesis and Dissertation (ETD) website for the details of
the publication process. Dissertations and theses submitted to the
University through the ETD process will also be deposited in the AU
Library's online electronic archive, the American University
Research Commons (AURC), as well as ProQuest's Digital
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Dissertations. The submission of the thesis or dissertation to the
University in fulfillment of degree requirements grants the
University the one-time, non-exclusive right to publish the
document in the American University Research Commons.
Distribution is subject to a release date stipulated by the student
and approved by the University. As the owner of the copyright of
the thesis or dissertation, students have the exclusive right to
reproduce, distribute, make derivative works based on, publicly
perform and display their work, and to authorize others to exercise
some or all of those rights.
5.7.
Research Assurances and Research Ethics Training
Graduate students at American University who are conducting
independent research are responsible for obtaining the appropriate
research assurances for research that involves: human participants,
animal subjects, recombinant DNA, infectious materials, select or
toxic agents, or human materials. For application forms and
guidelines, please see AU’s Research website at
http://www.american.edu/research/. Copies of research
assurances must be presented to the Doctoral Program Director
with the completed dissertation proposal at the time of the defense
of the dissertation proposal.
Appropriate protocol review and oversight of faculty and student
research is an essential component of Responsible Conduct of
Research (RCR) training on campus. All graduate students who are
conducting research in partial fulfillment of a master’s thesis or
doctoral dissertation are required to participate in RCR training.
Documentation of RCR training must be presented to the Doctoral
Program Director with the completed dissertation proposal at the
time of the defense of the dissertation proposal.
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Data resulting from research projects, including thesis and
dissertation research projects, which do not receive a protocol
review when appropriate from the Institutional Review Board (IRB),
Institutional Animal Care and Use Committee (IACUC) or
Institutional Biosafety Committee (IBC) cannot be used to fulfill
degree requirements, cannot be published and must be destroyed.
A research protocol cannot be reviewed and approved
retrospectively by an IRB, IACUC, or IBC.
Willful avoidance of the oversight functions of University research
review committees can result in a charge of research misconduct.
Also see Research Compliance.
5.8.
Time Limits to Degree
Students are expected to complete their degree within the time
frame specified below. Programs may set lower limits for all
students or for individual students in their program. Time limits
must be included in the Program of Study. The time to degree may
be extended by the Vice Provost for Research and Dean of
Graduate Studies for a compelling reason. See Time Extensions.
Approved separations and temporary leaves do not count toward
the time limits, but cannot be used for the sole purpose of
extending the time to degree.
Master’s students are expected to complete all degree
requirements in no more than six years after the date of first
enrollment in the degree program. Doctoral students are expected
to complete all degree requirements in no more than nine years
after the date of first enrollment in the degree program. Each
semester, the Registrar will identify students who will exceed time
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limits to degree at the end of the current academic year and inform
the students of the potential status change.
5.9.
Time Extensions
Under compelling circumstance, Doctoral students may apply for
one-year extensions beyond the expected time to degree, for a
maximum of three extensions. Students must petition the Graduate
Program Director for each one-year extension. Petitions must
include a timetable listing specific goals from the Program of Study
to be accomplished during the extension. Each extension must be
approved by the Associate Dean of the academic unit and the Vice
Provost for Research and Dean of Graduate Studies. Additional
extensions will not be approved.
This is a new section. Under the current regulations, there
are no references to time limit to courses, except for when
they are transferred. Time limits were chosen to match the
degree time limits so that a student wouldn’t be forced to
take courses again during an approved time of study toward
a degree.
5.10. Time Limit on Courses
Courses completed more than six years before finishing a master’s
degree or certificate and more than nine years before finishing a
PhD may not fulfill degree requirements. Individual academic units
and programs may set lower thresholds. Exceptions are allowed if
the Graduate Program Director can justify that the content of these
courses align with current knowledge and practices and the
Associate Dean of the academic unit approves. Copies of the
written justifications and approvals must be shared with the
Registrar.
This is a new section. We wanted to clarify that graduate
program directors have the right to substitute courses. This
is a common practice currently.
5.11. Substituting Courses
Graduate Program Directors may approve course substitutions in a
student’s program of study based on students’ previous academic
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records and experiences. Substitute courses should have similar
content to those specified in the degree requirements. In some
instances, more advanced content could be substituted.
Substitutions do not reduce the number of credits required for the
degree and must be recorded on the students’ Programs of Study.
This is a new section. We have had problems with program
directors promising individual students they could earn
degrees with less credits and/or requirements than what
was published in the Academic Catalog. This caused
problems with the Registrar’s office and had unauthorized
financial implications. This regulation encourages programs
to clarify when credit or requirements can be waived and to
put it in the Academic Catalog. This encourages a
transparent and equitable process. To allow flexibility,
VPR/DGS can approve individual cases if necessary. The
coordination with OGS will allow for proper consultation
with campus stakeholders for an improved student
experience.
5.12. Waiving Requirements
Waiving requirements is defined as satisfying degree or
programmatic requirements by means other than those specified in
the Academic Catalog. If a requirement waiver is not specified in
the Academic Catalog, programs are not permitted to waive
requirements or reduce the total number of credits required to
obtain the degree, unless an exception is granted by the Vice
Provost for Research and Dean of Graduate Studies or designee.
Teaching units may modify the text for their programs in the
Academic Catalog to delineate specific alternate means to meet
degree or programmatic requirements. Such modifications to the
Academic Catalog must follow proper procedures for changing a
graduate program and must justify how mastery of the
requirements’ academic content is demonstrated by the alternative
means.
This is a new section. The current regulations do not require
a cumulative GPA of 3.00 to graduate. The current
regulations do not require students to graduate after
meeting their degree requirements.
5.13. Graduation
Students must submit an Application to Graduate at the beginning
of the semester during which they expect to complete all degree
and program requirements. Students who want to continue taking
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courses after graduating either must apply and be accepted to a
new program, enroll as a non-degree student, or enroll through the
alumni audit program.
A graduate student must have a minimum cumulative grade point
average of 3.00 in order to be awarded a degree or certificate.
6.
Criteria for Courses to be Accepted for Graduate
Academic Credit
Credit Requirements
Course numbers 600-800 are reserved for graduate courses.
Required core courses that have key content in the discipline
for graduate degrees at both the master’s and doctoral
degree are customarily at the 600 level. Courses at the 700
level are customarily advanced courses for master’s
programs, while courses at the 800 level are reserved for
Ph.D. students. Graduate students will not receive credit for
courses below the 500 level unless the course is an AU
language course that is necessary for language proficiency
levels for the graduate degree and is a graduate program
requirement. Classes at the 600-800 level courses may not
meet jointly with 100-, 200-, or 300-level courses. A 500level course may be used for fulfillment of general master’s
degree requirements for courses of general importance to
the discipline (e.g., elective courses), but, ordinarily, not for
required core courses for master’s or doctoral degrees. No
undergraduate students may take 600-level courses except
when (a) they are seeking a combined master’s/bachelor’s
degree, (b) when the courses are cross-listed with
undergraduate courses under an undergraduate number at
the 400 level, or (c) by special permission of the Associate
Dean of the academic unit. Grades of C- or lower will not be
6.1. Criteria for Courses to be Accepted for Graduate
Academic Credit
Graduate students will not receive credit for courses below the 500
level unless the course is an AU language course that is necessary
for language proficiency levels for the graduate degree and is a
graduate program requirement. Grades of C- or lower will not be
accepted as fulfilling a degree requirement but will be calculated in
the cumulative GPA. Individual programs may set higher standards.
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accepted as fulfilling the requirements of the Program of
Study but will be calculated in the cumulative GPA.
Individual programs may set higher standards.
The remaining language not incorporated into 5.2 was
cleaned up and left in this section.
Transfer Credits
6.2.
Students may request to transfer credit for courses taken at
an institution outside of the Consortium of Universities of
the Washington Metropolitan Area, prior to their admission
to a graduate program at AU. They must receive prior
approval from their Graduate Program Director within the
first semester of their program and the courses must be
included in their Program of Study. Students must give the
Graduate Program Director an official transcript of the
course and a course syllabus for each course requested for
transfer. Courses must be completed with a grade of B (3.0)
or better and must be completed no later than five years
prior to the beginning of the semester in which the student
is admitted to a graduate program. Graduate programs may
require that courses requested to be transferred be
completed more recently than this and may limit the
number of credits that may be transferred beyond the
university limit.
Transfer Credits
Students may request to transfer credit for courses taken prior to
their admission to a graduate program at AU. The number of total
credits transferred for a single degree program may be no greater
than six credits and is limited by residency requirements. In no case
may graduate credit be given for coursework designated as solely
undergraduate by the institution where the coursework was
completed. Proposed transfer courses must have been completed
with a grade of B (3.0) or better and must have been completed no
later than 5 years prior to the beginning of the semester in which
the students is admitted to a graduate program at AU. Graduate
programs may require that the proposed transfer courses have
been completed more recently than the 5 years prior and may limit
the number of allowable transfer credits to less than six.
Courses taken at American University toward a graduate degree
earned before admission to a subsequent graduate program cannot
be transferred but may be shared. See Shared Credit for NonConcurrent Degrees.
Customarily the number of total credits transferred for a
single degree program would be no greater than six credits,
but in all cases the number of allowable transfer credits is
limited by residency requirements. In no case may graduate
credit be given for coursework designated as solely
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Transfer credits must be approved by a student’s Graduate
Program Director during his or her first semester of study and be
included in the student’s Program of Study. Students must give the
Graduate Program Director an official transcript from the University
at which the proposed course(s) was completed as well as a
syllabus for each course requested for transfer. The academic unit
must inform the Office of University of Registrar which courses will
be transferred during the student’s first semester of study.
undergraduate by the institution where the coursework was
completed. Courses proposed for transfer cannot have been
used as credits toward a completed degree in the same field
at another institution. Decisions by Graduate Program
Directors with regard to allowable transfer credits may be
appealed to the Vice Provost for Graduate Studies and
Research.
There are many changes to this section. First, we cleaned up
the language. Second, based on the language in the current
regulations, students can’t transfer credits from not only AU,
but the rest of the Washington Consortium. In the
proposed regulations, we allow transfer credit from other
consortium schools and an alternative to “transfer” credit
from a previous AU degree. Since the students with a
previous AU degree have been given an AU grade, we
decided the credits should be shared (see the definition in
the glossary) rather than transferred. Third, specific limits
on the number of credits that can be transferred, shared
between non-concurrent AU degrees, or completed by
permit to study are explicitly stated. These limits were in
effect under the current regulations since permit to study
credits are currently considered transfer credits. In the
proposed regulations, we define transfer as distinct from
permit to study. Since students couldn’t share credit from a
previous AU degree, the limit is six credits. However, we
make the limit clear and repeat the limit in each relevant
section of the proposed regulations.
Transfer credit will appear on the student’s transcript, but grades
from approved transferred courses at other institutions will not be
counted in the student’s AU cumulative GPA.
Students may not transfer, share between non-concurrent AU
graduate degrees, or complete via a permit to study more than 6
credits total.
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This section is new. Many PhD programs may have a
master’s degree en passant or bring in a student with a
master’s degree and wish to share credit. The coordination
with OGS will allow for proper consultation with campus
stakeholders for an improved student experience.
6.3. Credits from Master’s Degrees Applied to PhD
Programs
Graduate Program Directors may approve up to six credits to be
shared or transferred for graduate students who are enrolled in a
PhD Program and have earned a Master’s Degree from American
University or another institution. Requests to share or transfer
more than six credits must be approved of Vice Provost for
Research and Dean of Graduate Studies or designee.
6.4.
This is a new section.
Shared Credits
Shared credits are credits counted toward more than one AU
degree. Grades associated with the credits count in the GPA for
each degrees.
This is a new section, but is being enforced currently.
6.4.1. Shared Credits for Concurrent Degrees
Graduate students may only share credits between concurrent
American University degree programs in three cases. These are:
a.
a Combined Bachelor’s/Master’s Degree,
b.
a PhD program and an earned master’s degree at American
University (see Credits from Master’s Degrees Applied to the PhD
Degree), or
c.
a Dual Degree Program
This is a new section. It establishes the rules for sharing
credit from a previously earned American University degree.
The rules are very similar to transfer credits.
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6.4.2. Shared Credits for Non-Concurrent Degrees
Students who have previously earned graduate degrees at
American University may share up to 6 credits from the completed
degree with a subsequent, non-concurrent, graduate degree.
These shared credits must be approved by a student’s Graduate
Program Director during his or her first semester of study and be
included in the student’s Program of Study. The academic unit
must inform the Office of University of Registrar which credits will
be shared during the student’s first semester of study.
Students may not transfer, share between non-concurrent AU
graduate degrees, or complete via a permit to study more than 6
credits total.
The same course must be listed as a degree requirement or elective
in the Academic Catalog for both degrees to share credit. Proposed
shared courses must have been completed with a grade of B (3.0)
or better and must have been completed no later than 5 years prior
to the beginning of the semester in which the students is admitted
to a graduate program at AU. Graduate programs may require that
the proposed shared courses have been completed more recently
than the 5 years prior and may limit the number of allowable
shared credits to less than six. Academic units may petition the
Vice Provost for Research and Dean of Graduate Studies or
designee for exceptions to the shared credit regulations for nonconcurrent degrees.
6.5.
In Residence Credit and Residency Requirements
Courses are considered in residence when they are taken at
American University, through an AU-coordinated off-site or on-line
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program, or through any member of the Consortium of Universities
of the Washington Metropolitan Area. Courses considered not in
residence include those transferred from another institution into
AU. Courses that are not taken in residence are not included in the
computation of the GPA.
Both master’s and doctoral degrees require a minimum of 18
semester credit hours of in residence graduate course work, while
enrolled in a degree program, exclusive of 797 or 899. Students in
the Dual Degree option must complete a minimum of 36 semester
credit hours of in residence coursework at American University,
with at least 50 percent of the credits unique to each degree.
Individual program requirements may require more than 18 credit
hours for either or both degrees. Courses used to satisfy residence
credit requirements for an undergraduate degree may not also be
used to satisfy parallel requirements for a dual master’s degree.
6.6.
Permit to Study at Another U.S. Institution
Permit to Study at Another U.S. Institution
Students in good academic standing who wish to take
courses at another U.S. institution that would not be
considered in residence courses, must receive prior approval
by their Program Director and Associate Dean. Students who
want to apply a course to their graduate program of study
must receive teaching unit or equivalent approval. Students
must secure approval from the academic unit prior to
registering for the course and such approval is granted only
for specific courses. Customarily, students may transfer up
to a maximum of 6 credits during the span of approved
study at another U.S. institution. Grades for courses taken
during a Permit to Study at another institution are not
recorded on the AU transcript and are not computed in the
GPA, although they will count toward the total number of
credits needed for graduation. However, students must
Students in good academic standing who wish to take courses at
another U.S. institution that would not be considered in residence
courses, must receive prior approval by their Program Director and
Associate Dean. Students must secure approval from the academic
unit prior to registering for the course and such approval is granted
only for specific courses. Grades for courses taken during a Permit
to Study at another institution are not recorded on the AU
transcript and are not computed in the GPA, although they will
count toward the total number of credits needed for graduation.
However, students must meet the GPA requirements of American
University for individual courses taken at other institutions as
required for their graduate Program of Study. Students must satisfy
any additional requirements provided on the Permit to Study form.
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meet the GPA requirements of American University for
individual courses taken at other institutions as required for
their graduate Program of Study. Students must satisfy any
additional requirements provided on the Permit to Study
form.
Students may not transfer, share between non-concurrent AU
graduate degrees, or complete via a permit to study more than 6
credits total.
The language was cleaned up. Specific limits on the number
of credits that can be transferred, shared between nonconcurrent AU degrees, or completed by permit to study are
explicitly stated.
Permit to Study Abroad
6.7.
Permit to Study Abroad
Students in good academic standing who wish to study at
any foreign university not partnered with AU must receive
prior approval of their Graduate Program Director and the
Associate Dean. Permission for such study is granted only
when the student can demonstrate that the academic
opportunity offered by the foreign university cannot be met
through study at any one of AU’s existing partner
universities. Grades for courses taken during a Permit to
Study Abroad are not recorded on the AU transcript and are
not computed in the GPA, though they will count in the total
number of credits needed for graduation. However, students
must meet GPA requirements of American University for
individual courses taken at other institutions as required for
their graduate Program of Study. Students must satisfy any
additional requirements provided on the Permit to Study
Abroad form.
Students in good academic standing who wish to study at any
foreign university not partnered with AU must receive prior
approval of their Graduate Program Director and the Associate
Dean. Permission for such study is granted only when the student
can demonstrate that the academic opportunity offered by the
foreign university cannot be met through study at any one of AU’s
existing partner universities. Grades for courses taken during a
Permit to Study Abroad are not recorded on the AU transcript and
are not computed in the GPA, though they will count in the total
number of credits needed for graduation. However, students must
meet GPA requirements of American University for individual
courses taken at other institutions as required for their graduate
Program of Study. Students must satisfy any additional
requirements provided on the Permit to Study Abroad form.
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Students may not transfer, share between non-concurrent AU
graduate degrees, or complete via a permit to study more than 6
credits total.
7.
Specific limits on the number of credits that can be
transferred, shared between non-concurrent AU degrees, or
completed by permit to study are explicitly stated.
Graduate Certificate Programs
Requirements for a Graduate Certificate
Graduate Certificate Programs for Credit
7.1.
Graduate Certificate Programs for Credit
Academic units and the School of Professional and Extended
Studies, at their discretion, may develop and administer
graduate certificate programs for which there is academic
credit. All graduate certificate programs for credit must
include a minimum of 12 semester credit hours. All course
work must meet the same requirements as those used for
graduate academic programs See Criteria for Courses to be
Accepted for Academic Credit. Some certificate programs for
graduate credit may have additional requirements. If
approved by the academic or teaching unit that administers
the certificate program, equivalent credits earned at an
accredited college or university may be transferred toward a
certificate at the following rates: 3 credit hours for
certificates from 12 to 18 credit hours in length, and 6 credit
hours for certificates over 18 credit hours in length.
Graduate students who are enrolled in masters and/or
doctoral programs may pursue graduate certificates at the
same time. Any sharing of the required semester hour
credits between the graduate certificate and the graduate
degree program will be determined by the Graduate
Program Director. Students who are not enrolled in graduate
degree programs but who are enrolled in graduate
Academic units and the School of Professional and Extended
Studies, at their discretion, may develop and administer graduate
certificate programs for which there is academic credit. All graduate
certificate programs for credit must include a minimum of 12
semester credit hours. All course work must meet the same
requirements as those used for graduate academic programs. See
Criteria for Courses to be Accepted for Academic Credit. Some
certificate programs for graduate credit may have additional
requirements. If approved by the academic or teaching unit that
administers the certificate program, equivalent credits earned at an
accredited college or university may be transferred toward a
certificate at the following rates: 3 credit hours for certificates from
12 to 18 credit hours in length, and 6 credit hours for certificates
over 18 credit hours in length.
Graduate students who are enrolled in master’s and/or doctoral be
simultaneously enrolled in a graduate certificate program. Credits
may be shared between simultaneous graduate degrees and
certificates with the approval of the Graduate Program Director of
the master’s or doctoral degree program. Students who are not
enrolled in graduate degree programs but who are enrolled in
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graduate certificate programs are not permitted to enroll in courses
in the Consortium of Universities of the Washington Metropolitan
Area.
certificate programs are not permitted to enroll in courses in
the Consortium of Universities of the Washington
Metropolitan Area.
Students admitted to a master’s degree program may share credit
from a completed certificate program. See Admission from Nondegree Status or a Post-Baccalaureate Certificate Program to a
Graduate Degree Program.
All students enrolled in graduate certificate programs must
maintain a 3.0 grade point average to be considered as
making satisfactory progress and to be awarded a certificate.
Grades of C- or below in certificate program courses will not
be accepted toward the fulfillment of certificate
requirements although these grades will be included in the
calculation of the cumulative GPA. Individual certificate
programs may have higher standards. Students who do not
achieve a 3.0 grade point average at any point after
completing six credit hours are subject to an academic
warning, probation, or dismissal from the certificate
program. Students who do not achieve a 3.0 grade point
average upon completion of 12 credit hours will be
dismissed from the certificate program. The Office of the
Registrar will identify students with deficiencies in their
grade point average and notify both the student and the
certificate program. Certificate students who are dismissed
may seek readmission at the discretion of the Graduate
Program Directors and will be subject to any new admissions
and program requirements instituted since their last
enrollment.
Students in certificate programs must complete a minimum of 6
credit hours during each 12-month period after the start of their
first semester of enrollment. All graduate certificate programs must
be completed within four years. Students who do not meet these
minimum requirements will be dismissed from the certificate
program. If a student is readmitted to the program, the acceptance
of previously completed credits will be determined by the academic
or teaching unit upon readmission. The completion of the
certificate will be noted on the student’s official transcript for the
semester it was completed.
7.2.
Graduate Certificate Programs not for Credit
Academic units, centers/institutes, and the School of Professional
and Extended Studies, at their discretion, may develop and
administer graduate certificate programs for which there is no
academic credit.
Students in certificate programs must complete a minimum
of 6 credit hours during each 12-month period after the start
of their first semester of enrollment. All graduate certificate
programs must be completed within four years. Students
who do not meet these minimum requirements will be
dismissed from the certificate program. If a student is
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readmitted to the program, the acceptance of previously
completed credits will be determined by the academic or
teaching unit upon readmission. The completion of the
certificate will be noted on the student’s official transcript
for the semester it was completed.
Graduate Certificate Programs not for Credit
Academic units, centers/institutes, and the School of
Professional and Extended Studies, at their discretion, may
develop and administer graduate certificate programs for
which there is no academic credit.
Much of this language has been moved to 3.13.2 (about
probation and dismissal) and some was already repeated in
6.1, so it was deleted. Otherwise little was changed.
8.
Requirements for a Master’s Degree
8.1.
Approved Program of Study
An approved Program of Study includes, but is not limited to,
coursework and a capstone experience.
8.2.
Degree Requirements
A master’s degree requires the completion of at least 30 semester
credit hours of graduate work. The requirement for residence credit
must be met. A detailed description of the degree requirements can
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be obtained from each graduate program and must be posted on
the website of the teaching unit.
8.3.
Capstone Experience
One capstone experience (e.g., thesis, research project, practicum,
internship or other experience as determined by the graduate
program) is required. The nature and scope of the capstone
experience is determined by the graduate program and is included
in the Program of Study. If the capstone is a comprehensive
examination, the structure, content, and grading of the
examination, as well as any policy on retaking the examination will
be determined by the teaching unit.
8.4.
Thesis
Thesis
Students who are writing a thesis as their capstone
experience are expected to demonstrate their capacity to do
original, independent research. Students must take no fewer
than three semester credit hours of master’s thesis research
(797). Students continue to register for thesis credits each
semester until the completion of the thesis. A thesis advisory
committee shall consist of no fewer than two members of
the AU faculty. In consultation with the Thesis Chair, the
student solicits faculty for the committee and submits their
names for approval by the Graduate Program Director.
Students who are writing a thesis as their capstone experience are
expected to demonstrate their capacity to do original, independent
research. Students must take no fewer than three semester credit
hours of master’s thesis research (797). A thesis advisory
committee shall consist of no fewer than two members of the AU
faculty. In consultation with the Thesis Chair, the student solicits
faculty for the committee and submits their names for approval by
the Graduate Program Director.
We removed the requirement that thesis credits must be
taken each semester until completion of the thesis. This
wasn’t deemed necessary.
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8.5.
Current Version of the Regulations; justification of changes in red
Jointly Administered Degree Programs
A Jointly Administered Degree Program is a specified combination
of courses, typically from more than one academic or teaching unit,
that combines elements of the various courses of study in those
units for the purpose of providing a combined program of study
toward a specific degree. Both units have responsibilities to
monitor student progress and provide academic advising. Upon
completion of the Jointly Administered Degree Program, the
student receives one graduate degree.
8.6.
Dual Degree Programs
A Dual Degree Program is a combination of two separate
approved degree programs. Upon completion of a Dual
Degree Program, a student will be conferred the two
degrees included in the Dual Degree Program. Credits that
apply from one program to another must be approved by
their respective Graduate Program Directors and under the
following conditions:
• Students must meet all of the course, capstone, and other
requirements for each degree program.
• The details for dual master’s degrees must be approved by
the Graduate Program Director and the Associate Dean of
the academic unit for each of the two degrees. Candidates
for dual master’s degrees must submit a formal petition to
the Graduate Program Director of each master’s program
before the conferral date of the first degree.
• The student applies for and receives each degree upon
completion of all the requirements for that degree. The
degrees may or may not be completed simultaneously.
• At least 50% of the courses taken in each program in the
Dual Degree Program must be taken in residence, and
Dual Degree Programs
A Dual Degree Program is an approved combination of two
separate degree programs. Students must be admitted to the
second degree program before completing the first degree. Upon
completion of a Dual Degree Program, a student will be conferred
the two degrees included in the Dual Degree Program.
8.6.1. Dual Degree Programs within American University
Students may be enrolled in only one graduate program at a time
unless they are enrolled in a Dual Degree Program. Credits that
apply from one AU program to another must be approved by their
respective academic units and under the following conditions:
•
Students must meet all of the course, capstone, and other
requirements for each degree program.
•
The student applies for and receives each degree upon
completion of all the requirements for that degree. The degrees
may or may not be completed simultaneously.
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•
At least 50% of the courses taken in each program in the
Dual Degree Program must be taken in residence, and students
must satisfy residency requirements as specified in these graduate
regulations.
•
The Dual Degree Program must either be listed in the
Academic Catalog or approved by the Vice Provost for Research and
Dean of Graduate Studies or designee. If the program is not listed in
the Academic Catalog, VPR/DGS approval is necessary for each
student before admission to a second degree program. VPR/DGS
approval for a particular Dual Degree Program may only be granted
for 3 students before it must be approved by the Graduate
Curriculum Committee and listed in the Academic Catalog.
students must satisfy residency requirements as specified in
these graduate regulations.
There are two significant changes to this section – now split
into two sections. The original section primarily relates to
7.6.1.
First, the proposed regulation stipulates that any new dual
degree program must be either listed in the Academic
Catalog or given permission before admission of a student
by VPRDGS. This will accomplish two goals. For many dual
degree programs, this regulation will establish consultation
with the Academic Unit through the Education Policy Council
and the University through the Graduate Curriculum
Committee. It will also help clarify and advertise dual
degree program options to students. For dual degree
programs that are experimental, Academic Units may
petition VPR/DGS to offer “trial runs.” The coordination
with OGS will allow for proper consultation with campus
stakeholders for an improved student experience. Similar to
topics courses, the “trial run” dual degree programs must be
converted to programs listed in the Academic Catalog after a
certain number of students have enrolled.
•
The maximum number of credits that can be shared
between the degrees must follow these guidelines:
Credits for one degree
30 – 35 credits 36 – 38 credits 39 and more credits
Credits for the other degree
30 – 35 credits Share 6 credits
Share 6 credits Share 9 credits
36 – 38 credits
Share 9 credits Share 9 credits
39 and more credits
Share 12 credits
Dual degrees programs that we approved and listed in the
Academic Catalog prior to the adoption of this version of the
Graduate Academic Regulations will be exempt from these limits.
Second, we worked with the Office of the Provost to
establish limits on how many credits can be shared in a dual
degree program. These limits were constructed to ensure
the integrity of each component degree and financial
prudence. Current dual degree programs that are listed in
the Academic Catalog are not subject to these limits.
This new section defines a basic principal for dual degree
program with other institutions.
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8.6.2. Dual Degree Programs with Other Degree-Granting
Institutions
Dual degree programs may be established with other institutions
with approval from the Office of the Provost. At least 50% of the
credits within the program must be earned through American
University courses.
8.7.
Combined Bachelor’s and Master’s Degrees
Combined Bachelor’s and Master’s Degrees
A combined bachelor’s/master’s program involves tentative
admission to graduate standing while a student is still an
undergraduate so that both a bachelor’s and master’s
degree may be earned. Although graduate standing is not
officially granted until all bachelor’s degree requirements
have been fulfilled, students who are admitted to a
combined bachelor’s and master’s program are granted
conditional graduate admission so that they may take
courses based on their planned Program of Study to fulfill
both the bachelor’s and master’s degree requirements while
still officially enrolled in undergraduate status. See
Admission to a Combined Bachelor’s /Master’s Program and
Residency.
Students enrolled in a combined bachelor’s/master’s program may
share credits between their bachelor’s and master’s degrees. These
credits must be taken at the graduate level (500-level and above)
and must meet degree requirements for each degree, as stipulated
in the Academic Catalog. Shared credits must satisfy major
requirements for the bachelor’s degree and not simply university
requirements, unless approved by the Vice Provost for Research
and Dean of Graduate Studies or designee. Graduate credit cannot
be shared with minors unless they are stipulated as major
requirements for the bachelor’s degree in the Academic Catalog or
unless approved by the Vice Provost for Research and Dean of
Graduate Studies or designee. The number of shared credits is
determined by the number of credits required for the master’s
degree:
Credit hours required for the master’s program Maximum number
of shared credit hours between bachelor’s and master’s degree
30-35 9
36-38 12
39 and above 15
Undergraduate students in good academic standing may
apply for a combined degree after they have completed 75
credit hours towards their undergraduate degree, and,
except in rare cases, by the end of the semester in which
they have completed 90 credit hours. No more than one
graduate degree can be earned as a combined degree. Once
admitted, students will be enrolled in the combined program
at two levels, once for the undergraduate degree and once
for the graduate degree.
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Once admitted to a combined program, students must
follow their Program of Study, and the Program of Study
must show which courses will be applied toward the
bachelor’s degree and which courses will be applied toward
the master’s degree. Once all undergraduate requirements
have been satisfied, students will be officially enrolled in the
graduate program if they complete their bachelor’s program
in good academic standing, and if they meet all University,
academic unit, or teaching unit requirements for admission
to the master’s program for the combined degree. Each
academic unit or teaching unit sets its own admission
standards for graduate students. Once enrolled in the
master’s program, students are subject to the academic
regulations governing graduate students.
Programs may set lower limits than those specified here.
Once admitted to a combined program, students must be assigned
a graduate advisor. The student, the undergraduate advisor, and
graduate advisor must design a Plan of Study, which details how
graduate coursework will satisfy bachelor’s degree requirements.
Appropriate graduate coursework in the Plan of Study may be
substituted for specific bachelor’s degree requirements. Students
must have a cumulative graduate GPA of 3.00 or higher when
completing their undergraduate degree to share all credits in their
Plan of Study. If the cumulative graduate GPA is below 3.00, only
graduate courses with grades of B or higher will be allowed to be
shared.
Students may count graduate credits earned at the 600 level
during an undergraduate degree, towards a master’s degree
if the credits are listed as part of an approved graduate
program of study. Specifically, a student can share up to 9
credits for 30-hour master’s degree (with or without thesis),
12 credits for a 36-hour master’s degree, and 15 credits for a
master’s degree requiring 39 or more semester hour credits.
Programs can set lower limits than those specified here.
Although graduate standing is not officially granted until all
bachelor’s degree requirements have been fulfilled, students in a
combined bachelor’s/master’s program are permitted to enroll in
graduate-level courses based on their Plans of Study to fulfill both
the bachelor’s and master’s degree requirements while still
officially enrolled as an undergraduate student. See Admission to a
Combined Bachelor’s /Master’s Program and Residency. Once all
undergraduate requirements have been satisfied, students must
graduate from their bachelor’s degree programs. They will be
officially enrolled in the graduate programs only if they completed
their bachelor’s programs and they met all requirements for
admission to the master’s programs. Once enrolled in the master’s
program, students will be subject to the academic regulations
governing graduate students.
Admission to a Combined Bachelor’s /Master’s
Program
A combined bachelor’s/master’s program involves tentative
admission to graduate standing so that both a bachelor’s
and master’s degree may be earned as the result of a
planned program of study. Highly qualified students in good
academic standing may apply to a graduate program for a
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combined degree as soon as they have completed 75 earned
credits. With rare exceptions, students will apply no later
than the semester in which they have 90 completed credits
toward their degree. Admission during the junior year or
equivalent allows sufficient time and preparation for
curricular sequences and other research experiences that
distinguish this option from separate bachelor’s and
master’s degrees. No more than one graduate degree can be
earned as a combined degree.
Students will be admitted to the combined program at two
levels, i.e., for both the undergraduate degree and the
graduate degree.
Once admitted during the junior year, students must follow
a prescribed program of work, and their record must show
which courses will be applied toward the undergraduate
degree and which courses will be applied toward the
master’s degree. Once all undergraduate requirements have
been satisfied, the student will be officially enrolled in the
graduate program if they complete their bachelor’s program
in good academic standing, and if they meet all University
and academic unit or teaching unit requirements for
admission to the master’s program for the combined
degree. Each academic unit or teaching unit sets its own
admission standards and procedures for graduate students.
Once enrolled in the master’s program, students are then
subject to the academic regulations governing graduate
students.
For every 9 required graduate credits earned for the
graduate degree while a student has graduate student
status, the student may count up to 3 required graduate
credits earned as an undergraduate towards the master’s
degree. For example, a student can share 9 credits for a 30hour master’s degree, 12 credits for a 36-hour master’s
degree, or 15 credits for a 39-hour or more master’s degree
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for graduate level courses taken as an undergraduate.
Individual programs may set lower limits.
There are many changes to this text. First, there was
repetition with the section on Admission to a Combined
Bachelor’s/Master’s Program. The language has been
separated into two sections and only appears once between
the two sections.
Second, we removed the misleading statement “For every 9
required graduate credits earned for the graduate degree
while a student has graduate student status, the student
may count up to 3 required graduate credits earned as an
undergraduate towards the master’s degree” (which is
somewhat contradicted by the next statement) and replaced
it with an accurate chart. There is not new policy – only a
clarification. We also reiterated that programs may set
stricter limits.
Third, we specified what courses could be shared from the
undergraduate degree in the combined program. These are
courses which are listed under “Major Requirements” in the
Academic Catalog unless given exception by VPRDGS.
Fourth, we developed a regulation to ensure that
bachelor’s/master’s students who get poor grades in
graduate-level courses while still an undergraduate would
not start their graduate career on probation by limiting what
could be shared.
Fifth, we require that all students when admitted to a
combined bachelor’s/master’s program be assigned both an
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undergraduate and a graduate advisor. In the past, some
bachelor’s/master’s students didn’t get graduate advisors to
help with their planning for the graduate portion of their
degree.
Sixth, we require that bachelor’s/master’s students who
have finished all requirements from their undergraduate
major graduate with their the bachelor’s degrees. This
protects against problems with financial aid and is currently
being enforced.
9.
Requirements for a Ph.D. Degree
9.1.
Approved Program of Study
All doctoral students must have an approved Program of Study. The
ability to do independent research is an important part of the
Program of Study and must be demonstrated by an original
dissertation on a topic approved by the Director of the Doctoral
Program in which the student is earning the degree. A dissertation
is required of all candidates for a Ph.D. degree.
An approved Program of Study includes:
•
A complete list of coursework, and
•
a schedule with anticipated dates for:
o
planned courses in required and elective subjects, o the
comprehensive examination(s) or equivalent, o an approved
dissertation proposal, and
o
a successful defense and completion of the dissertation.
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9.2.
Current Version of the Regulations; justification of changes in red
Degree Requirements
The Ph.D. degree requires a minimum of 18 semester hour credits
of coursework completed in residence, exclusive of dissertation
credits. Individual Ph.D. programs at AU require additional
semester credit hours, following the curriculum proposed by
academic unit faculty and approved by the Graduate Curriculum
Committee.
9.3.
Comprehensive Examination(s) or Equivalent
The nature and scope of the comprehensive examination(s) or
equivalent are determined by the Ph.D. degree programs housed
within specific academic units. Options other than a written exam
may be used by a doctoral degree program to assess integration
and synthesis of the body of knowledge accessed via the program
curriculum, and related research, practicum, or internship
experiences. The completed comprehensive examination(s) is
typically read by two faculty readers from the academic unit and is
rated “with distinction,” “satisfactory” or “unsatisfactory” by each.
In order to pass the examination, the student must obtain at least
“satisfactory” on the examination from both readers. The faculty
affiliated with a doctoral program may, however, elect to design a
different system for grading comprehensive examinations in the
academic unit.
A student who fails a comprehensive examination may apply to the
Graduate Program Director for one additional attempt. If the
Graduate Program Director approves the application, the retake of
the exam should occur within six months of the date of the first
attempt. Students who fail a retake attempt will be dismissed from
the doctoral program. The Graduate Program Director will notify
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the Office of the Registrar of the outcome of all comprehensive
exam attempts.
9.4.
Ph.D. Dissertation Committee
The appointment of the Dissertation Committee should be made
well in advance of the defense of the dissertation proposal. All core
Dissertation Committee members must hold the appropriate
terminal degree. In consultation with the proposed Dissertation
Committee Chair, the doctoral student solicits faculty for the
committee and submits the names of the Chair and other
committee members for approval by the Graduate Program
Director. Once approved by the Graduate Program Director, the
proposed membership of a Dissertation Committee is then
approved by the Doctoral Council. If the status of any member of an
approved Dissertation Committee changes, the doctoral student
and the Graduate Program Director will recommend a replacement
for approval by the Doctoral Council.
Customarily, the Dissertation Committee will have four or more
core committee members, including the chair of the committee.
The minimum number of core committee members, including the
chair of the committee, is three. At least two of the core members
must be full-time, tenure-line faculty members at American
University and preferably from the program in which the student is
enrolled. Qualified individuals, either outside the department or
outside the University, may be invited to sit on a committee as
external members once the minimum requirement of two internal
full-time, tenure-line faculty from American University has been
met. Together, the internal and external members form the core of
the Dissertation Committee. Core members are charged with
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guiding the student and providing detailed feedback during the
dissertation process.
The chair of the Dissertation Committee must be an AU faculty
member who holds a tenured position. Untenured, tenure-line
faculty may be appointed as co-chairs of Dissertation Committees,
but must serve with a tenured faculty member. Adjunct faculty,
term faculty, and faculty from other universities and emeritus
faculty may not chair a Dissertation Committee but may serve on it.
A Dissertation Committee chair who retires or leaves the University
before the dissertation is complete may petition the Doctoral
Council to remain on the committee as chair, as a co-chair, or as a
member.
At the time of the final examination of the dissertation, at
least one additional member will join the core of the
dissertation committee as an outside reader for the final
examination. The purpose of the outside reader(s) is to
provide a review of the dissertation by a colleague with the
appropriate terminal degree who is an expert in the subject
matter of the dissertation. The outside reader should have
no direct association with the student. An outside reader
serves an advisory role, and the charge to the outside reader
is to determine if the dissertation meets general standards
in the field, not necessarily to critique the work in detail.
Once the dissertation has been defended successfully, all
committee members sign the dissertation approval form.
At the time of the final examination of the dissertation, at least one
additional member will join the core of the dissertation committee
as an outside reader for the final examination. The purpose of the
outside reader(s) is to provide a review of the dissertation by a
colleague with the appropriate terminal degree who is an expert in
the subject matter of the dissertation. The outside reader should
have no direct association with the student. An outside reader
serves an advisory role, and the charge to the outside reader is to
determine if the dissertation meets general standards in the field,
not necessarily to critique the work in detail. Once the dissertation
has been successfully defended, all committee members sign the
dissertation title page. A letter of approval from the outside reader
may replace the outside reader’s signature on the dissertation title
page.
This language was suggested by the Doctoral Program
Directors. There was concern that the current regulations
seem to suggest that after the dissertation defense,
everyone signs. In fact, it is quite common after a successful
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defense, the committee will still recommend changes to the
text. After the changes are made, the committee signs. We
also allow for the outside reader to send an approval letter,
as physically signing a title page could be challenging if the
reader is not local.
9.5.
Advancement to Candidacy
Students advance to doctoral candidacy when they have completed
all of the courses on their Program of Study, passed their
comprehensive examination or equivalent, and defended
successfully their dissertation proposal. Advancement to candidacy
normally occurs by the end of the third year of study but may vary
among doctoral programs. At the time of advancement to
candidacy, students who have not petitioned for or received en
passant degrees (e.g., M.A., M.S.) will automatically be considered
for such degrees. If a student advances to candidacy after the
deadline to submit a petition for the degree in that term, the
student will be considered for a degree in the following term.
Students who do not advance to candidacy may receive a master’s
degree according to the established guidelines in their graduate
program.
Once doctoral students advance to candidacy, they will only need
to register for Dissertation Credits (Course #899) for nine (9) credits
per semester, or a total of 18 credits per academic year. They will
continue to register as full-time students until they defend their
dissertations. Course #899 will be priced at the equivalent of one
graduate credit hour. All doctoral students who have been
admitted to doctoral candidacy must register and pay for
dissertation credits and related university services during the fall
and spring semesters of the academic year, unless they have an
approved temporary leave from the University. This will provide
This information was moved from the Course Levels section
in the current regulations.
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visibility to all who are monitoring doctoral student progress, and
faculty workload associated with the supervision and mentoring of
doctoral students will be reported with a greater degree of
accuracy.
9.6.
Examination of Dissertation
Each doctoral candidate is required to defend orally his or her
doctoral dissertation as a requirement in partial fulfillment of the
doctoral degree. The requirement for a dissertation examination is
separate from, and is not fulfilled by, a comprehensive
examination(s). The dissertation examination will consist of a public
presentation by the candidate on the research reported in the
dissertation, followed by a formal, public examination of the
candidate by the Dissertation Committee. The Doctoral Program
Director is responsible for posting publically the announcement of
the oral defense of the dissertation seven days prior to the date of
the oral defense, including the teaching unit location and/or
website, Today@AU and the Graduate Studies website.
The Doctoral Program Director is responsible for posting
publically the announcement of the oral defense of the
dissertation seven days prior to the date of the oral defense.
We added some modern techniques to posting defenses.
We will start a website for thesis defense announcements if
this language is approved.
The Dissertation Committee has the following options:
•
To accept the dissertation without any recommendations
for changes. The departmental designee signs the dissertation title
page.
•
To accept the dissertation with recommendations for minor
changes. The chair then oversees and approves all required changes
to the dissertation. Upon the chair’s approval, the departmental
designee signs the dissertation title page.
•
To recommend major revisions to the dissertation. The
candidate makes the required changes and submits the revised
dissertation to the Dissertation Committee for additional review
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and approval. Upon their approval, the departmental designee
signs the dissertation title page for the revised dissertation.
•
To recommend revisions and convene a second meeting of
the Dissertation Committee to review the dissertation and
complete the candidate's examination.
•
To evaluate the dissertation, including its examination, as
unsatisfactory. If the candidate fails, the candidate can petition the
Dissertation Committee chair and the Dissertation Committee for
one retake.
Following the examination, the chair must inform the candidate in
writing of the outcome of the examination. A copy of this
statement is to be included in the student's file at the doctoral
program office of the academic unit, and a copy is given to the
student. The Doctoral Program Director will provide a copy of
notice of the outcome of the examination to the Office of the
Registrar.
10.
Registration Policies
10.1. Initial Course Registration
Students must initially register for the courses in which they wish to
enroll prior to the beginning of each semester or they will incur a
late registration fee. Before registration, students should consult a
graduate advisor or their Graduate Program Director regarding
their Program of Study.
10.2.
International Students
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International students in F-1 or J-1 status must obtain approval
from ISSS when registering for the first time or for a new program,
when registering below a full course load or equivalent (e.g.,
Reduced Course Load), when registering for an internship, when
taking an approved temporary leave, or when separating from the
University. This approval is in addition to those normally required
by an academic unit and may not be waived.
10.3. Changes in Course Registration Once a Semester
Begins
The add/drop period is the first ten business days of the semester
or the equivalent for summer and other non-standard sessions.
During the add/drop period, students may add or drop courses or
change course sections, except when the academic unit or the
teaching unit explicitly prohibits it, without penalty or notice on
their transcript. After the add/drop period, students must receive
instructor, as well as Graduate Program Director approval in order
to add a course. They must receive the new instructor’s approval to
change sections. Grade type can be changed until the end of the
eighth week of the semester.
Students may withdraw from a course up until the end of the
eighth week of the semester or the equivalent for summer and
other non-standard sessions unless they have been charged with a
violation of the Academic Integrity Code. After the end of the
eighth week of the semester, students may withdraw from a course
only by permission of the Associate Dean of the Academic Unit, and
only in cases of well-documented emergencies beyond the
student's control. A low or failing grade in a course is not grounds
for withdrawal from the course.
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A student may not withdraw from a course after the last class
meeting. International students must receive approval from ISSS
before withdrawing from a course. Students who wish to withdraw
from or drop all courses simultaneously must work with their
academic unit to determine their official status at the University.
Discontinuation of attendance at a class or notification to the
instructor is not sufficient to constitute an official withdrawal from
a course.
10.4. Interruption of Students
A student who takes a temporary leave or separates from the
University is no longer taking courses at AU.
•
Temporary Leave: A temporary leave is a temporary
interruption in studies when the student is not actively taking
classes at the University nor receiving support for thesis or
dissertation work. The leave is for a specified period of time after
which the student is expected to return to active status. A
temporary leave is initiated by the student in consultation with the
student's academic unit.
•
Separation: A separation from the University results in the
loss of active student status with no expected date of return to
active status. Students who have separated from the University
must reapply to regain active student status. A separation can be
initiated by the student or a representative of the University. If
students are considering separating from the University, they
should consult with their academic unit as soon as possible to
determine whether there are other, more feasible alternatives.
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Graduate students who take temporary leaves or separate from the
University during a semester for which they are enrolled must apply
with the Office of the Registrar to change their status. They must
withdraw from classes for which they are registered.
Graduate students who take temporary leaves or separate
from the University during a semester for which they are
enrolled must withdraw from classes for which they are
registered, and must apply to the Office of the Registrar,
who will inform them about how the time limits to degree
will be affected. Students must apply to the Associate Dean
of the academic unit for readmission to the program if they
are out for more than one semester. New degree
requirements may apply.
We removed references to time limits, as temporary leave
doesn’t count toward the time limits and time limits would
be discussed at the time of re-enrollment for a separated
student, if that would happen. Furthermore, a student who
returns from temporary leave should not need to reapply.
This is also reflected in the undergraduate regulations.
Graduate student financial aid, merit awards, and graduate
assistantship awards may be affected by any temporary leave or
separation from the University. Students should consult with their
Graduate Program Director or the University Office of Financial Aid
for help in determining the effects of the proposed temporary leave
or separation on their graduate career.
10.4.1. Temporary Leaves
There are three kinds of temporary leaves: General, medical, and
military. Medical covers only personal health reasons. Family health
reasons are covered under a general temporary leave.
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10.4.1.1.
Current Version of the Regulations; justification of changes in red
General Conditions for All Temporary Leaves
•
An approved temporary leave period is not counted as part
of the time allowed for completion of degree requirements, and
thus does not count toward the time limits, but temporary leaves
cannot be used for the sole purpose of extending the time to
degree.
•
Since a temporary leave is not a registration, a student on
leave is not registered and may only use university facilities as a
member of the general public. This includes the library, fitness
center, and similar facilities. Occupied university housing must be
vacated promptly by students on leave.
•
Students on temporary leave are not eligible for financial
aid.
•
Students are responsible for understanding the implications
of a temporary leave for housing, financial aid, health insurance,
and progress toward the degree.
•
This policy will not be used in lieu of disciplinary actions to
address violations of American University’s rules, regulations or
policies. A student who has engaged in behavior that may violate
rules, regulations, or policies of the university community may be
subject to the Student Conduct Code. A student may be required to
participate in the disciplinary process concurrently with the request
for a voluntary temporary leave. A student permitted to take a
temporary leave while on academic or disciplinary status will return
on that same status.
•
International students are advised that taking a reduction
in load or a voluntary temporary leave may affect their student visa
status and should consult with ISSS.
•
Students who do not return to the University at the end of
the temporary leave will be automatically separated.
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•
For any type of temporary leave, the period is limited to
one year maximum (two semesters) to remain enrolled in the same
program.
10.4.1.2.
This section is new. It should have been mentioned in all
sections (it is only in the medical section). We removed the
language in the medical section and placed it in Conditions
for All Temporary Leaves.
General Temporary Leave
Students who desire a temporary leave to study at another
education institution are directed to permit to study section.
Students who desire a temporary leave for reasons other than
study at another educational institution must obtain approval from
the Associate Dean of their academic unit. This permit will specify
the duration of the temporary leave and must comply with
University Academic Regulations. Students must request the leave
no later than within the first two weeks in the semester in which
the temporary leave will begin. To extend the temporary leave,
students must apply directly to the Associate Dean of their
academic unit. The academic unit can extend the temporary leave
only once. The permit becomes void if the student attends any
domestic or foreign educational institution during the period of
temporary leave, unless the student obtains a permit to study at
another institution from the Associate Dean of the academic unit.
10.4.1.3.
Medical Temporary Leave and Reduction in Load
A full-time graduate student may petition for a permit to take a
reduced course load to address a medical issue; full and part-time
graduate students may request a permit to take a medical leave of
absence for personal health reasons. Petitions for all of these
requests must include supporting documentation and are
submitted to the Graduate Program Director and approved by the
Associate Dean of the academic unit. The permit becomes void if
the student attends any domestic or foreign educational institution
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during the period of leave, unless the student obtains a permit to
study at another institution from the Associate Dean of the
academic unit.
Students requesting to return from a temporary medical
leave must petition the Associate Dean of the academic unit.
Students must provide sufficient documentation that the
medical condition has been alleviated and that the student is
ready to return to full-time academic life at the University.
A student must provide sufficient documentation to the Dean of
Students that the medical condition has been alleviated and that
the student is ready to return to academic life at the University.
This language reflect the correct policy that medical
documentation should go the Dean of Students rather than
the Associate Dean. This matches the Undergraduate
Regulations.
10.4.1.4.
Military Temporary Leave
Students may be required to leave the University to fulfill shortterm or long-term national service or military obligations that are
unrelated to war or ongoing hostilities. In the instance of shorterterm absences (e.g., fulfilling periodic training obligations to serve
in the U.S. National Guard), students must inform their Graduate
Program Director and their instructors in advance of the temporary
leave during a semester and a written plan to complete course
requirements must be devised by the instructor and the student.
The written plan must be filed with the Graduate Program Director.
Students who require short-term leaves for military reasons must
provide a copy of their military orders to their instructor.
In the event of a longer-term military temporary leave (e.g., an
international student being required to leave the U.S. to serve in
their home country to fulfill national service or military service
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obligations for a period of time during their graduate studies) the
student may apply to the Associate Dean of the academic unit for a
general temporary leave for national service or military reasons.
Students applying for leave for this reason must provide
documentation to support the request for the leave, including
military orders specifying a beginning and end date. Long-term
military temporary leaves may be extended beyond the twosemester limit with approval of the Associate Dean of the academic
unit and Vice Provost for Research and Dean of Graduate Studies or
designee.
Students applying for leave for this reason must provide
documentation to support the request for the leave.
We added language requiring an official beginning and end
date for the military service. Without that, the correct
choice is separation. We also added an exception for Longterm military leaves.
10.4.2. Separation and Suspension from the University
Students whose grades would have led to academic dismissal had
they not separated, voluntarily or involuntarily, from the University
are treated, for purposes of readmission, as if they had been
academically dismissed. Students who are separated must apply to
the Associate Dean of the academic unit for readmission to the
program. New degree requirements may apply.
10.4.2.1.
Voluntary Separation from the University
Students in good academic standing wishing to separate
from the University must notify the Office of the Registrar
and may do so at any time, up to and inclusive of the last
day of classes. Separations requested after the last day of
instruction or by students on probation must be approved
by the Associate Dean of the academic unit. Students may
separate from the University only once for any reason.
Students in good academic standing wishing to separate from the
University must notify the Office of the Registrar and may do so at
any time, up to and inclusive of the last day of classes. Separations
requested after the last day of instruction or by students on
probation must be approved by the Vice Provost of Research and
Dean of Graduate Studies or designee. Students may separate from
the University only once for any reason.
66
Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
We changed the permission of Separation for two reasons.
First, OGS could serve as a check to see that the student
hasn’t been academically dismissed. This matches the
Undergraduate Regulations. Second, the coordination with
OGS will allow for proper consultation with campus
stakeholders for an improved student experience.
When students are enrolled in classes when they separate from the
University, a grade of "W" is entered for each course. Students who
have withdrawn from classes to separate from the University may
be eligible for partial tuition reimbursement. The date of separation
is based on the notification date and cannot be changed
retroactively.
Students in good academic standing can apply to the Associate
Dean of their academic unit for readmission in the following
semester. Students on probation may apply for readmission after
two full semesters (fall, spring, or summer).
10.4.2.2.
Administrative Separation from the University
Graduate students who fail to file for a separation with the Office of
the Registrar and leave during a semester in which they have
registered will receive failing grades in classes. Graduate students
who leave the University during a semester for which they are
registered or who fail to register for classes as expected without
notifying the Office of the Registrar will be considered as separated.
10.4.2.3.
Involuntary Suspension from the University
The Academic Dean may suspend a student from the University for
an interim period pending disciplinary or criminal proceedings or
medical evaluation regarding behavior relevant to such
proceedings. The interim suspension will be effective immediately
67
Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
without prior notice whenever there is evidence that the continued
presence of the student at the University poses a substantial and
immediate threat to him or herself, to others, or to the stability and
continuance of normal university functions. Interim suspension
excludes students from university premises and other privileges or
activities.
10.4.3. Interruption of Studies Caused by Emergencies, Hostilities,
or War
Students whose work toward a degree is disrupted as a direct result
of pandemic, hostilities, war, or some similar emergency shall be
given every possible consideration. Included in the categories of
students affected are those who cannot travel, are called to active
duty, enlist in the armed forces, or are assigned to nonmilitary
duties. Students called to active military duty while enrolled at the
University must provide their academic unit with a copy of their
military orders. The orders should confirm the begin date and the
end date of service. This policy is in addition to that described in the
Military Temporary Leave policy elsewhere for events unrelated to
hostilities or war. Students will be advised by their academic unit
and instructors on how best to complete their studies through
alternative methods such as online learning and, in some cases,
may be eligible for a refund of tuition.
Students may resume their studies at the University if
arrangements are made for their return within the six months
following the end of their forced absence and if their degree
program is still offered by the University. They may continue to
work for the same degrees in which they were enrolled at the
interruption of their studies in accordance with the regulations in
effect at the time they left. Students should communicate with
68
Proposed Update of the Regulations (changes in gray)
Current Version of the Regulations; justification of changes in red
their Graduate Program Director and the Associate Dean of the
academic unit as soon as they know the date of their return.
10.5. Trauma and Bereavement Policy
In the event of a personal tragedy or trauma, students may need to
coordinate alternative arrangements to complete coursework.
Students or their authorized representative may contact the Office
of the Associate Dean of the academic unit.
If students believe it is not in their best interest to complete the
semester or to return to campus the next semester, the options
exist to take a temporary leave or to separate from the University.
69
Petitions for Exceptions to Graduate Academic Regulations at
American University: Decision Chart
Title
Description
Final Decision
Minimum requirements for
full admission
B.A. from accredited U.S. institution or equivalent
Very rare, VPGSR
GPA requirements for full admission
Very rare, academic
unit
Language proficiency for international students
No exceptions
Provisional admission
GPA requirement after 9 credits
No exceptions
Combined bachelor’s/master’s
programs
Admission when applicant has between 75 and 90
completed undergraduate credits
Very rare, academic
unit
Only one graduate degree can be earned as part of a
combined degree
No exceptions
Requirements for enrollment in the graduate
program (good standing, meets all requirements, all
undergraduate requirements complete)
No exceptions
Number of credits shared between bachelor’s and
master degrees
No exceptions
Limited to 12
Rare, academic unit
Transfer of non-degree or
certificate credits to a
graduate degree program
Grading System
Courses included in the GPA
No exceptions
Grades calculated in GPA
No exceptions
Pass/fail grades
Pass/Fail courses rare in the POS
Rare, academic unit
Thesis, dissertation credit
grades
SP = Satisfactory Progress, UP = Unsatisfactory
Progress for 797 and 899 courses
No exceptions
Incompletes
No incompletes while on probation
Very rare; VPGSR
Incomplete extension beyond following
semester/per extension
Very Rare, Associate
Dean approves
Incomplete cannot be dropped once it has been
granted
No exceptions
IP only for designated courses
Preapproved,
designated courses by
Academic Unit
Curriculum
Committee. No
exceptions after the
fact
In progress (IP)
Independent Studies
A graduate POS can contain no more than 9
independent study credits.
No exceptions,
program can impose
lower limits
Internships
Work for the internship cannot be more than 15%
administrative in nature
No exceptions
Average weekly hours
POS will have no more than 6 internship credits
Rare, Associate Dean
Approves
Very rare, Associate
Dean approves
Evaluation and academic
performance
Repetition of courses
Maximum of 2 attempts. Only two courses in POS
may be repeated
No exceptions
Good academic standing
Minimum GPA requirements
No exceptions
Satisfactory academic progress
Credit in 2/3 of attempted courses AND meeting
the defined milestones in the POS
No exceptions
Annual review of all thesis and dissertation projects
by their faculty committees for progress is required
No exceptions
For lack of satisfactory academic progress
Determined by
graduate program or
academic unit
Academic warning
Academic probation
Academic probation and
dismissal
GPA below 3.0 or student obtains credit for less
than 2/3 of attempted courses (after 9 credits)
Full-Time: Probation for one semester, if GPA or
credit for attempted courses does not return above
thresholds, student is dismissed. Part-time:
Probation lasts for 9 additional credits or three
semesters, whichever is shorter.
No exceptions
No exceptions
Probation status, maximum of three semesters in
total
No exceptions
Permanently dismissed
No exceptions
.5 FTE Assistantships require 600 hours of work
assignments in academic year
No exceptions
Students on assistantship may work more hours
Rare, VPGSR approves
Program of study
Written POS by end of first semester in program
Rare, Program
Director
Course levels
Differentiation among 500-, 600-700, and 800-level
courses
No exceptions
Undergraduates in 600-level courses
Only if crossregistered, for a
combined BA/MA
program or by
permission of
Associate Dean
800-level courses limited to doctoral students
No exceptions
Graduate assistantship
General degree requirements
Undergraduate courses that
count toward graduate degree
Designation of full-time, halftime, and part-time students
Continuous enrollment
Thesis and dissertation
submission
Research assurances and
research ethics training
Time limits to degree
Extension of time limits to
graduate degree
Doctoral students register for 899 after they have
advanced to doctoral candidacy
Doctoral students advanced to candidacy register for
9 credits of 899 per semester (fall, spring) until a
successful defense of the completed dissertation
700- and 800-level courses cannot be cross-registered
with undergraduate courses
No graduate course may be cross-registered with a
100-, 200-, or 300-level course
AU language courses required for language
proficiency requirement OR courses cross-registered
at the 400/600 levels
Full-time: 9 credits (fall, spring); 4 credits (summer)
Half-time: 5 credits (fall, spring); 2 credits (summer)
Full-time status required for some awards (.5 FTE
GA awards, some graduate fellowships, international
student status). Half-time status required for specific
forms of financial aid
Continuous enrollment for one or more graduate
credits (spring, fall) is required until degree
completion
Submission is via ETD. Library no longer accepts
submission of paper copies
Research assurances must be obtained before start of
research. Students conducting thesis or dissertation
research must complete online RCR training
Master’s programs: Six years
Doctoral programs: Nine years
Maximum of three one-year extensions for doctoral
students, each approved by the GPD, Associate
Dean and the VPGSR
No exceptions
No exceptions
No exceptions
No exceptions
No exceptions
No exceptions
No exceptions
No exceptions
No exceptions
No exceptions
Extensions approved
by VPGSR
No exceptions
Credit requirements
Minimum grades
Transfer credits
In residence credit
requirement
Permit to study at another
U.S. institution
Permit to study abroad
C- or lower not accepted as fulfilling the
requirements of the POS for degree
Need approval from GPD in first semester of
program when POS is determined. Courses cannot
be more than five years old and grades must be a B
or higher. Limit for number of transferred credits is
6. Courses cannot have been used for another
completed degree
Minimum 18 in-residence credits, exclusive of 797 or
899. Dual degree options require 36 credits of inresidence coursework
Maximum of 6 credits
No exceptions
Very rare, VPGSR
No exceptions
Academic Unit
GPD and Academic
Unit (both have to
approve)
Requirements for a master’s
degree
Program of study
Written POS agreed upon in first semester
No exceptions
Minimum number of credits
30
No exceptions
Capstone experience
Master’s thesis
One thesis, research project, practicum, internship
or other integrative experience is required
3 credits 797 required, continue to register for 797
until thesis is successfully defended. Thesis
committee has a minimum of two members
No exceptions
No exceptions
Graduate certificate programs
Minimum number of credits
12
No exceptions
Course requirements
Same as course requirements for graduate degrees
Up to 3 for certificates 12-18 credits in length; Up to
6 for certificates over 18 credits in length
No exceptions
Transfer credits
Credit sharing with degree
program
Consortium courses
Minimum GPA
Minimum grades
Satisfactory progress
Only allowed if student is in a degree program
3.0 for good academic standing. Less than a 3.0 after
6 credits requires academic warning, probation or
dismissal. Less than a 3.0 after 12 credits requires
dismissal
C- or lower not accepted as fulfilling the
requirements of the certificate
6 completed credits in each 12-month period. All
certificates must be completed in a four-year period
No exceptions
Determined by
academic unit
No exceptions
No exceptions
No exceptions
No exceptions
Requirements for a doctoral
degree
Program of study
Written POS agreed upon in first semester
No exceptions
Minimum number of credits
Minimum 18 in-residence credits, exclusive of 899
No exceptions
Comprehensive exam
Required in POS
No exceptions
One retake maximum, within six months of the first
attempt
Very rare, extension
can be approved by
Associate Dean
Dissertation committee
Advancement to candidacy
Examination of dissertation
Minimum of 3 core members, 2 of which are fulltime tenure-line AU faculty in program. Chair is
tenured, untenured faculty may be co-chairs.
Outside reader joins committee at time of defense
Advancement occurs following completion of
coursework, completion of comprehensive exam(s)
and successful defense of dissertation proposal
Exceptions vary rare,
VPGSR
No exceptions
Public presentation and oral defense required
No exceptions
Regular registration period to avoid penalty.
Routine consultation with academic advisor
recommended
Academic unit
Registration policies
Initial registration
International students
Must consult with ISSS for a range of registration
issues
No exceptions
Add after add-drop period during same term
Associate Dean
Retroactive add/drop for past terms
VPGSR
Change in grade type
No exceptions
Drop course after Week 8 (or equivalent)
Associate Dean
Dropping all courses simultaneously
No exceptions
Reduction of course load due to medical reasons
Academic unit
approval only with
verification of medical
documentation from
Office of Dean of
Students
Interruptions of studies due to temporary leaves and
separations from the university
NA
Temporary leaves
No exceptions
General temporary leave
Academic unit
Changes in registration
Interruptions in studies
Academic unit
approval only with
verification of medical
documentation from
Office of Dean of
Students
No exceptions
Medical temporary leave
National service or military temporary leave
Voluntary separation from the university
No exceptions
Dean of Students and
Academic unit
Involuntary suspension
Interruption of studies caused by emergencies,
hostilities or war
No exceptions
Trauma and bereavement policy
Academic unit
A petitioner may have only one appeal to a final decision that is a rejection of a petition:
Final Rejection Decision by:
Academic Advisor
Associate Dean
University official (other than Vice
Provost for Graduate Studies and
Research)
Vice Provost for Graduate Studies and
Appeal to:
Associate Dean
Dean
Vice Provost for Graduate Studies and
Research
Provost
Research
Contents: American University Graduate Academic Rules & Regulations for Graduate Students
DRAFT VERSION OF REVISION – NOT THE CURRENT REGULATIONS!
1.
Preamble ............................................................................................................................................................ 4
2.
Admissions Policies ............................................................................................................................................ 4
2.1.
Admission to Degree Programs ...................................................................................................................... 4
2.1.1.
Minimum Requirements for Full Admission............................................................................................... 4
2.1.2.
Provisional Admission ................................................................................................................................ 5
2.2.
Admission to Joint Degree Program ............................................................................................................... 5
2.3.
Admission to a Combined Bachelor’s /Master’s Program .............................................................................. 6
2.4.
Admission to an AU Dual Degree Program ..................................................................................................... 6
2.5.
Admission with Non-degree Status ................................................................................................................ 6
2.6.
Admission to Post-Baccalaureate for-Credit Certificate Programs ................................................................. 6
2.7.
Admission from Non-degree Status or a Post-Baccalaureate Certificate Program to a Graduate Degree
Program....................................................................................................................................................................... 7
2.8.
Re-admission of Students with Previous AU Graduate Records ..................................................................... 7
3.
Evaluation of Academic Performance ................................................................................................................ 7
3.1.
3.2.
3.3.
3.4.
3.5.
3.6.
3.7.
3.8.
3.9.
3.10.
3.11.
3.12.
3.13.
3.13.1.
3.13.2.
3.13.3.
3.13.4.
3.14.
4.
Graduate Assistantships .................................................................................................................................. 14
4.1.
4.2.
5.
Credit Hour ..................................................................................................................................................... 7
Grade Point Average ...................................................................................................................................... 8
Grading System .............................................................................................................................................. 8
Grades for Thesis / Dissertation .................................................................................................................. 9
Pass/Fail Courses ............................................................................................................................................ 9
Auditing Courses............................................................................................................................................ 9
Incompletes .................................................................................................................................................... 9
Independent Studies .................................................................................................................................... 10
Internships.................................................................................................................................................... 10
Repetition of Courses ................................................................................................................................... 11
Good Academic Standing ............................................................................................................................. 11
Satisfactory Academic Progress ................................................................................................................... 11
Academic Warning, Academic Probation and Academic Dismissal .............................................................. 12
Students Enrolled in a Graduate Degree Program ................................................................................... 12
Students Enrolled in a Graduate Certificate Program .............................................................................. 13
Graduate Non-degree Students ............................................................................................................... 13
Incompletes and Academic Probation ..................................................................................................... 13
Academic Integrity Code .............................................................................................................................. 13
Teaching Assistantships (TA) ........................................................................................................................ 14
Research Assistantships (RA) ........................................................................................................................ 14
Degree Requirements....................................................................................................................................... 15
5.1.
5.2.
5.3.
Program of Study.......................................................................................................................................... 15
Course Levels................................................................................................................................................ 15
Cross-listed courses ...................................................................................................................................... 16
5.4.
5.5.
5.6.
5.7.
5.8.
5.9.
5.10.
5.11.
5.12.
5.13.
6.
Credit Requirements .......................................................................................................................................... 20
6.1.
6.2.
6.3.
6.4.
6.4.1.
6.4.2.
6.5.
6.6.
6.7.
7.
Approved Program of Study ......................................................................................................................... 24
Degree Requirements .................................................................................................................................. 24
Capstone Experience .................................................................................................................................... 25
Thesis ........................................................................................................................................................... 25
Jointly Administered Degree Programs ........................................................................................................ 25
Dual Degree Programs.................................................................................................................................. 25
Combined Bachelor’s and Master’s Degrees ................................................................................................ 26
Requirements for a Ph.D. Degree ....................................................................................................................... 28
9.1.
9.2.
9.3.
9.4.
9.5.
9.6.
10.
Graduate Certificate Programs for Credit ..................................................................................................... 23
Graduate Certificate Programs not for Credit .............................................................................................. 24
Requirements for a Master’s Degree .................................................................................................................. 24
8.1.
8.2.
8.3.
8.4.
8.5.
8.6.
8.7.
9.
Criteria for Courses to be Accepted for Graduate Academic Credit ............................................................. 20
Transfer Credits ............................................................................................................................................ 20
Credits from Master’s Degrees Applied to PhD Programs ............................................................................ 21
Shared Credits .............................................................................................................................................. 21
Shared Credits for Concurrent Degrees ................................................................................................... 21
Shared Credits for Non-Concurrent Degrees............................................................................................ 21
In Residence Credit and Residency Requirements ....................................................................................... 22
Permit to Study at Another U.S. Institution .................................................................................................. 22
Permit to Study Abroad................................................................................................................................ 23
Requirements for a Graduate Certificate ........................................................................................................... 23
7.1.
7.2.
8.
Designation of Full-Time and Part-Time Status ............................................................................................ 16
Continuous Enrollment................................................................................................................................. 17
Submission and Publication of Thesis / Dissertation .................................................................................... 17
Research Assurances and Research Ethics Training ...................................................................................... 17
Time Limits to Degree .................................................................................................................................. 18
Time Extensions ........................................................................................................................................... 18
Time Limit on Courses .................................................................................................................................. 19
Substituting Courses ..................................................................................................................................... 19
Waiving Requirements ................................................................................................................................. 19
Graduation ................................................................................................................................................... 19
Approved Program of Study ......................................................................................................................... 28
Degree Requirements .................................................................................................................................. 28
Comprehensive Examination(s) or Equivalent .............................................................................................. 28
Ph.D. Dissertation Committee ...................................................................................................................... 29
Advancement to Candidacy.......................................................................................................................... 30
Examination of Dissertation ......................................................................................................................... 30
Registration Policies ...................................................................................................................................... 31
10.1.
10.2.
10.3.
Initial Course Registration ............................................................................................................................ 31
International Students.................................................................................................................................. 32
Changes in Course Registration Once a Semester Begins ............................................................................. 32
10.4. Interruption of Students ............................................................................................................................... 32
10.4.1.
Temporary Leaves .................................................................................................................................... 33
10.4.1.1.
General Conditions for All Temporary Leaves...................................................................................... 33
10.4.1.2.
General Temporary Leave ................................................................................................................... 34
10.4.1.3.
Medical Temporary Leave and Reduction in Load ............................................................................... 34
10.4.1.4.
Military Temporary Leave .................................................................................................................... 35
10.4.2.
Separation and Suspension from the University ...................................................................................... 35
10.4.2.1.
Voluntary Separation from the University ........................................................................................... 36
10.4.2.2.
Administrative Separation from the University ................................................................................... 36
10.4.2.3.
Involuntary Suspension from the University........................................................................................ 36
10.4.3.
Interruption of Studies Caused by Emergencies, Hostilities, or War ........................................................ 37
10.5. Trauma and Bereavement Policy .................................................................................................................. 37
11.
Appendix I - Petition for Exception Decision Chart ........................................................................................ 38
12.
Appendix II - Glossary .................................................................................................................................... 42
Graduate Academic Regulations – Draft Revisions | 4
1. Preamble
This document constitutes the American University’s Academic Regulations of graduate
degree and non-degree programs except those offered exclusively by the Washington
College of Law. When enrolled in a joint program, students must satisfy the Academic
Regulations that relate to both units in which their degree is housed. Students are expected
to know and follow these regulations; ignorance of a regulation will not be accepted as an
excuse for failure to act in accordance with it. Academic units and graduate programs may
establish additional regulations for their students. Based on a compelling rationale, an
exception to a specific graduate academic regulation may be granted. Appendix I details the
individual or office that may authorize an allowed exception to a specific policy.
2. Admissions Policies
2.1. Admission to Degree Programs
Individuals apply for admission to graduate study to the academic unit offering the degree
program. Applicants are admitted to a particular program for a specific degree objective
(M.A., M.S., M.F.A., Ph.D., etc.). Applicants are admitted to either full or provisional
status.
2.1.1. Minimum Requirements for Full Admission
Applicants must hold an earned baccalaureate degree from an institution accredited
by one of the six United States regional accreditation agencies or a degree equivalent
to a four-year U.S. baccalaureate degree from an international institution with a
similar level of accreditation or recognition by its home country. Assessment of a
foreign degree will be based upon the characteristics of the national system of
education, the type of institution attended, its accreditation, and the level of studies
completed. Applicants must provide proof of an undergraduate degree with an
original certified transcript. Responsibility for the verification and approval of
documents supporting graduate applications and the minimal requirements for full
admission rests with the admissions office in each academic unit.
Applicants may be admitted without reference to their baccalaureate record if they
earned at least a 3.30 cumulative GPA in a master’s degree program completed at a
Graduate Academic Regulations – Draft Revisions | 5
regionally accredited institution or if they earned at least a 3.50 cumulative GPA for
the last 12 credit hours of a master’s or doctoral degree program still in progress.
Applicants whose native or first language is not English must demonstrate proof of
language proficiency by submitting satisfactory results from one of the following:
• English proficiency tests (specific scores that confer a passing grade on these
exams can be obtained from AU’s International Student and Scholar Services
(ISSS) .
 Test of English as a Foreign Language (TOEFL);
 International English Language Testing System (IELTS);
 the Pearson Test of English-Academic (PTE-Academic); or
 Successful evaluation on the Kansas Test administered by the ISSS
office at AU.
• Successful completion of the highest level of course work in an approved
intensive English-language program recognized by AU.
• An earned bachelor's degree from an accredited or approved institution where
the medium of instruction is in English.
In addition to academic requirements for admission, international students, for
purposes of obtaining a visa to study in the United States, must also provide proof
of financial ability. To determine the required amount, they should consult the
Cost Guides on the ISSS website.
Graduate degree programs may establish additional requirements.
2.1.2. Provisional Admission
Students, including international students, who do not meet the above GPA
requirements may be admitted with provisional status. Students who are admitted
provisionally must have a cumulative GPA of at least 3.00 after the completion of the
first 9 credit hours of graduate study at AU, or they will be academically dismissed.
Individual programs and academic units may establish more restrictive standards.
2.2. Admission to Joint Degree Program
Admissions procedures for joint degrees vary by individual program but each academic
unit administering the joint degree must review applications and make admissions
decisions. While all units review the application, the student’s home school is the one to
which he/she applies.
Graduate Academic Regulations – Draft Revisions | 6
2.3. Admission to a Combined Bachelor’s /Master’s Program
Through a combined bachelor’s/master’s program, a qualified undergraduate student may
earn graduate credits that will apply to a master’s degree upon completion of his or her
baccalaureate degree. See Combined Bachelor’s/Master’s Degrees for more details about
the option. Highly qualified students in good academic standing may apply to a graduate
program for a combined degree as soon as they have completed 75 credits. Students must
apply before completing 90 credits toward their degree except with approval of the
Associate Dean of the academic unit. Admission during the junior year or equivalent
allows sufficient time and preparation for curricular sequences and other research
experiences that distinguish this option from separate bachelor’s and master’s degrees.
Students are not required to re-apply for the graduate program once they have been
accepted in a combined bachelor’s/master’s program. They must, however, satisfy the
conditions of admission to the graduate program at the end of their undergraduate career.
Each academic unit and teaching unit may add additional admission standards to the
university criteria. No more than one graduate degree may be earned in a combined
degree program.
2.4. Admission to an AU Dual Degree Program
For admission to an approved dual degree program, the student must meet the admission
criteria for each of the degrees and must be admitted separately to each degree program.
The student must be admitted to the second program before completing the first.
Admission to one degree program does not guarantee automatic admission to a second.
Each admission decision is separate, and conducted according to established procedures for
the specific degree. The student must take all admission examinations required by each of
the graduate programs.
2.5. Admission with Non-degree Status
Admission to attend classes with non-degree status is open to applicants who have a
bachelor’s degree or the equivalent. Enrollment as a non-degree student does not
guarantee acceptance into a degree program. Students must have approval of the Academic
Unit to enroll in a class with non-degree status.
2.6. Admission to Post-Baccalaureate for-Credit Certificate Programs
Admission to attend classes in post-baccalaureate for-credit certificate programs is open to
Graduate Academic Regulations – Draft Revisions | 7
applicants who have a bachelor’s degree or the equivalent. Enrollment as a postbaccalaureate student does not guarantee acceptance into a degree program.
2.7. Admission from Non-degree Status or a Post-Baccalaureate Certificate
Program to a Graduate Degree Program
Students who have non-degree status or who are enrolled in a post-baccalaureate graduate
certificate program at AU may be admitted to a graduate degree program following the
completion of the regular applications process. Graduate programs may approve specific
credit hour limits and relevant coursework earned in non-degree status or in a postbaccalaureate certificate program to share with a degree program, but no more than 12
credit hours can be shared for credit towards a degree. Academic unit policies regarding
the approval of semester credit hours of coursework earned in non-degree status or in a
post-baccalaureate certificate program must be posted and publically available on the
departmental website.
2.8. Re-admission of Students with Previous AU Graduate Records
If an academic unit intends to re-admit a student who either has
a. been previously academically dismissed from American University or
b. graduate coursework from American University with a cumulative GPA below 3.00
that has not been counted toward a completed degree,
then the academic unit must obtain approval from the Vice Provost for Research and
Dean of Graduate Studies before the student is admitted to any graduate program,
certificate program, or non-degree status. Specific conditions of provisional admission may
be required by the teaching unit, academic unit, or VPR/DGS.
3. Evaluation of Academic Performance
3.1. Credit Hour
American University uses the Carnegie Classification definition of a semester credit hour. A
semester credit hour is defined as at least 12.5 hours of direct faculty instruction per
semester (in class, on-line, remote site) with at least 25 hours of student work outside of that
Graduate Academic Regulations – Draft Revisions | 8
direct instruction, typically conducted over a 15-week semester, or an equivalent amount of
faculty instruction and work over a different time period.
Courses are typically 3 semester credits hours each, meaning that students meet in an
instructional venue (in class, on-line, remote site) for 2.5 hours each week and complete
academic work outside the instructional venue at least 5 hours each week for a 15-week
semester or an equivalent amount of work spread out over a different period of time.
Courses that carry 4 or 5 semester credit hours require proportionately more work each
week both inside and outside the instructional venue. Courses that carry 1 or 2 semester
credit hours require proportionately less work, both inside and outside the instructional
venue. Courses that meet fewer than 2.5 hours a week that are assigned 3 semester credit
hours must require students to do additional work outside of the instructional venue to
achieve the expected learning objectives of a 2.5 hour a week course. At the academic unit
level, the Educational Policy Committee in each academic or teaching unit is charged with
approving such courses and certifying that the expected student learning objectives for the
course meet the 3 semester credit hour standard. At the University level, the Graduate
Curriculum Committee of the Faculty Senate and the Vice Provost for Research and Dean
of Graduate Studies or designee must also review and approve such courses.
3.2. Grade Point Average
All graduate-level courses taken at AU and courses taken through the Consortium of
Universities of the Washington Metropolitan Area while a student is enrolled in a degree
program, a certificate program, or as a non-degree student are included in the calculation of
the cumulative GPA for graduate students. If a student is admitted after having earned a
graduate or undergraduate degree at AU, the cumulative GPA does not include grades
from the earned degree unless coursework is shared. Credits accepted as transfer credit
from other institutions or earned during a permit to study at another domestic or foreign
institution are included in the total number of credit hours applicable to degree
requirements, but grades earned in such courses are not recorded on the transcript at
American University and are not used in the calculation of the GPA needed for graduation.
Determination of the cumulative GPA for graduate students, and the notification of
graduate students regarding any deficiencies in GPA is the responsibility of the Office of the
Registrar.
3.3. Grading System
The grading scale and the grade calculations used in the graduate GPA are equivalent to
those used for undergraduate students.
Graduate Academic Regulations – Draft Revisions | 9
3.4. Grades for Thesis / Dissertation
Thesis (797) and dissertation (899) course credits are graded as Satisfactory Progress (SP) or
Unsatisfactory Progress (UP). With grades of either SP or UP, students receive credit for
these courses but the grades earned are not used in computing the GPA. These grades do
not change upon the completion of the thesis or dissertation, and neither thesis nor
dissertation credits may be retaken to change a previously assigned UP to an SP.
3.5. Pass/Fail Courses
Graduate students may not choose the pass/fail option over the letter-grade option in
courses that are part of their Program of Study. Courses that can only be taken Pass/Fail
may be included as part of a student’s Program of Study. A grade of Pass for a graduate
student indicates performance of no less than a B which indicates a numeric equivalent of
3.00. Neither Pass nor Fail grades are used to compute the GPA.
3.6. Auditing Courses
Graduate students may register for courses with an audit grade option that are not part of
their Program of Study. Faculty will establish standards for class participation and/or
attendance for auditing students. When auditing students fail to meet those standards, the
instructor will assign the grade of ZL (administrative withdrawal from audit). Tuition for
courses registered for an audit grade option will be billed at the same rate as courses
registered for academic credit. Other University requirements for auditing courses will be
applicable.
3.7. Incompletes
The instructor of record may assign an Incomplete in place of a final grade when
extenuating circumstances prevent a student, who has otherwise completed the majority of
the work in the course, from completing all work during the stated instructional period.
Students on probation may not receive an Incomplete. To receive an Incomplete in a course,
students must receive the permission of the instructor in advance of the assessment of final
course assignments and agree on an incomplete contract before grades are posted. Multiple
outstanding incomplete grades may affect the ability of a student to maintain Satisfactory
Academic Progress.
The instructor must provide, in writing, the conditions for satisfying the Incomplete to the
student and post them when entering the final grades for the course. Instructors must
identify what work that needs to be completed, when the work must be completed, and
Graduate Academic Regulations – Draft Revisions | 10
what the course grade will be if the student fails to complete that work. Remaining work
must be completed before end of the following semester. Earlier deadlines, such as by the
add/drop date of the next semester, are recommended. Students who do not meet the
established conditions will automatically receive the default grade. In exceptional
circumstances, the Associate Dean of the academic unit, with the concurrence of the
instructor, may grant extensions beyond the agreed deadline. The Associate Dean must
inform the Office of the Registrar of the extension. Students may not drop a course once an
Incomplete is granted. An Incomplete may not stand as a permanent grade and must be
resolved before a graduate degree or post-baccalaureate certificate can be awarded. If a
student separates from the University, any unresolved Incomplete will receive the default
grade.
3.8. Independent Studies
With the approval of their Graduate Program Director, students in Good Academic
Standing may register for an independent study. The independent study must be
identified as a course in the Program of Study. Before registration, the student and the
supervising faculty member must agree upon and document the title, objective, scope,
credit value (1 to 6 credit hours), and the method of evaluation for the independent study.
The instructor must notify the Graduate Program Director of the agreement for the study.
Students will not have more than 9 Independent Study credit hours in any graduate
program. Individual programs may set lower limits.
3.9. Internships
Graduate students register for credit-bearing, paid, or unpaid internships with a
significant academic component with the approval and guidance of a faculty member. The
work for the internship may be no more than 15% administrative in nature, and
instructors must weigh the academic component as at least half of the course grade. The
internship must be identified as a course on the Program of Study. With the approval of
the Graduate Program Director, students may enroll for 1 to 6 credits in a single
internship. Individual graduate programs may set lower limits on the number of credits
for which a single internship may be registered and limit the total number of internship
credits in a Program of Study. Students may not exceed six internship study credit hours
in any graduate program. The table below indicates the minimum number of total hours
worked per credit hour allowed.
Graduate Academic Regulations – Draft Revisions | 11
Earned Credits/Minimum Hours Interned
Earned credits
1
2
3
4
Minimum total hours interned
70 140 210 280
required by end of term
Average number of hours interned
5
10
15
20
weekly over 14 weeks
5
350
6
420
25
30
3.10. Repetition of Courses
Graduate students may repeat only once a course they have previously completed and
failed to earn credit toward their degree or certificate or from which they have
withdrawn. They may repeat only two courses in this fashion during a graduate program
of study. Grades for each attempt are shown on the transcript and are used to compute the
overall GPA, but credits for only one passed course are included in the credits required for
the graduate degree.
3.11. Good Academic Standing
Graduate students are considered to be in Good Academic Standing if they are achieving
satisfactory academic progress toward the degree requirements of their program and have
a cumulative GPA of 3.00.
3.12. Satisfactory Academic Progress
Students are making Satisfactory Academic Progress when, in addition to meeting any
standards for the GPA that individual programs might set, they are: meeting on time the
defined milestones in their Program of Study and they have received credit in at least twothirds of the courses which they have attempted. For master’s students, such milestones
include, but are not limited to, completing the required coursework and completing the
capstone experience satisfactorily. For doctoral students, milestones include, but are not
limited to, completing the required coursework, passing the comprehensive
examination(s) or equivalent, defending the dissertation proposal, completing the
dissertation, and defending the completed dissertation.
For students writing a thesis or dissertation, it is the collective responsibility of the student
and the student’s Thesis Advisor or Dissertation Committee Chair to ensure that
Satisfactory Academic Progress is being maintained. This process is coordinated by the
student’s Thesis Advisor or Dissertation Committee Chair, and oversight authority rests
Graduate Academic Regulations – Draft Revisions | 12
with the Graduate Program Director. Thesis Advisors and Dissertation Committee Chairs
are required to review annually all students conducting theses or dissertations to
determine that they are making Satisfactory Academic Progress, and to (1) inform the
student, and (2) inform the Graduate Program Director, who will communicate the
finding to the Associate Dean of the Academic Unit. Students may request of the Graduate
Program Director, at least once each semester, that their Thesis Director or Dissertation
Committee Chair meet with them to discuss progress on the thesis or dissertation.
3.13. Academic Warning, Academic Probation and Academic Dismissal
3.13.1. Students Enrolled in a Graduate Degree Program
The University Registrar will place students enrolled in a graduate degree program on
Academic Probation when, after attempting at least 9 credit hours of coursework, their
cumulative GPA falls below 3.00 or when students fail to receive credit in at least twothirds of the courses they attempt. The Registrar will inform the students of their
probationary status in writing. This notification will inform the students that they
cannot receive an incomplete grade while they are on Academic Probation status.
Students will be placed on Academic Probation for the time it takes them to attempt 9
additional credits, or three enrolled semesters, whichever is shorter. After the
Academic Probation period is completed, students who fail to raise their cumulative
GPA to 3.00 or fail to raise their course completion rate will be academically dismissed
from the University by the Registrar. If, at any point while a student is on Academic
Probation status, it becomes mathematically impossible to raise his or her cumulative
GPA to 3.00 within the allotted 9 credits from the onset of Academic Probation, the
student will be academically dismissed.
If the Program Director or Associate Dean of an academic unit determines that a
student is not making Satisfactory Academic Progress for any academic reason, the
Dean or Dean’s designee may decide either to issue an Academic Warning or place the
student on Academic Probation. The Dean may also academically dismiss the student
without Academic Probation or Warning. The academic unit must notify the Registrar
of the decision to apply a sanction. The Registrar will notify each student of the
decision and the reason for the decision. In the case of either an Academic Warning or
Academic Probation notice, the Registrar must also inform the student in writing of
the period for the warning or probation and of the conditions that must be met for the
student to regain Satisfactory Academic Progress status. Students who are on an
Academic Warning status for one semester may be subject to Academic Probation or
be academically dismissed in subsequent semesters if the terms of the Academic
Warning are not fulfilled.
Graduate Academic Regulations – Draft Revisions | 13
Academic Dismissals are permanently recorded on the transcript. Academic Warnings
and Academic Probation are not.
3.13.2. Students Enrolled in a Graduate Certificate Program
The Registrar will place students enrolled in a graduate certificate program on
Academic Probation when, after attempting at least 6 credit hours of coursework, their
cumulative GPA falls below 3.00 or when students fail to receive credit in at least twothirds of the courses they attempt. Students will be placed on Academic Probation for
the time it takes them to attempt 6 more credits, or two enrolled semesters, whichever
is shorter.
If, at any point while a student enrolled in a graduate certificate program is on
Academic Probation status, it becomes mathematically impossible to raise his or her
cumulative GPA up to 3.00 within the allotted 6 credits from the onset of Academic
Probation, the student will be academically dismissed.
All other regulations concerning Academic Warning, Academic Probation and
Academic Dismissal for students enrolled in a graduate certificate program are the
same as those for students enrolled in a graduate degree program.
3.13.3. Graduate Non-degree Students
All regulations concerning Academic Warning, Academic Probation and Academic
Dismissal for graduate non-degree students are the same as those for students enrolled
in a graduate degree program.
3.13.4. Incompletes and Academic Probation
If a student who is not placed on Academic Probation is assigned an incomplete grade
and the final assigned grade brings the student’s cumulative GPA to below 3.00, the
student will be placed on Academic Probation at the end of the semester when the
grade was converted to the final assigned grade.
3.14. Academic Integrity Code
Students are bound by the University’s Academic Integrity Code, which ensures that all
work done in pursuit of a degree whether graded or ungraded, formal or informal, meets
Graduate Academic Regulations – Draft Revisions | 14
the highest standards of academic honesty. The baseline sanction for a first-time offense
for graduate students violating the code is suspension from the university, although
academic dismissal is also a common sanction. Suspension and academic dismissal are
permanently recorded on the transcript as a violation of the Academic Integrity Code.
4. Graduate Assistantships
4.1. Teaching Assistantships (TA)
A teaching assistant (TA) is customarily a graduate student who assists an instructor with
instructional activities. TA responsibilities vary greatly and may include the following:
tutoring; holding office hours; assisting with grading homework or exams; administering
tests or exams; assisting an instructor with a large lecture class by teaching students in
recitation, laboratory, or discussion sessions. Students who assist with grading may not
grade assignments or exams for students at their own or higher degree level; e.g., a doctoral
student may assist with grading master’s and undergraduate work; a master’s student may
assist with grading undergraduate work. Advanced doctoral students who are awarded
teaching assistantships may also be the instructor of record for an undergraduate course.
The work assignments for TAs must be significantly more academically substantive than
administrative. Requirements for TA awards are typically fulfilled with 600 hours of work
per academic year, often with a 20 hour assignment per week over two traditional
semesters, but may be fewer hours per week for a longer period, with proportional
reductions in the amount of the associated monthly stipend. The Vice Provost for
Research and Dean of Graduate Studies can, in cases where a compelling rationale exists,
authorize a graduate student with a TA award to work more than 20 hours per week.
4.2. Research Assistantships (RA)
A research assistant (RA) is a graduate student who assists a faculty member with
academic research. Research assistants are not independent researchers and are not
directly responsible for the outcome of the research. They are responsible to a research
supervisor or principal investigator.
The work assignments for RAs must be significantly more academically substantive than
administrative. Requirements for RA awards are typically fulfilled with 600 hours of work
per academic year, often with a 20 hour assignment per week over two traditional
semesters, but may be fewer hours per week for a longer period, with proportional
reductions in the amount of the associated monthly stipend. The Vice Provost for
Graduate Academic Regulations – Draft Revisions | 15
Research and Dean of Graduate Studies can, in cases where a compelling rationale exists,
authorize a graduate student with an RA award to work more than 20 hours per week.
5. Degree Requirements
5.1. Program of Study
The Program of Study is a formal plan listing the program requirements and electives, as
described in the Academic Catalog, that a student must meet to complete a specific degree,
including the dates by which each requirement is expected to be completed. PhD students
must meet with a designated advisor to outline their Program of Study by the end of the
second semester; individual programs may require earlier deadlines. Programs of Study
must be developed for master’s students and should be completed during the first
semester. Thereafter, students are expected to meet as needed with their designated
advisor or Program Director to monitor their status related to Good Academic Standing
and Satisfactory Academic Progress and to update the Program of Study as needed.
5.2. Course Levels
500-599
Graduate courses that are not core graduate courses, but courses of general
importance in the discipline. These courses are open to qualified
undergraduate students.
600-699
Graduate courses that are core graduate courses for the master’s degree
in the field of study. No undergraduate students may take 600-level
courses unless
a) they are seeking a combined master’s/bachelor’s degree,
b) when the courses are cross-listed with undergraduate courses
under an undergraduate number at the 400-level, or
c) by special permission of the Associate Dean of the academic
unit.
These classes may meet jointly with 400-level classes, but not with 100-,
200-, or 300-level classes.
Graduate Academic Regulations – Draft Revisions | 16
700-799
Graduate courses that are customarily advanced content courses for the
master’s degree in the field of study. Undergraduate students are not
allowed in these courses and they may not meet jointly with undergraduate
classes.
800-899
Doctoral courses, limited to Ph.D. students. Certificate or Master’s students
may enroll in these courses with permission of the Associate Dean of the
academic unit.
5.3. Cross-listed courses
Graduate courses at the 600-level may be cross-listed with 400-level undergraduate
courses, but only when a significant portion of the course content is appropriate for both
levels of study. Graduate students taking a cross-listed course will register under the 600
course number and are expected to complete work in addition to the material covered in
common with the undergraduate students in the class. Additional graduate student work
should occur outside the common class time. Expectations for both sets of students will be
clearly defined in the course syllabus.
5.4. Designation of Full-Time and Part-Time Status
Full-time student status is defined as registration for nine semester credit hours in fall or
spring semester or four semester credit hours for summer semester. Part-time student
status is defined as registration for five semester credit hours in fall or spring semester or
two semester credit hours for summer semester. Enrollments in all summer sessions
during a calendar year will be added to determine the total summer enrollment. Students
who are registered for more than a part-time credit load in any semester, but less than a
full-time credit load for that semester, will be considered part-time students.
Graduate students must remain registered for a full-time course load under specific
conditions that include having particular types of student loans, and having international
student status. The Office of the University Registrar will contact the Associate Deans of
academic units following the end of the drop/add period to indicate students who have fulltime and part-time status. It is the responsibility of individual graduate students to
understand how changes in course load or full-time status may have an impact on payment
schedules or other conditions of their obligations to entities providing them with
educational loans.
Graduate Academic Regulations – Draft Revisions | 17
5.5. Continuous Enrollment
Once enrolled in a degree program, graduate students must maintain continuous
enrollment at American University by registering for at least one semester hour of credit
each fall and spring semester, or maintaining matriculation through authorized 0-credit
courses, until the degree objective is reached. Students who fail to register and who have
not requested and received a Temporary Leave will be administratively separated from the
University at the end of the academic term for which they failed to register.
5.6. Submission and Publication of Thesis / Dissertation
Dissertations and theses must be submitted to the University Library in electronic format
after final approval of the dissertation or thesis by the Examining Committee. See the
American University Electronic Thesis and Dissertation (ETD) website for the details of
the publication process. Dissertations and theses submitted to the University through the
ETD process will also be deposited in the AU Library's online electronic archive, the
American University Research Commons (AURC), as well as ProQuest's Digital
Dissertations. The submission of the thesis or dissertation to the University in fulfillment
of degree requirements grants the University the one-time, non-exclusive right to publish
the document in the American University Research Commons. Distribution is subject to a
release date stipulated by the student and approved by the University. As the owner of
the copyright of the thesis or dissertation, students have the exclusive right to reproduce,
distribute, make derivative works based on, publicly perform and display their work, and
to authorize others to exercise some or all of those rights.
5.7. Research Assurances and Research Ethics Training
Graduate students at American University who are conducting independent research are
responsible for obtaining the appropriate research assurances for research that involves:
human participants, animal subjects, recombinant DNA, infectious materials, select or toxic
agents, or human materials. For application forms and guidelines, please see AU’s Research
website at http://www.american.edu/research/. Copies of research assurances must be
presented to the Doctoral Program Director with the completed dissertation proposal at
the time of the defense of the dissertation proposal.
Appropriate protocol review and oversight of faculty and student research is an essential
component of Responsible Conduct of Research (RCR) training on campus. All graduate
students who are conducting research in partial fulfillment of a master’s thesis or doctoral
dissertation are required to participate in RCR training. Documentation of RCR training
must be presented to the Doctoral Program Director with the completed dissertation
Graduate Academic Regulations – Draft Revisions | 18
proposal at the time of the defense of the dissertation proposal.
Data resulting from research projects, including thesis and dissertation research projects,
which do not receive a protocol review when appropriate from the Institutional Review
Board (IRB), Institutional Animal Care and Use Committee (IACUC) or Institutional
Biosafety Committee (IBC) cannot be used to fulfill degree requirements, cannot be
published and must be destroyed. A research protocol cannot be reviewed and approved
retrospectively by an IRB, IACUC, or IBC.
Willful avoidance of the oversight functions of University research review committees can
result in a charge of research misconduct. Also see Research Compliance.
5.8. Time Limits to Degree
Students are expected to complete their degree within the time frame specified below.
Programs may set lower limits for all students or for individual students in their program.
Time limits must be included in the Program of Study. The time to degree may be
extended by the Vice Provost for Research and Dean of Graduate Studies for a compelling
reason. See Time Extensions. Approved separations and temporary leaves do not count
toward the time limits, but cannot be used for the sole purpose of extending the time to
degree.
Master’s students are expected to complete all degree requirements in no more than six
years after the date of first enrollment in the degree program. Doctoral students are
expected to complete all degree requirements in no more than nine years after the date of
first enrollment in the degree program. Each semester, the Registrar will identify students
who will exceed time limits to degree at the end of the current academic year and inform
the students of the potential status change.
5.9. Time Extensions
Under compelling circumstance, Doctoral students may apply for one-year extensions
beyond the expected time to degree, for a maximum of three extensions. Students must
petition the Graduate Program Director for each one-year extension. Petitions must
include a timetable listing specific goals from the Program of Study to be accomplished
during the extension. Each extension must be approved by the Associate Dean of the
academic unit and the Vice Provost for Research and Dean of Graduate Studies.
Additional extensions will not be approved.
Graduate Academic Regulations – Draft Revisions | 19
5.10. Time Limit on Courses
Courses completed more than six years before finishing a master’s degree or certificate and
more than nine years before finishing a PhD may not fulfill degree requirements.
Individual academic units and programs may set lower thresholds. Exceptions are allowed
if the Graduate Program Director can justify that the content of these courses align with
current knowledge and practices and the Associate Dean of the academic unit approves.
Copies of the written justifications and approvals must be shared with the Registrar.
5.11. Substituting Courses
Graduate Program Directors may approve course substitutions in a student’s program of
study based on students’ previous academic records and experiences. Substitute courses
should have similar content to those specified in the degree requirements. In some
instances, more advanced content could be substituted. Substitutions do not reduce the
number of credits required for the degree and must be recorded on the students’ Programs
of Study.
5.12. Waiving Requirements
Waiving requirements is defined as satisfying degree or programmatic requirements by
means other than those specified in the Academic Catalog. If a requirement waiver is not
specified in the Academic Catalog, programs are not permitted to waive requirements or
reduce the total number of credits required to obtain the degree, unless an exception is
granted by the Vice Provost for Research and Dean of Graduate Studies or designee.
Teaching units may modify the text for their programs in the Academic Catalog to delineate
specific alternate means to meet degree or programmatic requirements. Such modifications
to the Academic Catalog must follow proper procedures for changing a graduate program
and must justify how mastery of the requirements’ academic content is demonstrated by the
alternative means.
5.13. Graduation
Students must submit an Application to Graduate at the beginning of the semester during
which they expect to complete all degree and program requirements. Students who want
to continue taking courses after graduating either must apply and be accepted to a new
program, enroll as a non-degree student, or enroll through the alumni audit program.
A graduate student must have a minimum cumulative grade point average of 3.00 in order
Graduate Academic Regulations – Draft Revisions | 20
to be awarded a degree or certificate.
6. Credit Requirements
6.1. Criteria for Courses to be Accepted for Graduate Academic Credit
Graduate students will not receive credit for courses below the 500 level unless the course
is an AU language course that is necessary for language proficiency levels for the graduate
degree and is a graduate program requirement. Grades of C- or lower will not be accepted
as fulfilling a degree requirement but will be calculated in the cumulative GPA. Individual
programs may set higher standards.
6.2. Transfer Credits
Students may request to transfer credit for courses taken prior to their admission to a
graduate program at AU. The number of total credits transferred for a single degree
program may be no greater than six credits and is limited by residency requirements. In no
case may graduate credit be given for coursework designated as solely undergraduate by the
institution where the coursework was completed. Proposed transfer courses must have been
completed with a grade of B (3.00) or better and must have been completed no later than 5
years prior to the beginning of the semester in which the students is admitted to a graduate
program at AU. Graduate programs may require that the proposed transfer courses have
been completed more recently than the 5 years prior and may limit the number of
allowable transfer credits to less than six.
Courses taken at American University toward a graduate degree earned before admission to
a subsequent graduate program cannot be transferred but may be shared. See Shared Credit
for Non-Concurrent Degrees.
Transfer credits must be approved by a student’s Graduate Program Director during his or
her first semester of study and be included in the student’s Program of Study. Students must
give the Graduate Program Director an official transcript from the University at which the
proposed course(s) was completed as well as a syllabus for each course requested for
transfer. The academic unit must inform the Office of University of Registrar which courses
will be transferred during the student’s first semester of study.
Transfer credit will appear on the student’s transcript, but grades from approved transferred
Graduate Academic Regulations – Draft Revisions | 21
courses at other institutions will not be counted in the student’s AU cumulative GPA.
Students may not transfer, share between non-concurrent AU graduate degrees, or
complete via a permit to study more than 6 credits total.
6.3. Credits from Master’s Degrees Applied to PhD Programs
Graduate Program Directors may approve up to six credits to be shared or transferred for
graduate students who are enrolled in a PhD Program and have earned a Master’s Degree
from American University or another institution. Requests to share or transfer more than
six credits must be approved of Vice Provost for Research and Dean of Graduate Studies or
designee.
6.4. Shared Credits
Shared credits are credits counted toward more than one AU degree. Grades associated with
the credits count in the GPA for each degrees.
6.4.1. Shared Credits for Concurrent Degrees
Graduate students may only share credits between concurrent American University degree
programs in three cases. These are:
a. a Combined Bachelor’s/Master’s Degree,
b. a PhD program and an earned master’s degree at American University (see Credits from
Master’s Degrees Applied to the PhD Degree), or
c. a Dual Degree Program
6.4.2. Shared Credits for Non-Concurrent Degrees
Students who have previously earned graduate degrees at American University may
share up to 6 credits from the completed degree with a subsequent, non-concurrent,
graduate degree. These shared credits must be approved by a student’s Graduate Program
Director during his or her first semester of study and be included in the student’s Program
of Study. The academic unit must inform the Office of University of Registrar which
credits will be shared during the student’s first semester of study.
Students may not transfer, share between non-concurrent AU graduate degrees, or
complete via a permit to study more than 6 credits total.
The same course must be listed as a degree requirement or elective in the Academic
Catalog for both degrees to share credit. Proposed shared courses must have been
Graduate Academic Regulations – Draft Revisions | 22
completed with a grade of B (3.00) or better and must have been completed no later than
5 years prior to the beginning of the semester in which the students is admitted to a
graduate program at AU. Graduate programs may require that the proposed shared
courses have been completed more recently than the 5 years prior and may limit the
number of allowable shared credits to less than six. Academic units may petition the Vice
Provost for Research and Dean of Graduate Studies or designee for exceptions to the
shared credit regulations for non-concurrent degrees.
6.5. In Residence Credit and Residency Requirements
Courses are considered in residence when they are taken at American University, through
an AU-coordinated off-site or on-line program, or through any member of the Consortium
of Universities of the Washington Metropolitan Area. Courses considered not in residence
include those transferred from another institution into AU. Courses that are not taken in
residence are not included in the computation of the GPA.
Both master’s and doctoral degrees require a minimum of 18 semester credit hours of in
residence graduate course work, while enrolled in a degree program, exclusive of 797 or
899. Students in the Dual Degree option must complete a minimum of 36 semester credit
hours of in residence coursework at American University, with at least 50 percent of the
credits unique to each degree. Individual program requirements may require more than 18
credit hours for either or both degrees. Courses used to satisfy residence credit
requirements for an undergraduate degree may not also be used to satisfy parallel
requirements for a dual master’s degree.
6.6. Permit to Study at Another U.S. Institution
Students in good academic standing who wish to take courses at another U.S. institution
that would not be considered in residence courses, must receive prior approval by their
Program Director and Associate Dean. Students must secure approval from the academic
unit prior to registering for the course and such approval is granted only for specific courses.
Grades for courses taken during a Permit to Study at another institution are not recorded on
the AU transcript and are not computed in the GPA, although they will count toward the
total number of credits needed for graduation. However, students must meet the GPA
requirements of American University for individual courses taken at other institutions as
required for their graduate Program of Study. Students must satisfy any additional
requirements provided on the Permit to Study form.
Students may not transfer, share between non-concurrent AU graduate degrees, or
complete via a permit to study more than 6 credits total.
Graduate Academic Regulations – Draft Revisions | 23
6.7. Permit to Study Abroad
Students in good academic standing who wish to study at any foreign university not
partnered with AU must receive prior approval of their Graduate Program Director and
the Associate Dean. Permission for such study is granted only when the student can
demonstrate that the academic opportunity offered by the foreign university cannot be
met through study at any one of AU’s existing partner universities. Grades for courses
taken during a Permit to Study Abroad are not recorded on the AU transcript and are not
computed in the GPA, though they will count in the total number of credits needed for
graduation. However, students must meet GPA requirements of American University for
individual courses taken at other institutions as required for their graduate Program of
Study. Students must satisfy any additional requirements provided on the Permit to Study
Abroad form.
Students may not transfer, share between non-concurrent AU graduate degrees, or
complete via a permit to study more than 6 credits total.
7. Requirements for a Graduate Certificate
7.1. Graduate Certificate Programs for Credit
Academic units and the School of Professional and Extended Studies, at their discretion,
may develop and administer graduate certificate programs for which there is academic
credit. All graduate certificate programs for credit must include a minimum of 12
semester credit hours. All course work must meet the same requirements as those used
for graduate academic programs. See Criteria for Courses to be Accepted for Academic
Credit. Some certificate programs for graduate credit may have additional
requirements. If approved by the academic or teaching unit that administers the
certificate program, equivalent credits earned at an accredited college or university
may be transferred toward a certificate at the following rates: 3 credit hours for
certificates from 12 to 18 credit hours in length, and 6 credit hours for certificates over
18 credit hours in length.
Graduate students who are enrolled in master’s and/or doctoral be simultaneously
enrolled in a graduate certificate program. Credits may be shared between
simultaneous graduate degrees and certificates with the approval of the Graduate
Program Director of the master’s or doctoral degree program. Students who are not
enrolled in graduate degree programs but who are enrolled in graduate certificate
programs are not permitted to enroll in courses in the Consortium of Universities of
Graduate Academic Regulations – Draft Revisions | 24
the Washington Metropolitan Area.
Students admitted to a master’s degree program may share credit from a completed
certificate program. See Admission from Non-degree Status or a Post-Baccalaureate
Certificate Program to a Graduate Degree Program.
Students in certificate programs must complete a minimum of 6 credit hours during
each 12-month period after the start of their first semester of enrollment. All graduate
certificate programs must be completed within four years. Students who do not meet
these minimum requirements will be dismissed from the certificate program. If a
student is readmitted to the program, the acceptance of previously completed credits
will be determined by the academic or teaching unit upon readmission. The
completion of the certificate will be noted on the student’s official transcript for the
semester it was completed.
7.2. Graduate Certificate Programs not for Credit
Academic units, centers/institutes, and the School of Professional and Extended Studies,
at their discretion, may develop and administer graduate certificate programs for which
there is no academic credit.
8. Requirements for a Master’s Degree
8.1. Approved Program of Study
An approved Program of Study includes, but is not limited to, coursework and a capstone
experience.
8.2. Degree Requirements
A master’s degree requires the completion of at least 30 semester credit hours of graduate
work. The requirement for residence credit must be met. A detailed description of the
degree requirements can be obtained from each graduate program and must be posted on
the website of the teaching unit.
Graduate Academic Regulations – Draft Revisions | 25
8.3. Capstone Experience
One capstone experience (e.g., thesis, research project, practicum, internship or other
experience as determined by the graduate program) is required. The nature and scope of
the capstone experience is determined by the graduate program and is included in the
Program of Study. If the capstone is a comprehensive examination, the structure, content,
and grading of the examination, as well as any policy on retaking the examination will be
determined by the teaching unit.
8.4. Thesis
Students who are writing a thesis as their capstone experience are expected to demonstrate
their capacity to do original, independent research. Students must take no fewer than three
semester credit hours of master’s thesis research (797). A thesis advisory committee shall
consist of no fewer than two members of the AU faculty. In consultation with the Thesis
Chair, the student solicits faculty for the committee and submits their names for approval
by the Graduate Program Director.
8.5. Jointly Administered Degree Programs
A Jointly Administered Degree Program is a specified combination of courses, typically
from more than one academic or teaching unit, that combines elements of the various
courses of study in those units for the purpose of providing a combined program of study
toward a specific degree. Both units have responsibilities to monitor student progress and
provide academic advising. Upon completion of the Jointly Administered Degree Program,
the student receives one graduate degree.
8.6. Dual Degree Programs
A Dual Degree Program is an approved combination of two separate degree programs.
Students must be admitted to the second degree program before completing the first
degree. Upon completion of a Dual Degree Program, a student will be conferred the two
degrees included in the Dual Degree Program.
8.6.1. Dual Degree Programs within American University
Students may be enrolled in only one graduate program at a time unless they are
enrolled in a Dual Degree Program. Credits that apply from one AU program to
another must be approved by their respective academic units and under the following
conditions:
Graduate Academic Regulations – Draft Revisions | 26
•
•
•
•
•
Students must meet all of the course, capstone, and other requirements for each
degree program.
The student applies for and receives each degree upon completion of all the
requirements for that degree. The degrees may or may not be completed
simultaneously.
At least 50% of the courses taken in each program in the Dual Degree Program must
be taken in residence, and students must satisfy residency requirements as specified in
these graduate regulations.
The Dual Degree Program must either be listed in the Academic Catalog or approved
by the Vice Provost for Research and Dean of Graduate Studies or designee. If the
program is not listed in the Academic Catalog, VPR/DGS approval is necessary for
each student before admission to a second degree program. VPR/DGS approval for a
particular Dual Degree Program may only be granted for 3 students before it must be
approved by the Graduate Curriculum Committee and listed in the Academic Catalog.
The maximum number of credits that can be shared between the degrees must follow
these guidelines:
Credits for
the other
degree
30 – 35 credits
36 – 38 credits
39 and more credits
Credits for one degree
30 – 35 credits 36 – 38 credits 39 and more credits
Share 6 credits Share 6 credits Share 9 credits
Share 9 credits Share 9 credits
Share 12 credits
Dual degrees programs that we approved and listed in the Academic Catalog prior to
the adoption of this version of the Graduate Academic Regulations will be exempt
from these limits.
8.6.2. Dual Degree Programs with Other Degree-Granting Institutions
Dual degree programs may be established with other institutions with approval from
the Office of the Provost. At least 50% of the credits within the program must be
earned through American University courses.
8.7. Combined Bachelor’s and Master’s Degrees
Students enrolled in a combined bachelor’s/master’s program may share credits between
their bachelor’s and master’s degrees. These credits must be taken at the graduate level
(500-level and above) and must meet degree requirements for each degree, as stipulated in
the Academic Catalog. Shared credits must satisfy major requirements for the bachelor’s
Graduate Academic Regulations – Draft Revisions | 27
degree and not simply university requirements, unless approved by the Vice Provost for
Research and Dean of Graduate Studies or designee. Graduate credit cannot be shared
with minors unless they are stipulated as major requirements for the bachelor’s degree in
the Academic Catalog or unless approved by the Vice Provost for Research and Dean of
Graduate Studies or designee. The number of shared credits is determined by the number
of credits required for the master’s degree:
Credit hours required for
the master’s program
30-35
36-38
39 and above
Maximum number of shared credit hours
between bachelor’s and master’s degree
9
12
15
Programs may set lower limits than those specified here.
Once admitted to a combined program, students must be assigned a graduate advisor.
The student, the undergraduate advisor, and graduate advisor must design a Plan of
Study, which details how graduate coursework will satisfy bachelor’s degree
requirements. Appropriate graduate coursework in the Plan of Study may be substituted
for specific bachelor’s degree requirements. Students must have a cumulative graduate
GPA of 3.00 or higher when completing their undergraduate degree to share all credits
in their Plan of Study. If the cumulative graduate GPA is below 3.00, only graduate
courses with grades of B or higher will be allowed to be shared.
Although graduate standing is not officially granted until all bachelor’s degree
requirements have been fulfilled, students in a combined bachelor’s/master’s program are
permitted to enroll in graduate-level courses based on their Plans of Study to fulfill both
the bachelor’s and master’s degree requirements while still officially enrolled as an
undergraduate student. See Admission to a Combined Bachelor’s /Master’s Program and
Residency. Once all undergraduate requirements have been satisfied, students must
graduate from their bachelor’s degree programs. They will be officially enrolled in the
graduate programs only if they completed their bachelor’s programs and they met all
requirements for admission to the master’s programs. Once enrolled in the master’s
program, students will be subject to the academic regulations governing graduate
students.
Graduate Academic Regulations – Draft Revisions | 28
9. Requirements for a Ph.D. Degree
9.1. Approved Program of Study
All doctoral students must have an approved Program of Study. The ability to do
independent research is an important part of the Program of Study and must be
demonstrated by an original dissertation on a topic approved by the Director of the
Doctoral Program in which the student is earning the degree. A dissertation is required
of all candidates for a Ph.D. degree.
An approved Program of Study includes:
•
•
A complete list of coursework, and
a schedule with anticipated dates for:
o planned courses in required and elective subjects,
o the comprehensive examination(s) or equivalent,
o an approved dissertation proposal, and
o a successful defense and completion of the dissertation.
9.2. Degree Requirements
The Ph.D. degree requires a minimum of 18 semester hour credits of coursework
completed in residence, exclusive of dissertation credits. Individual Ph.D. programs at AU
require additional semester credit hours, following the curriculum proposed by academic
unit faculty and approved by the Graduate Curriculum Committee.
9.3. Comprehensive Examination(s) or Equivalent
The nature and scope of the comprehensive examination(s) or equivalent are determined
by the Ph.D. degree programs housed within specific academic units. Options other than a
written exam may be used by a doctoral degree program to assess integration and synthesis
of the body of knowledge accessed via the program curriculum, and related research,
practicum, or internship experiences. The completed comprehensive examination(s) is
typically read by two faculty readers from the academic unit and is rated “with
distinction,” “satisfactory” or “unsatisfactory” by each. In order to pass the examination,
the student must obtain at least “satisfactory” on the examination from both readers. The
faculty affiliated with a doctoral program may, however, elect to design a different system
for grading comprehensive examinations in the academic unit.
Graduate Academic Regulations – Draft Revisions | 29
A student who fails a comprehensive examination may apply to the Graduate Program
Director for one additional attempt. If the Graduate Program Director approves the
application, the retake of the exam should occur within six months of the date of the first
attempt. Students who fail a retake attempt will be dismissed from the doctoral program.
The Graduate Program Director will notify the Office of the Registrar of the outcome of
all comprehensive exam attempts.
9.4. Ph.D. Dissertation Committee
The appointment of the Dissertation Committee should be made well in advance of the
defense of the dissertation proposal. All core Dissertation Committee members must hold
the appropriate terminal degree. In consultation with the proposed Dissertation
Committee Chair, the doctoral student solicits faculty for the committee and submits the
names of the Chair and other committee members for approval by the Graduate Program
Director. Once approved by the Graduate Program Director, the proposed membership of
a Dissertation Committee is then approved by the Doctoral Council. If the status of any
member of an approved Dissertation Committee changes, the doctoral student and the
Graduate Program Director will recommend a replacement for approval by the Doctoral
Council.
Customarily, the Dissertation Committee will have four or more core committee members,
including the chair of the committee. The minimum number of core committee members,
including the chair of the committee, is three. At least two of the core members must be
full-time, tenure-line faculty members at American University and preferably from the
program in which the student is enrolled. Qualified individuals, either outside the
department or outside the University, may be invited to sit on a committee as external
members once the minimum requirement of two internal full-time, tenure-line faculty
from American University has been met. Together, the internal and external members
form the core of the Dissertation Committee. Core members are charged with guiding the
student and providing detailed feedback during the dissertation process.
The chair of the Dissertation Committee must be an AU faculty member who holds a
tenured position. Untenured, tenure-line faculty may be appointed as co-chairs of
Dissertation Committees, but must serve with a tenured faculty member. Adjunct faculty,
term faculty, and faculty from other universities and emeritus faculty may not chair a
Dissertation Committee but may serve on it. A Dissertation Committee chair who retires
or leaves the University before the dissertation is complete may petition the Doctoral
Council to remain on the committee as chair, as a co-chair, or as a member.
At the time of the final examination of the dissertation, at least one additional member
Graduate Academic Regulations – Draft Revisions | 30
will join the core of the dissertation committee as an outside reader for the final
examination. The purpose of the outside reader(s) is to provide a review of the
dissertation by a colleague with the appropriate terminal degree who is an expert in the
subject matter of the dissertation. The outside reader should have no direct association
with the student. An outside reader serves an advisory role, and the charge to the outside
reader is to determine if the dissertation meets general standards in the field, not
necessarily to critique the work in detail. Once the dissertation has been successfully
defended, all committee members sign the dissertation title page. A letter of approval
from the outside reader may replace the outside reader’s signature on the dissertation
title page.
9.5. Advancement to Candidacy
Students advance to doctoral candidacy when they have completed all of the courses on
their Program of Study, passed their comprehensive examination or equivalent, and
defended successfully their dissertation proposal. Advancement to candidacy normally
occurs by the end of the third year of study but may vary among doctoral programs. At the
time of advancement to candidacy, students who have not petitioned for or received en
passant degrees (e.g., M.A., M.S.) will automatically be considered for such degrees. If a
student advances to candidacy after the deadline to submit a petition for the degree in that
term, the student will be considered for a degree in the following term. Students who do
not advance to candidacy may receive a master’s degree according to the established
guidelines in their graduate program.
Once doctoral students advance to candidacy, they will only need to register for Dissertation
Credits (Course #899) for nine (9) credits per semester, or a total of 18 credits per academic
year. They will continue to register as full-time students until they defend their dissertations.
Course #899 will be priced at the equivalent of one graduate credit hour. All doctoral
students who have been admitted to doctoral candidacy must register and pay for dissertation
credits and related university services during the fall and spring semesters of the academic
year, unless they have an approved temporary leave from the University. This will provide
visibility to all who are monitoring doctoral student progress, and faculty workload associated
with the supervision and mentoring of doctoral students will be reported with a greater
degree of accuracy.
9.6. Examination of Dissertation
Each doctoral candidate is required to defend orally his or her doctoral dissertation as a
requirement in partial fulfillment of the doctoral degree. The requirement for a
dissertation examination is separate from, and is not fulfilled by, a comprehensive
Graduate Academic Regulations – Draft Revisions | 31
examination(s). The dissertation examination will consist of a public presentation by the
candidate on the research reported in the dissertation, followed by a formal, public
examination of the candidate by the Dissertation Committee. The Doctoral Program
Director is responsible for posting publically the announcement of the oral defense of the
dissertation seven days prior to the date of the oral defense, including the teaching unit
location and/or website, Today@AU and the Graduate Studies website.
The Dissertation Committee has the following options:
•
•
•
•
•
To accept the dissertation without any recommendations for changes. The
departmental designee signs the dissertation title page.
To accept the dissertation with recommendations for minor changes. The chair then
oversees and approves all required changes to the dissertation. Upon the chair’s
approval, the departmental designee signs the dissertation title page.
To recommend major revisions to the dissertation. The candidate makes the required
changes and submits the revised dissertation to the Dissertation Committee for
additional review and approval. Upon their approval, the departmental designee signs
the dissertation title page for the revised dissertation.
To recommend revisions and convene a second meeting of the Dissertation
Committee to review the dissertation and complete the candidate's examination.
To evaluate the dissertation, including its examination, as unsatisfactory. If the
candidate fails, the candidate can petition the Dissertation Committee chair and the
Dissertation Committee for one retake.
Following the examination, the chair must inform the candidate in writing of the outcome of the
examination. A copy of this statement is to be included in the student's file at the doctoral
program office of the academic unit, and a copy is given to the student. The Doctoral Program
Director will provide a copy of notice of the outcome of the examination to the Office of the
Registrar.
10. Registration Policies
10.1. Initial Course Registration
Students must initially register for the courses in which they wish to enroll prior to the
beginning of each semester or they will incur a late registration fee. Before registration,
students should consult a graduate advisor or their Graduate Program Director regarding
their Program of Study.
Graduate Academic Regulations – Draft Revisions | 32
10.2. International Students
International students in F-1 or J-1 status must obtain approval from ISSS when
registering for the first time or for a new program, when registering below a full course
load or equivalent (e.g., Reduced Course Load), when registering for an internship, when
taking an approved temporary leave, or when separating from the University. This
approval is in addition to those normally required by an academic unit and may not be
waived.
10.3. Changes in Course Registration Once a Semester Begins
The add/drop period is the first ten business days of the semester or the equivalent for
summer and other non-standard sessions. During the add/drop period, students may add or
drop courses or change course sections, except when the academic unit or the teaching
unit explicitly prohibits it, without penalty or notice on their transcript. After the
add/drop period, students must receive instructor, as well as Graduate Program Director
approval in order to add a course. They must receive the new instructor’s approval to
change sections. Grade type can be changed until the end of the eighth week of the
semester.
Students may withdraw from a course up until the end of the eighth week of the semester
or the equivalent for summer and other non-standard sessions unless they have been
charged with a violation of the Academic Integrity Code. After the end of the eighth
week of the semester, students may withdraw from a course only by permission of the
Associate Dean of the Academic Unit, and only in cases of well-documented emergencies
beyond the student's control. A low or failing grade in a course is not grounds for
withdrawal from the course.
A student may not withdraw from a course after the last class meeting. International
students must receive approval from ISSS before withdrawing from a course. Students who
wish to withdraw from or drop all courses simultaneously must work with their academic
unit to determine their official status at the University. Discontinuation of attendance at a
class or notification to the instructor is not sufficient to constitute an official withdrawal
from a course.
10.4. Interruption of Students
A student who takes a temporary leave or separates from the University is no longer taking
courses at AU.
Graduate Academic Regulations – Draft Revisions | 33
•
Temporary Leave: A temporary leave is a temporary interruption in studies when the
student is not actively taking classes at the University nor receiving support for thesis
or dissertation work. The leave is for a specified period of time after which the
student is expected to return to active status. A temporary leave is initiated by the
student in consultation with the student's academic unit.
•
Separation: A separation from the University results in the loss of active student status
with no expected date of return to active status. Students who have separated from
the University must reapply to regain active student status. A separation can be
initiated by the student or a representative of the University. If students are
considering separating from the University, they should consult with their academic
unit as soon as possible to determine whether there are other, more feasible
alternatives.
Graduate students who take temporary leaves or separate from the University during a
semester for which they are enrolled must apply with the Office of the Registrar to
change their status. They must withdraw from classes for which they are registered.
Graduate student financial aid, merit awards, and graduate assistantship awards may be
affected by any temporary leave or separation from the University. Students should
consult with their Graduate Program Director or the University Office of Financial Aid
for help in determining the effects of the proposed temporary leave or separation on
their graduate career.
10.4.1. Temporary Leaves
There are three kinds of temporary leaves: General, medical, and military. Medical
covers only personal health reasons. Family health reasons are covered under a
general temporary leave.
10.4.1.1.
•
•
•
•
General Conditions for All Temporary Leaves
An approved temporary leave period is not counted as part of the time allowed
for completion of degree requirements, and thus does not count toward the time
limits, but temporary leaves cannot be used for the sole purpose of extending the
time to degree.
Since a temporary leave is not a registration, a student on leave is not registered and
may only use university facilities as a member of the general public. This includes
the library, fitness center, and similar facilities. Occupied university housing must
be vacated promptly by students on leave.
Students on temporary leave are not eligible for financial aid.
Students are responsible for understanding the implications of a temporary leave
Graduate Academic Regulations – Draft Revisions | 34
•
•
•
•
for housing, financial aid, health insurance, and progress toward the degree.
This policy will not be used in lieu of disciplinary actions to address violations of
American University’s rules, regulations or policies. A student who has engaged in
behavior that may violate rules, regulations, or policies of the university
community may be subject to the Student Conduct Code. A student may be
required to participate in the disciplinary process concurrently with the request for
a voluntary temporary leave. A student permitted to take a temporary leave while
on academic or disciplinary status will return on that same status.
International students are advised that taking a reduction in load or a voluntary
temporary leave may affect their student visa status and should consult with
ISSS.
Students who do not return to the University at the end of the temporary leave
will be automatically separated.
For any type of temporary leave, the period is limited to one year maximum (two
semesters) to remain enrolled in the same program.
10.4.1.2.
General Temporary Leave
Students who desire a temporary leave to study at another education institution are
directed to permit to study section. Students who desire a temporary leave for
reasons other than study at another educational institution must obtain approval
from the Associate Dean of their academic unit. This permit will specify the
duration of the temporary leave and must comply with University Academic
Regulations. Students must request the leave no later than within the first two
weeks in the semester in which the temporary leave will begin. To extend the
temporary leave, students must apply directly to the Associate Dean of their
academic unit. The academic unit can extend the temporary leave only once. The
permit becomes void if the student attends any domestic or foreign educational
institution during the period of temporary leave, unless the student obtains a
permit to study at another institution from the Associate Dean of the academic
unit.
10.4.1.3.
Medical Temporary Leave and Reduction in Load
A full-time graduate student may petition for a permit to take a reduced course
load to address a medical issue; full and part-time graduate students may request a
permit to take a medical leave of absence for personal health reasons. Petitions for
all of these requests must include supporting documentation and are submitted to
the Graduate Program Director and approved by the Associate Dean of the
academic unit. The permit becomes void if the student attends any domestic or
foreign educational institution during the period of leave, unless the student
Graduate Academic Regulations – Draft Revisions | 35
obtains a permit to study at another institution from the Associate Dean of the
academic unit.
A student must provide sufficient documentation to the Dean of Students that the
medical condition has been alleviated and that the student is ready to return to
academic life at the University.
10.4.1.4.
Military Temporary Leave
Students may be required to leave the University to fulfill short-term or long-term
national service or military obligations that are unrelated to war or ongoing
hostilities. In the instance of shorter-term absences (e.g., fulfilling periodic training
obligations to serve in the U.S. National Guard), students must inform their
Graduate Program Director and their instructors in advance of the temporary leave
during a semester and a written plan to complete course requirements must be
devised by the instructor and the student. The written plan must be filed with the
Graduate Program Director. Students who require short-term leaves for military
reasons must provide a copy of their military orders to their instructor.
In the event of a longer-term military temporary leave (e.g., an international
student being required to leave the U.S. to serve in their home country to fulfill
national service or military service obligations for a period of time during their
graduate studies) the student may apply to the Associate Dean of the academic unit
for a general temporary leave for national service or military reasons. Students
applying for leave for this reason must provide documentation to support the
request for the leave, including military orders specifying a beginning and end
date. Long-term military temporary leaves may be extended beyond the twosemester limit with approval of the Associate Dean of the academic unit and Vice
Provost for Research and Dean of Graduate Studies or designee.
10.4.2.
Separation and Suspension from the University
Students whose grades would have led to academic dismissal had they not separated,
voluntarily or involuntarily, from the University are treated, for purposes of
readmission, as if they had been academically dismissed. Students who are separated
must apply to the Associate Dean of the academic unit for readmission to the program.
New degree requirements may apply.
Graduate Academic Regulations – Draft Revisions | 36
10.4.2.1.
Voluntary Separation from the University
Students in good academic standing wishing to separate from the University must
notify the Office of the Registrar and may do so at any time, up to and inclusive of
the last day of classes. Separations requested after the last day of instruction or by
students on probation must be approved by the Vice Provost of Research and Dean
of Graduate Studies or designee. Students may separate from the University only
once for any reason.
When students are enrolled in classes when they separate from the University, a
grade of "W" is entered for each course. Students who have withdrawn from
classes to separate from the University may be eligible for partial tuition
reimbursement. The date of separation is based on the notification date and cannot
be changed retroactively.
Students in good academic standing can apply to the Associate Dean of their
academic unit for readmission in the following semester. Students on probation
may apply for readmission after two full semesters (fall, spring, or summer).
10.4.2.2.
Administrative Separation from the University
Graduate students who fail to file for a separation with the Office of the Registrar
and leave during a semester in which they have registered will receive failing grades
in classes. Graduate students who leave the University during a semester for which
they are registered or who fail to register for classes as expected without notifying
the Office of the Registrar will be considered as separated.
10.4.2.3.
Involuntary Suspension from the University
The Academic Dean may suspend a student from the University for an interim
period pending disciplinary or criminal proceedings or medical evaluation
regarding behavior relevant to such proceedings. The interim suspension will be
effective immediately without prior notice whenever there is evidence that the
continued presence of the student at the University poses a substantial and
immediate threat to him or herself, to others, or to the stability and continuance of
normal university functions. Interim suspension excludes students from university
premises and other privileges or activities.
Graduate Academic Regulations – Draft Revisions | 37
10.4.3. Interruption of Studies Caused by Emergencies, Hostilities, or War
Students whose work toward a degree is disrupted as a direct result of pandemic,
hostilities, war, or some similar emergency shall be given every possible consideration.
Included in the categories of students affected are those who cannot travel, are called
to active duty, enlist in the armed forces, or are assigned to nonmilitary duties.
Students called to active military duty while enrolled at the University must provide
their academic unit with a copy of their military orders. The orders should confirm the
begin date and the end date of service. This policy is in addition to that described in
the Military Temporary Leave policy elsewhere for events unrelated to hostilities or
war. Students will be advised by their academic unit and instructors on how best to
complete their studies through alternative methods such as online learning and, in
some cases, may be eligible for a refund of tuition.
Students may resume their studies at the University if arrangements are made for their
return within the six months following the end of their forced absence and if their
degree program is still offered by the University. They may continue to work for the
same degrees in which they were enrolled at the interruption of their studies in
accordance with the regulations in effect at the time they left. Students should
communicate with their Graduate Program Director and the Associate Dean of the
academic unit as soon as they know the date of their return.
10.5. Trauma and Bereavement Policy
In the event of a personal tragedy or trauma, students may need to coordinate alternative
arrangements to complete coursework. Students or their authorized representative may
contact the Office of the Associate Dean of the academic unit.
If students believe it is not in their best interest to complete the semester or to return to
campus the next semester, the options exist to take a temporary leave or to separate from
the University.
Graduate Academic Regulations – Draft Revisions | 38
11. Appendix I - Petition for Exception Decision Chart
Section
Topic
Regulation
2.1.1
Minimum requirements for full B.A. from accredited U.S. institution or equivalent
admission
2.1.1
Minimum requirements for full GPA requirements from previous graduate programs for
full admission
admission
2.1.1
Minimum requirements for full Language proficiency for international students
admission
GPA requirement after 9 credits
Provisional admission
2.1.2
Determination/
Frequency
Very rare, VPRDGS
Very rare, Associate
Dean
No exceptions
No exceptions
2.3
Combined bachelor’s/master’s
programs
Admission when applicant has between 75 and 90
completed undergraduate credits
2.3
Combined bachelor’s/master’s
programs
Only one graduate degree can be earned as part of a
combined degree
No exceptions
2.3
Combined bachelor’s/master’s
programs
Requirements for enrollment in the graduate program
(good standing, meets all requirements, all
undergraduate requirements complete)
No exceptions
2.8
3.00 Minimum GPA for
returning students
3.4
Need permission from the academic unit and VPR/DGS
or designee to be admitted to any graduate program or
non-degree status.
Thesis, dissertation credit grades SP = Satisfactory Progress, UP = Unsatisfactory
Progress for 797 and 899 courses
Pass/Fail grades not allowed on courses which can be
taken A/F
No incompletes while on probation
Very rare, Associate
Dean
Very rare, VPRDGS
No exceptions
3.5
Pass/fail grades
No exceptions
3.7
Incompletes
3.7
Incompletes
Incomplete extension beyond following semester/per
extension
3.7
3.8
Incompletes
Independent Studies
Incomplete cannot be dropped once granted
A graduate POS can contain no more than 9
independent study credits.
3.9
Internships
3.9
Internships
Work for the internship cannot be more than 15%
administrative in nature
Average weekly hours
3.10
Repetition of courses
Maximum of 2 attempts. Only two courses in POS may
be repeated
No exceptions
3.12
Satisfactory academic progress
No exceptions
3.12
Satisfactory academic progress
Credit in 2/3 of attempted courses AND meeting the
defined milestones in the POS
Annual review of all thesis and dissertation projects by
their faculty committees for progress is required
Very rare, VPRDGS
Very rare, Associate
Dean
No exceptions
No exceptions,
program can impose
lower limits
No exceptions
Rare, Associate Dean
No exceptions
Graduate Academic Regulations – Draft Revisions | 39
Section
Topic
3.13.1 Academic probation for degree
students
3.13.1 Academic probation and dismissal
for degree students
Regulation
GPA below 3.00 or student obtains credit for less than
2/3 of attempted courses (after 9 credits)
Student will be placed on Academic Probation for 9
additional credits or three semesters (whichever is
shorter). Should it become mathematically impossible to
raise cumulative GPA to 3.00 within the 9 credits from
the onset of probation, the student will be academically
dismissed.
3.13.2 Academic probation and dismissal Student will be placed on Academic Probation for 6
additional credits or two semesters (whichever is
for certificate students
4.1
Graduate assistantship
4.2
Graduate assistantship
5.1
Program of study
5.2
Course levels
5.2
Course levels
5.2
5.4
Course levels
Designation of full-time and parttime status
Continuous Enrollment
5.5
shorter). Should it become mathematically impossible to
raise cumulative GPA to 3.00 within the 6 credits from
the onset of probation, the student will be academically
dismissed.
.5 FTE Assistantships require 600 hours of work
assignments in academic year
Students on assistantship may work more hours
Written POS by end of first or second semester in
program
Differentiation among 500-, 600-700, and 800-level
courses
Undergraduates in 600-level courses
800-level courses limited to doctoral students
Full-time: 9 credits (fall, spring); 4 credits (summer)
Part-time: 5 credits (fall, spring); 2 credits (summer)
Continuous enrollment for one or more graduate credits
(spring, fall) is required until degree completion
5.6
Thesis Submission
Submission is via ETD. Library no longer accepts
submission of paper copies
5.7
Research Assurances
Research assurances must be obtained before start of
research. Students conducting thesis or dissertation
research must complete online RCR training
5.9
Time to Degree
Master’s programs: Six years Doctoral programs: Nine
years
5.9
Time to Degree
Maximum of three one-year extensions for doctoral
students.
Determination/
Frequency
No exceptions
No exceptions
No exceptions
No exceptions
Rare, VPRDGS
Rare, Program
Director
No exceptions
Associate Dean
No exceptions
No exceptions
No exceptions
No exceptions
No exceptions
Extensions approved
by VPRDGS
No exceptions
5.10 Course Time Limit
Courses completed more than 6 years before finishing a Rare, Associate Dean
master’s degree/ certificate and more than 10 years before
finishing a PhD may not fulfill degree requirements.
5.12 Waiving Course Requirements
If a requirement waiver is not specified in the Academic
Catalog, programs are not permitted to waive
requirements or reduce credits required to obtain degree
Students must apply to graduate at the end of the
semester during which they complete all requirements. A
graduate student must have a minimum cumulative GPA
of 3.00 in order to be awarded a degree or certificate.
5.13 Graduations
Rare, VPRDGS
No Exceptions
Graduate Academic Regulations – Draft Revisions | 40
Section
Topic
Regulation
Determination/
Frequency
6.1
Grades
C- or lower not accepted as fulfilling the requirements
of the POS for degree
6.2
Transfers
Need approval from GPD in first semester of program
when POS is determined. Courses cannot be more than
five years old and grades must be a B or higher. Limit for
number of transferred credits is 6.
6.4
Credit Sharing
Credits may be shared among degrees in certain
circumstances
No exceptions
6.5
Residency
Minimum 18 in-residence credits, exclusive of 797 or
899. Dual degree options require 36 credits of inresidence coursework
No exceptions
7.1
Program of study
Written POS agreed upon in first semester
No exceptions
7.2
Minimum number of credits
30 for graduate program
No exceptions
7.3
Capstone experience for Master’s
One thesis, research project, practicum, internship or
other integrative experience is required
No exceptions
7.4
Master’s thesis
No exceptions
7.6
Dual Degree Programs
3 credits 797 required, continue to register for 797 until
thesis is successfully defended. Thesis committee has a
minimum of two members
At least 50% of the courses in the Dual Degree Program
must be taken in residence. The Dual Degree Program
must be listed in the Academic Catalog/approved by
VPR/DGS.
7.6
Dual Degree Programs
Maximum credits that can be shared between the degrees
must follow guidelines specified in regulations.
No exceptions
7.7
Combined Bachelor’s/Master’s
Graduate coursework in the POS may only be substituted
for bachelor’s degree requirements listed as major
requirements in the Academic Catalog.
Rare; VPRDGS
7.7
Combined Bachelor’s/Master’s
Graduate coursework shared with a minor if the minor is
not listed as a major requirement in the Academic
Catalog.
Rare; VPRDGS
7.7
Combined Bachelor’s/Master’s
Only courses with grades of B or higher will be allowed
to be shared if graduate GPA is below 3.00 after
undergraduate degree is completed.
No exceptions
7.7
Combined bachelor’s/master’s
Number of credits shared between bachelor’s and master
degrees as specified in the regulations
No exceptions
12 for certificate program
No exceptions
Written POS agreed upon in first semester
No exceptions
7.8.1 Minimum number of credits for
certificate
8.1
Program of study
8.2
PhD Minimum number of credits Minimum 18 in-residence credits, exclusive of 899
No exceptions
Very rare,
VPRDGS
VPRDGS
No exceptions
Graduate Academic Regulations – Draft Revisions | 41
Section
Topic
Regulation
8.3
Comprehensive exam
Required in POS
8.3
Comprehensive exam
One retake maximum, within six months of the first
attempt
8.4
Dissertation committee
Minimum of 3 core members, 2 of which are full-time
tenure-line AU faculty in program. Chair is tenured,
untenured faculty may be co-chairs.
8.4
External Reader
Reader external to committee in advisory role. Joins
committee at time of defense
8.5
Advancement to candidacy
Advancement occurs following completion of
coursework, completion of comprehensive exam(s) and
successful defense of dissertation proposal
Public presentation and oral defense required
8.6
9.2
9.4
Examination of dissertation
Initial registration
Temporary Leave
Regular registration period to avoid penalty. Routine
consultation with academic advisor recommended
Determination/
Frequency
No exceptions
Very rare, extension
can be approved by
Associate Dean
Rare, VPRDGS
No exceptions
No exceptions
No exceptions
Academic unit
The leave is for a specified period of time after which the Very rare, VPRDGS
student is expected to return to active status. A
temporary leave is initiated by the student in
consultation with the student's academic unit.
A petitioner may have only one appeal to a final decision that is a rejection of a petition:
Final Rejection Decision by:
Academic Advisor
Associate Dean
University official (other than Vice Provost
for Research/Dean of Graduate Studies)
Vice Provost for Research/Dean of Graduate
Studies
Appeal to:
Associate Dean
Dean
Vice Provost for Research/Dean of Graduate
Studies
Provost
Graduate Academic Regulations – Draft Revisions | 42
12. Appendix II - Glossary
Academic Unit: A free-standing school or college or the University Library; the academic
units are the Kogod School of Business, School of Communication, School of Public Affairs,
School of International Service, College of Arts and Sciences, School of Professional and
Extended Studies, the Washington College of Law, and the University Library.
Candidacy: A status for PhD students who have completed all of the courses on their
Program of Study, passed their comprehensive examination or equivalent, and successfully
defended their dissertation proposal.
Combined Bachelor’s/Master’s Degree: A program in which students earn two degrees (a
bachelor’s and a master’s) consecutively and shared credit between the degrees.
Core (Course): A course which is mandatory in a graduate degree program. That is to say,
the graduate degree could not be earned without that course, unless there is an approved
course substitution.
Core Dissertation Committee members: All members of the dissertation committee who
work directly with the PhD student. This does not include the outside reader.
Dismissed (Academic): A status if a student does not meet certain academic expectations in
his or her graduate academic career and may not return for future semesters unless
readmitted. Dismissal is noted on the official transcript. A student must have permission
from VPR/DGS in order to be readmitted to the same or other programs.
Drop (a course): To remove oneself from the roster of a course before the add/drop date.
The temporary enrollment in the course will not appear on the transcript.
Dual Degree Program: A graduate program that allows a student to be enrolled in two
graduate degree programs simultaneously. Students in dual degree programs may share a
prescribed amount of credit between the two degrees.
Jointly Administered Degree: A specified combination of courses, typically from more than
one academic or teaching unit, that combines elements of the various fields of study into
one degree.
Outside Reader: An additional person on a dissertation committee with expertise in the
subject matter and who has no direct association with the student. The outside reader
determines if the dissertation meets general standards in the field and need not necessarily
Graduate Academic Regulations – Draft Revisions | 43
critique the work in detail.
Probation (Academic): A status assigned when a student does not meet certain academic
expectations during his or her graduate academic career. Depending upon the
circumstances, failure to meet future academic goals may result in academic dismissal.
Probation does not appear on the official graduate transcript.
Separation: A loss of active student status with no expected date of return. Students can
separated voluntarily (by their own action) or administratively (by AU’s action). A student
must apply or reapply to return as a student.
Share (Credits): To have credits counted toward more than one degree or program. Grades
associated with the credits would count in the GPA for each degree or program. Credit
may also be shared from courses taken as a non-degree student with a subsequent degree
program.
Substitute (Courses): To use alternative courses, ideally with similar but more advanced
content, to meet course requirements for a degree.
Teaching Unit: A department, school within an academic unit, division, program, institute,
or center.
Transfer (Credits): To allow students to use course credits taken at an institution prior to
their admission into a particular AU graduate program to count toward that AU program.
Transferred courses are not used to calculate the AU cumulative GPA.
Waive (Requirements): To allow students to satisfy degree or programmatic requirements
by means other than what is specified in the Academic Catalog. Programs are not permitted
to waive requirements or reduce the total number of credits required to obtain the degree
by means other than what is specified in the Academic Catalog, unless an exception is
granted by the Vice Provost for Research and Dean of Graduate Studies or designee.
Warning (Academic): A notification to a student, initiated by the Dean or designee,
indicating that the student is not making Satisfactory Academic Progress. Depending upon
the circumstances, failure to address the terms of the academic warning may result in
probation or dismissal. Warnings do not appear on the official transcript.
Withdraw (from a course): To remove oneself from the roster of a course after the add/drop
date. The enrollment in the course will appear on the transcript as a ‘W.’