Middle States Association Commission on Higher Education and the AU Community

AMERICAN UNIVERSITY SELF-STUDY

Prepared for the Middle States Association Commission on Higher Education and the AU Community

December 2003

TABLE OF CONTENTS

Executive Summary...... i Faculty Composition...... 60 Chapter 1: Introduction ...... 1 Roles, Responsibility, Standards, and Hiring Background: A Sketch of American University ...... 1 Procedures for Faculty ...... 63 A Brief History ...... 2 Faculty Support...... 65 The Last 10 Years...... 3 Summary and Recommendations...... 67 About American University’s Self-Study...... 5 Chapter 6: Learning Resources and Campus Life...... 69 Chapter 2: Mission, Goals, and Objectives ...... 9 Overview ...... 69 Introduction ...... 9 Academic Support Services ...... 69 Missions and Strategic Plans in the Last Decade ...... 9 Student Support Services ...... 78 Making the 15-Point Plan a Reality: Institutional Campus Life ...... 81 Planning and Assessment...... 13 Other Campus Services...... 85 Communicating the 15-Point Plan and Its Progress.....15 Assessment of Learning Resources and Campus Life....85 Assessing the Current Implementation of Strategic Recommendations ...... 87 Priorities ...... 15 Chapter 7: Undergraduate Education...... 89 Conclusion...... 19 Student Profile ...... 89 Recommendations ...... 19 Overview of Undergraduate Education ...... 90 Chapter 3: Institutional Resources ...... 21 Enrollment Management and Financial Aid...... 93 Introduction ...... 21 Educational Program and Curriculum ...... 95 Financial Health...... 22 General Education Program...... 95 Budget Process That Supports the University’s Emerging Programs as a Result of Long-Term Mission, Goals, and Strategic Plan...... 24 Planning ...... 97 Operating Efficiency ...... 28 Other Academic Programs ...... 99 Development, Endowment, and Other Outcomes Assessment...... 102 New Revenue Sources...... 29 Conclusion...... 106 Facilities Planning ...... 33 Recommendations ...... 106 Information Resource Needs...... 34 Chapter 8: Graduate and Professional Education...... 109 Short- and Long-Term Technology Resources...... 35 Introduction ...... 109 Information Resources to Support Teaching, Educational Offerings ...... 111 Learning, and Research...... 37 Student Body Profile...... 112 Conclusion...... 38 Efforts to Improve Student Quality...... 116 Recommendations ...... 39 Assessment of Graduate Programs and Learning ...... 120 Chapter 4: Leadership, Governance, and Administration...... 41 Conclusions and Recommendations ...... 127 Introduction ...... 41 Chapter 9: Engagement...... 129 Organizational Structure...... 41 Introduction ...... 129 Board of Trustees ...... 45 Engagement Inside the Classroom ...... 130 Faculty ...... 48 Engagement on Campus Outside the Classroom ...... 131 Students...... 49 Engagement in Service...... 133 Staff ...... 51 Engagement in Experiential Learning ...... 137 Recommendations ...... 53 Engagement with the Global Community ...... 138 Chapter 5: Faculty...... 55 Conclusion...... 143 Faculty Scholarship, Creative Activity, and Recommendations ...... 143 Professional Development...... 55 Chapter 10: Conclusion ...... 145 Faculty Teaching ...... 56 Fulfilling the American University Paradigm...... 145 Faculty Service ...... 58 Recommendations ...... 146 EXECUTIVE SUMMARY EXECUTIVE SUMMARY

n the fall of 1994, immediately following American 1) We will undertake and complete the largest and most IUniversity’s last self-study, a Statement of Common successful fund-raising campaign in AU’s history. . . . Purpose was adopted by the university’s Board of 2) We will become a smaller university. . . . Tr ustees. It states that American University’s 3) The undergraduate experience will become the distinctive feature, unique in higher education, is its central focus of the university. . . . capacity as a national and international university to turn ideas into action and action into service by 4) There will be significantly fewer master’s and doc- emphasizing the arts and sciences, then connecting toral programs but with much higher academic them to the issues of contemporary public affairs quality and support. . . . writ large, notably in the areas of government, com- 5) As a smaller university, we will reduce cost and munication, business, law, and international service. increase operational efficiency. . . .

Since American University’s last decennial review, 6) We will add to our reputation as a Washington- much progress has been made towards realizing our based, global university. . . . mission. Signs of change and growth are everywhere. The financial health of the university is strong, major 7) Faculty teaching, research, and service will have academic and student buildings have been renovated, added meaning and resources. . . . student services have been expanded, student quality 8) The number of adjunct faculty will be reduced has increased, and faculty compensation and quality sharply, with no more than 10 percent of under- have improved. graduate courses taught by adjuncts. . . . The many accomplishments detailed in this report have 9) We will establish a system of differential teaching not come by chance. They are, in part, the result of a and research loads for faculty. . . . concerted strategic planning effort. This effort was noticeable in 1997 with the adoption of a new strategic 10) The academic advising system will be restructured plan. It has been advanced by the university’s latest plan- significantly and will become the single most ning efforts, led by President Benjamin Ladner in 2000. important administrative service to students. . . . In fall 2000, President Ladner initiated a series of 11) We will enhance our profile as a values-based insti- Campus Conversations about the future of the univer- tution, emphasizing long-held university commit- sity. Students, faculty, and staff from across campus dis- ments to such values as human rights and dignity, cussed issues related to enrollment, academic excellence, social justice, environmental protection, diversity, globalism, management, and revenue. As President and individual freedom. . . . Ladner pointed out, the conversations were designed to 12)A new Office of Campus Life will be created, headed answer the question, “Which priorities will enable us to by the current vice president of student services. . . . build a distinctive, high-quality academic community for the long term?” 13) A new model of governance will be created to provide a more flexible, consultative, and efficient sys- The conversations culminated in an address by President tem of decision making. . . . Ladner to the university community on October 3, 2001. In this speech, the president said that to fulfill the para- 14) A new University Enterprise Center will be estab- digm expressed by the Statement of Common Purpose, lished under the direction of the vice president of AU would implement three integrated priorities: finance and treasurer to pursue institutional development through financial opportunities. . . . • the quality of academic inquiry 15) We should take seriously our responsibility to encour- • the quality of student experience age physical fitness throughout our community. . . . • the quality of extensive engagement with American University’s priority is excellent education. Washington and global affairs As President Ladner put it in his October 2001 These priorities are manifested in what has come to be address, “Our primary obligation will always be to pre- known as the 15-point plan. While a more detailed pare a generation of leaders who are broadly educated, description of this plan is discussed in the report, a spiritually deep, passionately engaged, and capable of brief mention of the points is in order: translating in a complex and dangerous environment

Executive Summary i the lasting values of truth, beauty, and goodness, Now that fulfillment of the 15-point plan is well which are the hallmarks of a humane and civilized under way, the challenge is to find ways to prioritize world.” It is this sense of purpose, this mission, that and reevaluate the plan, to move forward with contin- drives American University today. uous, long-term planning, and to overcome any challenges in communicating these issues to the university About the Self-Study Report community. American University’s decennial institution-wide self- Details of this standard are laid out in Chapter 2. study has provided the university a unique opportunity to examine further the extent to which the priorities of Standard 2: Planning, Resource Allocation, and the university are being realized. Given the extensive Institutional Renewal nature of the president’s strategic view for the university Financial planning and proper resource allocations are and the important role that engagement plays in fulfill- an integral part of the implementation process of the ing our mission, American University elected to use the university’s strategic plan. The implementation of a two Comprehensive Self-Study Model with an emphasis on year rather than a one year budget cycle helps to pro- engagement. For purposes of the study, engagement is vide continuity in planning and resource allocation. defined as “The systematic encouragement and implementation of active, deep connections between ele- One important program to assure appropriate plan- ments of the student experience that integrate ning, allocation, and renewal is the staff Performance academic programs and campus life and the larger Management Program. The program is designed to local, national, and international communities.” In stimulate more dynamic goal setting at the university, January 2002, the university established a 20-person ensure alignment of goals, reinforce behaviors that Self-Study Steering Committee consisting of faculty, support the university’s strategic direction, and create staff, and students. Chairing the Steering Committee better communication between administrators and was David Culver, professor of biology. Dr. Culver was staff. The program consists of three distinct phases— appointed to the faculty in 1987 and has served as the planning performance expectations, managing per- chair of the biology department, coordinator of the formance, and assessing results at the end of the Environmental Studies Program, and associate dean for performance cycle. academic affairs in the College of Arts and Sciences. The President, his Cabinet, and the Board of Trustees The goal has been to examine the extent to which have taken the leading role in long range planning and American University is meeting the accreditation stan- institutional renewal. Details of this standard are laid dards as articulated in the Middle States Commission out in chapters 2 and 3. on Higher Education’s Characteristics of Excellence. In Standard 3: Institutional Resources order to optimize the benefits of such an examination, these standards were viewed within the context of our The financial health of the institution has improved. own mission and objectives. The following is a brief The institution received an A rating from Standard summary of the some of the findings of the report, and Poor’s (2002). The endowment grew from under organized by the fourteen standards listed in $40 million in FY1995 to more than $160 million in Characteristics of Excellence in Higher Education. FY2002. The AU budget has gone from $180 million in FY1995 to $310 million in FY2004. Standard 1: Mission, Goals and Objectives The university is proud of making great progress American University is an institution committed to towards improving the level of institutional resources academic excellence. It is grounded in the premise that during the past decade in that it: 1) exercised self- the quality of the student experience and engagement discipline in implementing important financial assess- with the community, nation, and world matters. ment procedures; 2) obtained updated and higher American University’s primary goal for the next cen- credit ratings; 3) achieved operating efficiency while tury is to build a distinctive, global university identi- maximizing technology; 4) became a pioneer in wire- fied by its extraordinary connections to Washington, less technology; 5) provided information resources D.C., and marked by the highest levels of academic effectively to the university to support teaching, learn- excellence and creativity. This sense of purpose is accu- ing and research; and 6) improved academic and stu- rately reflected in the 15-point plan. The 1997 strate- dent life spaces on campus. These achievements, made gic plan and 15 points have guided faculty, with limited resources, are a reflection of sound fiscal administration, staff, governing bodies and students in management and continuous improvement initiatives. making decisions that advance the university’s mission. Planning mechanisms facilitate the advancement of The university is embarking on its most ambitious the 15-point plan and provide administrators, faculty, capital campaign ever, $200 million. The campaign’s and staff opportunities to evaluate candidly institu- priorities are in line with the mission of the university tional effectiveness. and the 15-point plan: ii Executive Summary • Campaign for the arts clearly delineate the governance structure. Students have input in a number of ways and play an integral • University endowments of chairs, professorships role on many committees on campus. and scholarships Working with the administration, the teaching faculty • Academic enhancement of centers and the library has reorganized the system of faculty governance. The • Student life new faculty governance structure is built upon four basic principles: (1) that a democratic and inclusive • Fund for Excellence (unrestricted dollars) faculty governance system that strengthens the ability • Facilities, including School of International Service of the faculty to meets its responsibilities to the insti- and School of Communication buildings tutions and our students is important; (2) that faculty time is valuable, and the demands of our primary • WAMU Public Radio responsibilities for teaching, research and service are There have been substantial improvements to both substantial; (3) that whenever possible, decisions should academic and student life spaces on campus. Major be made at the school, college, and library (i.e. “aca- renovations include the Washington College of Law, demic unit”) or department level by those most affected the Ward Circle Building, the Battelle-Tompkins by them; and (4) that duplication of functions should Building, and the Kogod School of Business Building. be avoided. In 1991, the first floor of the Mary Graydon Center Details of this standard are in Chapter 4. was renovated, and in 2002, the second floor of the center was renovated in order to provide student clubs Standard 5: Administration and organizations and some student services with bet- President Benjamin Ladner has provided leadership ter facilities. As a result of generous gifts, the university and administrative oversight for the university through opened the William I. Jacobs Fitness Center in 1998 many significant actions since being appointed presi- and the Harold and Sylvia Greenberg Theatre in 2003. dent in July 1994. These actions include: leading the The Dr. Cyrus and Myrtle Katzen Arts Center is institution in the development of its mission statement, scheduled to open in spring 2005. the Statement of Common Purpose (1994); the devel- Considerable progress has been made in the area of opment and successful implementation of the strategic technology resources. From 1998 to 2002 more than plan, described in Building a Global University in the 20 separate and largely incompatible administrative Nation’s Capital: American University in the Next information systems were replaced by a single enterprise- Century (1995–2001); the development and organiza- wide system of relational databases. In 1997 American tion of the Campus Conversations (2000–2001); and University was voted one of the 50 most “wired” cam- the development and current implementation of the puses in the country. Today, American University is university’s 15-point plan, described in: Ideas into not only wired but wireless. In 2003, it became one of Action, Action into Service: Fulfilling the American the few institutions that offer wireless access in all University Paradigm (2002–present). Members of the buildings and campus grounds. Since the last self- President’s cabinet are also well qualified and experi- study, numerous on-line services are now available to enced in university administration. The institution’s faculty, students, and staff. commitment to becoming a global university has been strengthened through the creation of a vice presidency Details of this standard are laid out in Chapter 3. of international affairs. Standard 4: Leadership and Governance Details of this standard are in Chapter 4. The legal powers of the institution are vested in the Standard 6: Integrity Board of Trustees. AU seeks to recruit participants to its Board of Trustees who can represent constituent The university takes integrity, in all of its forms, very and public interests and carry out the board’s fiduciary seriously. Examples of integrity permeate the Self-Study responsibilities. The official screening criteria for Report. For example, the academic integrity code for potential trustees favor nominees who understand the students is discussed in chapter 7, rules governing conflict of interest of trustees in chapter 4, disability sup- university; are willing to promote its interests; possess port services, judicial affairs, and grievance procedures local, national, or international influence; are willing are discussed in chapter 6. The university works very to make significant financial contributions to the uni- hard to maintain and nurture a climate of respect and versity and assist in its fund-raising activities; have diversity on campus in the faculty, students, and staff. proven leadership ability; and are able to attend and be These efforts take several forms, including hiring initia- involved regularly in board and university activities. tives for minority faculty and staff, recruitment of The constituencies making up American University underrepresented groups of students, and student sup- play an important role in university governance. The port services that include the Office for Multicultural university has written governing documents that Affairs and Disability Support Services.

Executive Summary iii Standard 7: Institutional Assessment meet its goal to further improve the academic quality and national reputation of its graduate programs, the At American University assessment is not something report recommends that the university reexamine the separate and apart from what we do. It is so engrained ways in which graduate financial aid is both budgeted in how we plan and manage that it is integrated into and administered. almost every office and department. Details of this standard can be found in chapters 7 and 8. Assessment takes place at all levels of the institution. With the Performance Management Program (PMP), Standard 9: Student Support Services staff members create written plans that state goals and At AU a broad range of resources and services support ways to assess progress towards goals. The PMP students in their academic endeavors and in their per- process has helped to give staff members a sense of how those goals contribute to the overall mission of sonal lives. These programs contribute to the univer- the department, division, and university. In many sity’s ethos of engagement as they help students cases, the process has resulted in shifts in priorities, as develop the knowledge, skills, and self-assuredness to staff members move away from activities that once become global citizens. seemed important to activities that most directly ben- Academic support services include library instruction efit the institution as a whole. and services, the services of the registrar, professional Assessment happens at the department and division academic advisors across the disciplines, alumni serv- level as well. Chapter 2 discusses how units set goals ices, career counselors, and specialized centers offering based on university priorities and how progress is doc- individualized support for study, writing, language, umented in annual reports. The ways in which assess- and quantitative skill development. ment results are used by units can be seen throughout Student support services that meet the needs of all stu- the Self-Study Report. In Chapter 3, for example, the dents include programs such as counseling, health care library’s collection assessment project is discussed. and education, and judicial services. AU also offers a Chapter 6, Learning Resources and Campus Life, rich array of programs that meet the needs of specific reviews how academic advising, the Health Center, the populations. Through consultation and outreach, Office of the Registrar, the Career Center and others these programs educate the campus community about assess their units. It provides examples of how assess- health and wellness issues, behavioral norms and ment has been used to improve services. expectations, and the richness and diversity that char- Institutional assessment is discussed throughout the acterizes community life at American University. report. Chapter 2 highlights many of the assessment Student life encompasses a broad array of services and mechanisms used by the university. Chapter 3 dis- programs that affect the quality of the overall student cusses the assessment procedures in place to ensure experience. These include orientation programs, which that AU has the resources it needs to fulfill its mission. welcome new members of the community; housing Chapter 4 reviews assessment of the Board of Trustees, and dining programs, which meet both basic and Chapter 5 discusses assessment of faculty, and chapters developmental needs; leadership and personal growth 7 and 8 discuss assessment of learning outcomes. experiences offered through the University Center, Standard 8: Student Admissions Student Activities, and the Kay Spiritual Life Center; and much more. American University has become an increasingly selective university, based upon lower undergraduate Details of this standard can be found in Chapter 6. admissions rates and rising high school GPAs. Standard 10: Faculty Entering SAT scores have remained near the 1200 composite mark (allowing for the re-centering of SAT The faculty of American University are skilled and tal- scores in fall 1996), reaching 1226 in 2003. ented teachers and scholars. They interact closely with Significantly, AU’s average SAT profile has been from their students both inside the classroom and outside of 19 to 26 percent higher than the national average. it. They produce scholarship and creative works that Admissions policies have enabled the institution to advance their fields. They engage in service that advance its goals of attracting high quality students to enhances both the university and their disciplines. The the institution. In 1994 the acceptance rate of under- faculty’s diverse passions, talents, and efforts are at the graduate students was 77 percent and the average GPA heart of the collective quest that is AU’s mission. was 3.21. In fall 2003, the admit rate was 59.8 percent The quality of faculty and support for faculty have and the average high school GPA was 3.40. Success is improved. The percentage of faculty with the highest seen, in part, by AU’s one-year retention rate (86%) degree in their field has increased from 91.8 percent in and six-year graduation rate (71%). 1994 to 96.2 percent in 2002. Standards for appoint- At the graduate level, entering qualifications of stu- ment and promotion have been raised. The salaries of dents have also improved. As the university strives to all full-time faculty have improved, based on the iv Executive Summary American Association of University Professors (AAUP) well as from non-Western cultural traditions; informa- standards. Full professors reached AAUP 1 status for tion literacy skills; oral communication skills; and a the first time in fall 2000 and associate professors global perspective. reached AAUP 1 in 2002. AU’s general education program has been a model Details of this standard can be found in Chapter 5 and nationally for such programs. The AU model was one Chapter 9. of the first in the country to embed overarching values and learning objectives in its courses. The program has Standard 11: Educational Offerings been actively engaged in self-assessment since its The richness, rigor, and range of educational offerings inception, and that assessment process has led to a at AU are remarkable. Significant progress has been number of improvements, even prior to the compre- made in fulfilling the mission of academic excellence. hensive review of AY2000-2001. The overall quality of academic programs—both Details of this standard can be found in Chapter 7. undergraduate and graduate—has improved. The university was awarded a Phi Beta Kappa chapter in Standard 13: Related Educational Activities August 1994. A report by the 2002 National Survey of Experiential Learning Student Engagement compares American University with others in its Carnegie classification and gives AU American University students seek integration of their first-year students the highest score for “active and col- academic curriculum with professional experience, a laborative learning” and “enriching educational experi- reality borne out by the large numbers who avail them- ences.” Some of AU’s graduate programs are ranked selves of internship opportunities. Full-time faculty among the best in the country. members from all units oversee these internships. Internship assessment includes performance evalua- A thorough review of a number of academic programs tion by employer and faculty alike, journal records, has been completed, including extensive reviews of the portfolio records, and research papers and reports. General Education Program (2000–2001), the Both the academic units and the Career Center’s University Honors Program (2000–2001), master’s internship program office administer these internship programs (1997–2000 and 2002–2003), and doctoral opportunities. AU students have internships in an programs (1994–1998 and 2002–2003). This resulted extraordinary array of public, private, and not-for- in significant improvements to the General Education profit settings in the District of Columbia and around and University Honors Programs and the elimination the world. of several master’s and doctoral programs. The Washington College of Law also boasts an exten- Support for AU’s educational programs is evident in a sive and well-organized Supervised Externship number of ways. For example, the library materials Program, in which students work as volunteers in a budget has doubled over the past 10 years, enabling variety of legal workplaces in Washington, DC and the library to make significant improvements to its elsewhere, receiving course credit for both their field- electronic holdings and increasing the total number of work and their participation in a special seminar that volumes to 777,000 in FY2003. provides an opportunity for reflection on the lawyer- Details related to academic programs and the aca- ing experience. demic experience can be found in chapters 7, 8, and 9. Study Abroad Details related to supporting resources can be found in Chapter 3. In order to “build a distinctive, global university” as stated in the strategic plan, AU offers numerous study Standard 12: General Education abroad opportunities. For more than 20 years, AU has All undergraduate students at AU must complete the administered study abroad programs primarily university’s General Education requirements. The uni- through the World Capitals Program, founded in versity launched this program in fall semester 1989 1982. In August 2003, President Ladner announced and comprehensively reviewed it during AY2000- that the study abroad program would be reorganized 2001. Overarching principles and institutional values and managed in the future by the Office of International Affairs under the direction of vice presi- drive the program. In addition to specific learning dent Robert Pastor. The president also announced that objectives articulated in the program’s five curricular a new office, AU Abroad, would oversee all university- areas, the program as a whole develops some funda- wide study abroad programs. mental ideals and skills. These include writing; critical thinking; recognizing ethical issues pertinent to the In every study abroad site, faculty selection and affili- field or discipline; quantitative and computing skills; ation meet the same standard of high quality as intuitive, creative and aesthetic faculties; awareness of American University’s Washington, D.C. campus. a variety of perspectives, including those perspectives When AU has affiliations abroad and students directly that emerge from new scholarship, race and class as enroll in foreign institutions, AU facilitates the process

Executive Summary v and ensures that institutions meet local standards of Departmental assessment of learning outcomes at AU is accreditation and high standards of quality. All pro- not new. Many programs have had comprehensive grams and courses abroad undergo evaluation every strategies for assessing how well students acquire the semester to ensure that they meet the expected aca- skills and knowledge expected of them in the major. A demic rigor and effectiveness to educate global citizens. survey of assessment activities, conducted as part of the university’s Periodic Review Report, found that “virtually On March 17, 2003, President Ladner established a all academic units are involved in some form of out- project team to transform into reality point 6 of the 15 comes assessment, though these may not be recognized point plan, specifying that AU will “become the pre- as such.” The latest efforts to track and communicate mier global university in the United States.” The learning objectives have provided academic departments team’s recommendations include: with the opportunity to clarify mission statements, doc- • encourage all AU undergraduates to avail themselves ument success, and identify areas for improvement. of an international experience that could include an The university’s schools and colleges continue to par- array of programs; and ticipate in the reaccreditation processes of their respec- • expand the World Capitals Program, with addi- tive professional organizations, with the most recent tional sites and greater integration of study at these reaccreditation, the Kogod School of Business, having sites with the locality. occurred in 2003. These recommendations are now in the process of Details of this standard can be found in chapters 7 and 8. being implemented. Overall Recommendations Details of this standard can be found in chapters 7 While the overall health of the university is strong, the and 9. self-study has provided the institution with an oppor- Standard 14: Assessment of Student Learning tunity to explore ways in which its mission can be more fully realized. Each chapter in the Self-Study AU’s learning outcomes plan focuses on the program Report offers recommendations. In the years to follow, level. While assessment plans are reviewed by the three main challenges for American University exist: deans and provost, the “ownership” of the plans rests with the departments themselves. The program is 1) To make improvements to the overall student expe- designed to assist departments in self-reflection, analy- rience while at the same time preserving the many sis of goals, and program improvement. Institutional facets of the current curriculum that make support is provided by the Office of Institutional American University such an excellent institution Research and Assessment, the Center for Teaching 2) To lessen our dependence on tuition and generate Excellence, and a newly formed Learning Outcomes new sources of revenue and Assessment Project Team. This project team is made up of peers who are charged with facilitating the 3) To improve the channels of communication and learning outcomes project. A complete review and provide even more opportunities for input into the revision of the university’s survey assessment tools was decision-making and planning processes of the completed in 1997. institution

vi Executive Summary

INTRODUCTION CHAPTER1 INTRODUCTION

BACKGROUND: A SKETCH OF AMERICAN departments offer bachelor’s degrees and most UNIVERSITY offer master’s degrees. Doctoral degrees are offered in the Departments of Anthropology, Economics, Academic Profile History, and Psychology. The college is headed by merican University is a private doctoral institu- Dean Kay Mussell, professor of literature, and A tion located in a residential neighborhood of includes 212 full-time teaching faculty. Washington, D.C. Total fall 2003 enrollment was • School of Public Affairs (SPA). The School of 11,709: 8,683 full-time students and 3,026 part-time Public Affairs was founded as a department in 1934 students. Of the 11,709 students, 5,626 were degree- and established as a school in 1957. It has three seeking undergraduates, 3,507 were degree-seeking departments: Government; Justice, Law and graduate students, 1,593 were law students, 452 were Society; and Public Administration. It offers bache- nondegree or certificate students (less than 5 percent of lor’s, master’s, and doctoral degrees. Its programs the total), and 531 were fall 2003 visiting students in have received recognition by U.S. News and World the Washington Semester and AU Abroad programs. Report and others as one of the top 12 such schools The university offers 56 bachelor’s degrees, 49 nonlaw in the country. In addition, it is known for its series master’s degrees, 8 doctoral degrees, and 4 law degrees. of nondegree offerings in such topics as campaign There are more than 20 programs (mostly graduate) management, women and politics, and lobbying. leading to certificates. Courses are offered on a semes- The school is headed by Dean William LeoGrande, ter basis. In addition to the 15-week fall and spring professor of government, and is home to 51 full- semesters, the university offers several summer terms, time teaching faculty. primarily 6 or 7 weeks in length. • Washington College of Law (WCL). The American University students are drawn from across Washington College of Law was founded independ- the country and the world. Students come from all 50 ently in 1896 as a coeducational institution, offering states and 140 countries. Although AU is located in one of the few opportunities for women to study Washington, D.C., less than 18 percent of full-time law. The college became a professional division of undergraduate students come from D.C., Maryland, American University in 1949. Ranked by U.S. News or Virginia. Seven percent of the undergraduate popu- and World Report as one of the top 55 law schools in lation and almost 14 percent of the graduate population the nation, the college offers a juris doctor degree, a are international students. master of laws degree, and a doctor of juridical science degree. It is headed by Dean Claudio The university’s mission is carried out by 476 full-time Grossman, professor of law, and has 58 full-time teaching faculty, 19 administrative faculty, 83 faculty teaching faculty. In 2002, WCL was reaccredited by serving in other capacities (such as librarians and the American Bar Association (ABA). research faculty) or on leave, and 1,143 full-time staff. More than 96 percent of full-time faculty have the • Kogod School of Business (KSB). Founded in highest degree in their field. In addition, American 1955, the school of business is home to the depart- University takes pride in its 475 adjunct faculty, who ments of accounting, finance and real estate, infor- include policy makers, diplomats, journalists, artists, mation technology, international business, writers, scientists, and business leaders. management, and marketing. KSB is recognized by Business Week, U.S News and World Report, and The American University is organized into six major Wall Street Journal Guide to the Top Business Schools in schools and colleges: their rankings of top business programs. For exam- • The College of Arts and Sciences (CAS). ple, the 2004 Wall Street Journal/Harris Interactive Founded in 1925, the College of Arts and Sciences survey report of the top 50 MBA programs in the is the largest school or college at the university. It country ranked AU 42nd. The school offers under- is home to the Departments of Anthropology; Art; graduate degrees, master of science degrees, and a Biology; Chemistry; Computer Science, Audio master of business administration degree. The col- Technology and Physics; Economics; Health and lege is under the leadership of Dean Myron Fitness; History; Language and Foreign Studies; Roomkin, professor of management, and includes Literature; Mathematics and Statistics; Performing 56 full-time teaching faculty. In 2003, the school’s Arts; Philosophy and Religion; Psychology; and accreditation was reaffirmed by the Association to Sociology, and the School of Education. All Advance Collegiate Schools of Business (AACSB).

Introduction 1 • School of International Service (SIS). Founded in addition, faculty, staff, and students participate in vari- 1957, the School of International Service is the ous levels of governance through appropriate university- largest school of international affairs in the country. wide, college-specific, or student representative bodies, It offers undergraduate degrees in international committees, councils, and project teams. studies and in language and area studies, a wide vari- Buildings and Facilities ety of master’s degrees, and a doctoral degree in international relations. Students in SIS study a American University’s 88.5-acre campus consists of the broad range of fields, including international com- main campus at 4400 Massachusetts Avenue, the munication, international development, interna- Tenley satellite campus (home to the Washington tional economics, U.S. foreign policy, peace and Semester Program) and the Washington College of conflict resolution, global environmental policy, and Law. The university has 50 buildings, including 10 res- ethics and peace. The school is led by Dean Louis idence halls (housing approximately 3,800 students) Goodman, professor of international relations, and and 40 academic and administrative buildings. In includes 51 full-time teaching faculty. addition to these buildings, a new arts center is currently under construction. The university has several •School of Communication (SOC). The School of administrative buildings located in close proximity to Communication is the newest school or college in the university: 4000 Brandywine Street, 3201 New the university, founded in 1976 and separated from Mexico Avenue, and 4200 Wisconsin Avenue. CAS in 1993. It offers bachelor’s and master’s degrees in fields such as journalism, public commu- A BRIEF HISTORY nication, visual media, communication studies, and American University was chartered by an Act of film and electronic media. Under the leadership of Congress in 1893 and was founded as a graduate insti- Dean Larry Kirkman, professor of communication, tution under the auspices of the United Methodist the school has 33 full-time teaching faculty. Church. The institution was the vision of Methodist In addition to the six major schools, the Washington Bishop John Fletcher Hurst, who recognized the Semester Program, headed by Dean David Brown, importance of establishing an institution to train and plays a vital role at the institution. Every semester, support public servants. For the institution to succeed, approximately 400 students from around the country however, it needed more than a vision—it needed and the world visit the institution to take classes and money. Bishop Hurst worked to gain financial backing to participate in the internship opportunities offered for the institution. In 1902, the cornerstone of the in Washington, D.C. More than 200 colleges and uni- McKinley Building was laid by President Theodore versities are affiliated with the program. A wide variety Roosevelt. After more than two decades devoted to of topics is studied: American politics, economic pol- securing the funding necessary to hire teachers and icy, justice, international business and trade, interna- hold classes, the university finally admitted its first tional environment and development, and museum class of 28 graduate students (including 4 women) in studies and the arts. Under the leadership of Dr. 1914. From its inception, the institution had close ties Robert Pastor, vice president of International Affairs, to Washington, D.C., and our nation’s government. the AU Abroad Program offers students the opportu- President Woodrow Wilson officially dedicated the nity to study in major capital cities and other areas university on May 27, 1914. The first class graduated abroad and gain full AU course credit. In 2002–2003, in 1916. In addition to hosting classes, during World 484 AU and non-AU students took advantage of this War I the campus was used by the War Department opportunity at such sites as Brussels, Buenos Aires, for training and chemical testing. Beijing, Berlin, Rome, Prague, Southern Africa, Paris, By 1925, the first undergraduate students were admitted. London, Santiago, Madrid, and Sydney. Seventy-five students enrolled and, like the graduate pro- University Governance grams, undergraduate programs were geared towards preparing students for a life of public service. While ini- The legal powers of the university are vested in the tially enrollment grew, the university had a difficult time Board of Trustees. Executive and administrative author- retaining students during the Great Depression. ities are given to the chief executive officer, President Benjamin Ladner. The university administration By the 1940s, the institution had recovered and enroll- includes Provost Cornelius M. Kerwin as the chief aca- ment jumped back to nearly 1,000 students. Once demic officer and Donald L. Myers as the chief financial again, the nation’s War Department used the campus officer and vice president of finance and treasurer; for training and research. In addition to a tremendous Albert R. Checcio, vice president of development; Gail growth in the number of buildings on campus, the Short Hanson, vice president of campus life; Cheryl university changed programmatically as well. The Storie, acting vice president of enrollment services; Washington Semester Program was established in Robert Pastor, vice president of international affairs; and 1947 and the Washington College of Law merged Mary E. Kennard, vice president and general counsel. In with the university in 1949.

2Introduction The 1950s and 1960s solidified many of the institu- turn ideas into action and action into service by tion’s essential educational missions. Three depart- emphasizing the arts and sciences, then connecting ments were reorganized as schools: the School of them to the issues of contemporary public affairs writ Business Administration, subsequently named the large, notably in the areas of government, communi- Robert P. and Arlene R. Kogod School of Business; the cation, business, law, and international service. School of Government and Public Administration, Since American University’s last decennial review, now the School of Public Affairs; and the School of much progress has been made towards realizing our International Service. AU also experimented with pro- mission. Signs of change and growth are everywhere. viding a broader range of education and training. In The financial health of the university is strong, major 1965, it established both a College of Continuing academic and student buildings have been renovated, Education and a School of Nursing. Both of these pro- student services have been expanded, student quality grams were eventually discontinued. has increased, and faculty compensation and quality By the 1970s, AU had matured to the point where it have improved. had a solid sense of its mission and purpose. The 1970 Over the last 10 years, much has been accomplished. mission statement emphasized that “American For example: University should realize its potential by resourceful utilization of Washington’s three major dimensions: • The university has a highly qualified and experienced the National, the International, and the Urban. The administrative team. President Benjamin Ladner University should bring its energies to bear on each of arrived at the university shortly after our decennial these dimensions of Washington’s identity.” In addi- accreditation review in 1994 and has provided stabil- tion to emphasizing the institution’s important ties to ity to that office. The institution’s commitment to the Washington, D.C., area, the mission statement becoming a global university has been strengthened also stressed the importance of combining “theory through the creation of a vice president of interna- with practice, observation with participation.” tional affairs. While the 1980s began with a period of financial dif- • The quality of faculty and support for faculty have ficulty for the institution, the decade was also a period improved. The percentage of faculty with the highest of renewed commitment to making American degree in their field has increased from 91.8 percent University an institution of academic excellence. This in 1994 to 96.2 percent in 2002. Standards for commitment was symbolized by the opening of the appointment and promotion have been raised. The new library building in 1979. Academic quality, salaries of all full-time faculty have improved, based admissions standards, and reputation rose. It was a on the American Association of University Professors period of unprecedented strategic planning geared (AAUP) standards. Full professors reached AAUP 1 towards putting the values of the 1970s mission state- status for the first time in fall 2000 and associate pro- ment into focus. In 1980, a master planning docu- fessors reached AAUP 1 in 2002. ment, AU85, set specific goals geared towards •Improvements have been made in the area of enroll- improving academic quality and fiscal responsibility. ment management. The quality of students has As American University approached its last self-study, it improved. In 1994 the acceptance rate of under- was in a period of change and renewal. Academically, graduate students was 77 percent and the average the institution was never stronger. The quality of its GPA was 3.21. In fall 2003, the admit rate was 59.8 students, faculty, and staff continued to improve. percent and the average high school GPA was 3.40. However, the university had had three presidents in the •Significant progress has been made in fulfilling the years just before the last self-study, and leadership was in mission of academic excellence. The overall quality of a state of flux. Thus, the last Self-Study Report recognized academic programs—both undergraduate and gradu- the need for a number of important steps to be taken, ate—has improved. The university was awarded a Phi including the stabilization of leadership, the refinement Beta Kappa chapter in August 1994. A report by the of the institution’s mission statement, the development 2002 National Survey of Student Engagement com- and implementation of a strategic plan, and the pares American University with others in its Carnegie improvement of its fiscal health. classification and gives AU first-year students the highest score for “active and collaborative learning” THE LAST 10 YEARS and “enriching educational experiences.” In the fall of 1994, immediately following American •A thorough review of a number of academic pro- University’s last self-study, a Statement of Common grams has been completed, including extensive Purpose was adopted by the university’s Board of reviews of the General Education Program Tr ustees. It states that American University’s (2000–2001), the University Honors Program distinctive feature, unique in higher education, is its (2000–2001), master’s programs (1997–2000 and capacity as a national and international university to 2002–2003), and doctoral programs (1994–1998

Introduction 3 and 2002–2003). This resulted in significant • The number and variety of student services have improvements to the General Education and improved, and the delivery of services has been bet- University Honors Programs and the elimination of ter coordinated and consolidated in order to provide several master’s and doctoral programs. a more seamless experience for students. • Assessment has become more regularized. A com- These accomplishments have not come by chance. plete review and revision of the university’s survey They are, in part, the result of a concerted strategic assessment tools was completed in 1997. The uni- planning effort. This effort was noticeable in 1997 versity’s schools and colleges continue to participate with the adoption of a new strategic plan. It has been in the reaccreditation processes of their respective advanced by the university’s latest planning efforts, led professional organizations, with the most recent by the president in 2000. reaccreditation, the Kogod School of Business, hav- In fall 2000, President Ladner initiated a series ing occurred earlier this year. A performance man- of Campus Conversations about the future of the uni- agement system incorporating goals and assessment versity. Students, faculty, and staff from across campus of goals was established in 2000. A program to bet- discussed issues related to enrollment, academic excel- ter articulate and assess learning objectives was lence, globalism, management, and revenue. As established in 2002. President Ladner pointed out, the conversations were • There have been substantial improvements to both designed to answer the question, “Which priorities academic and student life spaces on campus. Major will enable us to build a distinctive, high-quality renovations include the Washington College of Law, academic community for the long term?” the Ward Circle Building, the Battelle-Tompkins The conversations culminated in an address by Building, and the Kogod School of Business President Ladner to the university community on Building. In 1995, the first floor of the Mary October 3, 2001. In this speech, the president said Graydon Center was renovated, and in 2002, the that to fulfill the paradigm expressed by the Statement second floor of the center was renovated in order to of Common Purpose, AU would implement three provide student clubs and organizations and some integrated priorities: student services with better facilities. As a result of generous gifts, the university opened the William I • the quality of academic inquiry Jacobs Fitness Center in 1998 and the Harold and • the quality of student experience Sylvia Greenberg Theatre in 2003. The Dr. Cyrus and Myrtle Katzen Arts Center is scheduled to open • the quality of extensive engagement with Washington in spring 2005. and global affairs • Considerable progress has been made in the area of These priorities are manifested in what has come to be technology. From 1998 to 2002 more than 20 sepa- known as the 15-point plan. While a more detailed rate and largely incompatible administrative informa- description of this plan is discussed in the next chap- tion systems were replaced by a single enterprise-wide ter, a brief mention of the points is in order: system of relational databases. In 1997 American 1) We will undertake and complete the largest and most University was voted one of the 50 most “wired” cam- successful fund-raising campaign in AU’s history. . . . puses in the country. Today, American University is not only wired but wireless. In 2003, it became one 2) We will become a smaller university. . . . of the few institutions that offer wireless access in all 3) The undergraduate experience will become the central buildings and campus grounds. Since the last self- focus of the university. . . . study, numerous on-line services are now available to faculty, students, and staff. 4) There will be significantly fewer master’s and doctoral programs but with much higher academic quality • The library materials budget has doubled over the and support. . . . past 10 years, enabling the library to make significant improvements to its electronic holdings and 5) As a smaller university, we will reduce cost and increasing the total number of volumes to 777,000 increase operational efficiency. . . . in FY2003. 6) We will add to our reputation as a Washington- • The financial health of the institution has improved. based, global university. . . . The institution received an A rating from Standard 7) Faculty teaching, research, and service will have and Poor’s (2002). The endowment grew from added meaning and resources. . . . under $40 million in FY1995 to more than $160 million in FY2002. The AU budget has gone from 8) The number of adjunct faculty will be reduced $180 million in FY1995 to $310 million in sharply, with no more than 10 percent of under- FY2004. graduate courses taught by adjuncts. . . .

4Introduction 9) We will establish a system of differential teaching In January 2002, the university established a 20-person and research loads for faculty. . . . Self-Study Steering Committee consisting of faculty, staff, and students. Chairing the Steering Committee 10) The academic advising system will be restructured was David Culver, professor of biology. Dr. Culver significantly and will become the single most was appointed to the faculty in 1987 and has served as important administrative service to students. . . . the chair of the biology department, coordinator of 11) We will enhance our profile as a values-based insti- the Environmental Studies Program, and associate tution, emphasizing long-held university commit- dean for academic affairs in the College of Arts and ments to such values as human rights and dignity, Sciences. Also leading the effort was Karen Froslid social justice, environmental protection, diversity, Jones, director, Office of Institutional Research and and individual freedom. . . . Assessment. Other members of the committee were: 12) A new Office of Campus Life will be created, headed Anthony Ahrens, Associate Professor of Psychology, by the current vice president of student services. . . . College of Arts and Sciences (CAS) 13) A new model of governance will be created to pro- Nana An, Executive Director, Budget and Payroll vide a more flexible, consultative, and efficient sys- Megan Arzberger, Undergraduate Student tem of decision making. . . . Representative (service through May 2003) 14) A new University Enterprise Center will be estab- Robert L. Ayres, Assistant Vice President of lished under the direction of the vice president of International Affairs, Office of International Affairs finance and treasurer to pursue institutional devel- (service beginning summer 2003) opment through financial opportunities. . . . Robert A. Blecker, Professor of Economics, CAS 15) We should take seriously our responsibility to encour- David Carrera, Senior Director, Office of age physical fitness throughout our community. . . . Development American University’s priority is excellent education. Michele Carter, Associate Professor of Psychology, CAS As President Ladner put it in his October 2001 Barbara Diggs-Brown, Associate Professor of address, “Our primary obligation will always be to pre- Communication, School of Communication (SOC) pare a generation of leaders who are broadly educated, Frank L. DuBois, Associate Professor of International spiritually deep, passionately engaged, and capable of Business, Kogod School of Business (KSB) translating in a complex and dangerous environment Greg Gadren, Graduate Student Representative the lasting values of truth, beauty, and goodness, (service through spring 2002) which are the hallmarks of a humane and civilized world.” It is this sense of purpose, this mission, that Mark Huey, Assistant to the President, Office of the drives American University today. President Faith C. Leonard, Assistant Vice President and Dean ABOUT AMERICAN UNIVERSITY’S of Students, Office of Campus Life SELF-STUDY Nanette S. Levinson, Associate Professor of American University’s decennial institution-wide self- International Relations and Associate Dean, School study has provided the university a unique opportunity of International Service (SIS) to examine further the extent to which the priorities of Anthony Macri, Graduate Student Representative the university are being realized. Given the extensive (service beginning spring 2002) nature of the president’s strategic view for the university and the important role that engagement plays in fulfill- Haig L. Mardirosian, Professor of Music, CAS; ing our mission, American University elected to use the Associate Dean of Academic Affairs; and Director of Comprehensive Self-Study Model with an emphasis on the General Education Program engagement. For purposes of the study, engagement is Howard E. McCurdy, Professor of Public defined as “The systematic encouragement and imple- Administration, School of Public Affairs (SPA) mentation of active, deep connections between ele- Andrew D. Pike, Associate Dean of Academic ments of the student experience that integrate Affairs, Washington College of Law (WCL) academic programs and campus life and the larger Cheryl Storie, Acting Vice President of local, national, and international communities.” The Enrollment Services goal has been to examine the extent to which American University is meeting the accreditation standards as Patricia Wand, University Librarian articulated in the Middle States Commission on Angela Wu, Professor of Computer Science, CAS Higher Education’s Characteristics of Excellence. In order to optimize the benefits of such an examination, In order to ensure broad participation by the university these standards were viewed within the context of our community, the following task forces were developed own mission and objectives. to address each of the major chapters in the Self-Study

Introduction 5 Report. Each task force is chaired by members of the Jorge Abud, Assistant Vice President of Facilities and Steering Committee. The task forces and their mem- Administration bers are as follows: Christine Chin, Assistant Professor, SIS Mission, Goals, and Objectives Task Force Vi Ettle, Assistant Provost The Steering Committee served as the task force that Janice Flug, Librarian, University Library reviewed and examined the university’s mission, goals, Phil Jacoby, Associate Professor, KSB and objectives. Since its last decennial accreditation, Robert Keith, Director of e-administration American University has made great advances in its Kathleen Kennedy-Corey, Associate Dean of Budget strategic planning. The most significant initiatives include the university’s 1997 strategic plan, the Administration, CAS 2000–2001 campus-wide conversations about the future Mike Kern, Undergraduate Student Representative direction of the university, and President Ladner’s 15- Catherine (Liz) Kirby, Director of the Office of point vision for the university, first outlined in his Sponsored Programs October 3, 2001, address to the community entitled Linda McHugh, Senior Editor, Alumni Periodicals “Ideas into Action, Action into Service.” The task force was charged with reviewing the success of the university’s Carl Whitman, Executive Director of e-operations strategic planning efforts and reviewing the 15-point plan Leadership, Governance, and Administration adopted by the Board of Trustees in November 2001. Task Force In addition to a close examination of the mission, The Leadership, Governance, and Administration Task goals, and objectives, this task force was responsible for Force examined the extent to which the university’s leader- assessing the university’s planning activities and the ship, governance structure, and administrative organization ways in which its goals are implemented and evaluated. support and advance the institution’s mission. The task The Characteristics of Excellence states that, “An effec- force had primary responsibility for Standards 4 and 5 from tive institution is one in which growth, development the Characteristics of Excellence. The task force was cochaired and change are the result of a thoughtful and rational by Mark Huey, assistant to the president, and Howard process of self-examination and planning, and where McCurdy, professor and chair of the public administration such a process is an inherent part of ongoing activities.” department, SPA. Other task force members were: (Characteristics, p. 4) This task force reviewed the many ways in which the mission, goals, and objectives are Todd Levett, Undergraduate Student Representative linked to, and reinforced by, the overall planning activ- Beth Muha, Executive Director of Human Resources ities of the institution. Included in this chapter is a dis- Kay Mussell, Professor of Literature and Dean of the cussion of the university’s performance management College of Arts and Sciences system, which is designed specifically to link individual Jill Olmsted, Associate Professor, SOC, and former and unit performance with the university’s goals and Chair of the University Senate objectives. The task force had primary responsibility for Standards 1 and 2 of the Characteristics of Excellence. Melissa Ramsepaul, Staff Assistant, e-operations, and Chair of the Staff Council Institutional Resources Task Force Catherine Schaeff, Associate Professor of Biology The fulfillment of a university’s mission is possible A. W. (Pete) Smith, Chair of the Board of Trustee’s only with the proper resources. American University is Campus Life Committee a private institution heavily dependent on tuition revenue. The financial soundness of the university and Faculty Task Force the efficacy of the means by which revenue is budgeted Faculty are central to American University’s mission. A are critical to the well-being of the institution. This large portion of the 15-point plan addresses issues task force examined the university’s financial health, directly related to faculty, including faculty composi- including the degree to which new revenue resources tion, research, teaching, and service. The Faculty Task have been generated. In addition, this task force was Force had primary responsibility for Standard 10 of the charged with assessing the university’s facilities and its Characteristics of Excellence. It was cochaired by information, technological, and alumni resources. Anthony Ahrens, associate professor of psychology, While the Institutional Resources Task Force covered a CAS, and Angela Wu, professor of computer science, broad range of issues, it had primary responsibility for CAS. Other task force members were: Standard 3 of the Characteristics. The task force was Robin Beads, Research Analyst, Office of chaired by Nana An, executive director of Budget and Institutional Research and Assessment Payroll; David Culver, self-study chair and professor of biology, CAS; and David Carrera, senior director, Barlow Burke, Professor, Washington College of Law Office of Development. Other task force members were: John Doolittle, Associate Professor, SOC

6Introduction Gary Ford, Professor of Marketing, KSB undergraduates. The task force was cochaired by Tom Husted, Professor of Economics, CAS Frank DuBois, associate professor of international business, KSB, and Haig Mardirosian, director of the Robert Jernigan, Professor of Mathematics and General Education Program and associate dean of aca- Statistics, CAS demic affairs. Other members were: Jim Lynch, Professor of Justice, Law and Society, SPA Sharon Alston, Director of Admissions Mary Mintz, Associate Librarian, University Library Amy Morrill Bijeau, Associate Director of the Mohammed Abu-Nimer, Associate Professor, SIS World Capitals Program Marianne Noble, Associate Professor of Literature, CAS W. Joseph Campbell, Associate Professor, SOC Charles Pibel, Associate Professor of Chemistry, CAS Michelle Egan, Assistant Professor, SIS Scott Schlessinger, Adjunct Lecturer, Information Technology, KSB Lynn Fox, Associate Professor of Education, CAS Shammara Henderson, Undergraduate Student Learning Resources and Campus Life Task Force Representative As Standard 9 of the Characteristics states, “Within the Robert Johnson, Professor of Justice, Law and scope of the institutional mission, student services can Society, SPA reinforce and extend the college’s influence beyond the Larry Medsker, Professor of Physics, CAS classroom. These services promote the comprehensive development of the student, and they become an inte- Merry Mendelson, Assistant Dean of Student gral part of the educational process, helping to Services, SOC strengthen learning outcomes.” The Learning Virginia (Lyn) Stallings, Associate Professor of Resources and Campus Life Task Force examined the Mathematics and Statistics, CAS range of services available to American University Graduate and Professional Education Task Force undergraduate and graduate students and the degree to which services are meeting student needs. It had pri- As with the Undergraduate Education Task Force, the mary responsibility for Standard 9 of the Characteristics Graduate and Professional Education Task Force of Excellence. The task force was cochaired by Faith examined the degree to which the university is fulfill- Leonard, dean of students, and Pat Wand, university ing its goal of academic excellence in graduate and librarian. Other task force members were: professional education. The task force was cochaired by Robert Blecker, professor of economics, CAS, and Athena Argyropoulos, Associate Director of Andrew Pike, professor and associate dean, WCL. Athletics Other task force members were: Megan Arzberger, Undergraduate Student Representative Deborah Brautigan, Associate Professor, SIS Melissa Becher, Assistant Librarian, University Library Wendell Cochran, Associate Professor, SOC Joseph Eldridge, University Chaplain Gina Dennis, Law Student Representative Michael Elmore, Senior Director of Student Anita Dubey, Research Analyst, Institutional Activities Research and Assessment Kurt Gunderson, Academic Advisor Brian Forst, Professor of Justice, Law and Society, Anthony Macri, Graduate Student Representative SPA John Richardson, Professor, SIS, and Director, Laura Langbein, Professor of Public Center for Teaching Excellence Administration, SPA Katharine Stahl, Executive Director, Career Center David Pike, Associate Professor of Literature, CAS Tracey Vranich, Senior Director, Annual Campaigns Anthony Riley, Professor of Psychology, CAS and Alumni Programs August Schomberg, Director of Graduate Julie Weber, Executive Director, Residential Life and Programs, KSB Housing Program Jenna Young, Graduate Student Representative Undergraduate Education Task Force Engagement Task Force In looking at the undergraduate enrollment manage- American University has a distinctive culture of ment, curriculum, and programs, this task force was engagement stemming from the university’s mission, charged with examining the degree to which the history, location, leadership, and aspirations. This university is fulfilling its goal of academic excellence. engagement involves a range of actors, offices, and This task force covered Standards 8, 11, 12, 13, and activities, including faculty and student engagement 14 of the Characteristics of Excellence as they relate to with Washington as an international capital city and

Introduction 7 university-wide engagement with global issues. The with each task force to ensure that all data and assess- task force, for the first time, defined engagement and ment information were available as needed. Several assessed the culture of engagement at American special assessment projects were designed and analyzed University. Its work provided an opportunity for a specifically for the task forces’ work. For example, the summative look at engagement, bringing together Faculty Task Force surveyed all full-time faculty and strands from the work of other task forces, plus find- the Engagement Task Force conducted a university- ings from its own research. The task force was wide inventory of engagement. By spring 2003, draft cochaired by Barbara Diggs-Brown, associate profes- reports were written by the task forces and submitted sor of communication, SOC; Nanette Levinson, asso- to the Steering Committee for review and revision. ciate professor of international relations and associate The Steering Committee met regularly throughout the dean, SIS; and Cheryl Storie, acting vice president of 2002–2003 academic year and a draft report was com- enrollment services. Other task force members were: pleted by the summer of 2003. A draft report was circulated during the month of September 2003, and a Francine Blume, Director of Experiential Education, number of university-wide and constituent-specific Career Center discussions took place across campus to gather feed- Peter Jaszi, Professor of Law, WCL back. Following discussion of the feedback during Christian Maisch, Assistant Professor, Washington early October, the Steering Committee submitted the Semester Program and SIS revised self-study to President Ladner for his approval. Karen O’Connor, Professor of Government, SPA In early November, he submitted the report to the Board of Trustees for its approval. Those interested in Anne Perry, Associate Professor of International seeing supporting documentation or learning more Business, KSB about the Middle States Self-Study process may visit Naima Prevots, Professor of Performing Arts, CAS the university’s Middle States Web site, . SPA, and former Director, World Capitals Program Kathy Schwartz, Director, Academic Support Center Paula Warrick, Director of the Office of Merit Awards, Career Center Wesley Williams, Undergraduate Student Representative Self-Study Process The task forces spent the 2002–2003 academic year gathering and reviewing information pertinent to their charges. In addition to important documents being available at the university’s Middle States Web site, a document room was established and the Office of Institutional Research and Assessment worked closely

8Introduction

MISSION, GOALS, AND OBJECTIVES CHAPTER2 MISSON, GOALS, AND OBJECTIVES

INTRODUCTION mission statement to replace the previous one, approved in 1970. It also recommended that the university com- merican University has always had a strong sense plete a new long-range plan. With his inauguration as of purpose. While this sense of purpose has A president in 1994 following several years of temporary evolved and grown over time, it has always remained and short-term leadership at AU, Dr. Benjamin Ladner grounded in: 1) a recognition of how the university’s instituted a planning process to produce a mission state- location in the nation’s capital fosters the intellectual ment and a strategic plan. He immediately established a growth of our community, and 2) an unwavering com- process of soliciting ideas on the mission of the univer- mitment to the quality of academic inquiry. The self- sity from the entire university community. After a series study provides the university with the opportunity to of formal and informal meetings with faculty, staff, stu- reflect upon the ways in which the university has artic- dents, alumni, and trustees, he drafted a mission state- ulated its mission and developed plans to accomplish it. ment entitled Statement of Common Purpose and This chapter reviews the progress and promise of circulated it throughout the university for review. This American University’s mission, goals, and objectives. It document was widely discussed and commented on by documents the processes used to develop the institution’s the university community. For example, schools and strategic plans and reviews the degree to which goals and colleges used the venue of departmental and chair meet- objectives are consistent with its mission. It examines the ings to solicit feedback on the statement. On the basis ways in which ongoing planning and resource allocation of the responses, alterations were made and a new draft are used to further the institution’s goals, and it reviews was submitted to the University Senate, which endorsed the institution’s assessment activities. Finally, the chapter the revised statement. The president then submitted it concludes with an analysis of the degree to which the to the Board of Trustees, who approved it in fall 1994. current strategic plan—and ultimately American (See Supporting Document 2.1) University’s mission—is being realized. The first paragraph of the statement lays out the new MISSIONS AND STRATEGIC PLANS IN THE vision for the university: LAST DECADE The place of American University among major uni- At the time of its last self-study, American University versities with first-rate faculties and academic pro- had much work to do in the area of strategic planning. grams grounded in the arts and sciences is secured by Its 1987 plan, AU100, had just expired. The university its enduring commitment to uncompromising qual- was still operating under a 1970 mission statement, ity in the education of its students. But its distinctive which said: feature, unique in higher education, is its capacity as a national and international university to turn ideas The American University should realize its potential into action and action into service by emphasizing by resourceful utilization of each of Washington’s the arts and sciences, then connecting them to the three major dimensions: the National, the issues of contemporary public affairs writ large, International, and the Urban. The University should notably in the areas of government, communication, bring its energies to bear on each of these dimen- business, law, and international service. sions of Washington’s identity. The statement sets five primary commitments: This mission statement was reinforced by AU100: •interdisciplinary inquiry transcending traditional Since its founding, The American University has boundaries among academic disciplines and between aspired to one overarching goal: a great national uni- administrative units versity, located in the nation’s capital, enriched by the city’s incomparable resources, and welcoming • international understanding reflected in curriculum talented and dedicated students and faculty from offerings, faculty research, study abroad and intern- throughout the United States and around the world. ship programs, student and faculty representation, and the regular presence of world leaders on campus The 1997 Strategic Plan • interactive teaching providing personalized educational The concepts behind the 1970 mission statement and experiences for students, in and out of the classroom AU100, while accurately reflecting much of who we were as an institution, were in need of review and revi- •research and creative endeavors consistent with its sion. The 1993–94 steering committee listed as one of distinctive mission, generating new knowledge its primary recommendations the development of a new beneficial to society Mission, Goals, and Objectives 9 • practical application of knowledge through experien- 1997, the second draft of the strategic plan was distrib- tial learning, taking full advantage of the resources of uted to campus for comment. The new draft incorpo- the Washington, D.C., metropolitan area. rated many of the changes suggested by the AU community, following the extensive public discussion The Statement of Common Purpose signaled the start of the first draft during the fall semester. Comments on of a new and continuous planning process for the uni- the second draft were also accepted via the dedicated versity. On October 3, 1995, President Ladner e-mailbox and campus mail through January 31, 1997. announced the appointment of a 17-member University Planning Committee (with four additional Following the final round of community comment, support staff). The committee was charged with chart- the plan was revised by the University Planning ing the university’s future direction, establishing broad Committee, submitted to the president, and sent to goals, setting priorities, and identifying realistic objec- the Board of Trustees for its final review. On February tives for the institution to accomplish over the next 28, 1997, the Board of Trustees adopted Building a two to five years. The work of the committee was to be Global University in the Nation’s Capital: American grounded in the Statement of Common Purpose and University in the Next Century as AU’s new strategic was to be developed through broad consultation with plan. (See Supporting Document 2.2) the AU community. The strategic plan established 79 goals, organized The committee was chaired by the president and under six main areas: included faculty, staff, students, and members of the 1) the quality and support of teaching and scholarship President’s Cabinet, selected on the basis of their experience, expertise, and their roles in the campus com- 2) the academic qualifications and practical experiences munity. The committee was asked to think boldly and of students imaginatively in designing a plan based upon choices 3) the quality, diversity, and inclusiveness of the univer- and actions that stem from agreement about the kind sity community of university AU could and should become. The committee focus was on the long-range strategic direction 4) the connections among academic fields and variety (five to 10 years), as well as on goals and objectives of learning approaches that could be accomplished sooner. 5) the level of staff support and efficiency of operations

Committee members worked both as a single group 6) the strength of financial resources and quality of and in small teams, collectively shaping the university’s facilities strategic direction while identifying goals and objectives. Eight broad areas of campus life were identified In early 1998, the Strategic Oversight Committee was as a fundamental framework for the effort and sub- created to oversee the implementation of the strategic committees were established on those areas: academic plan. The committee was appointed by the president programs, campus culture, development and fund and had university-wide representation from faculty, raising, diversity, enrollment services, facilities man- students, and staff to review and report on the plan’s agement and space planning, financial and budget implementation. As stated in the strategic plan, the management, and information technology. The teams committee was charged with the responsibility to “sub- consulted extensively with the relevant standing commit regular reports and recommendations to the pres- mittees of the campus, with knowledgeable individu- ident and to the university community.” als, and with other concerned constituencies. Each The committee began with regular meetings, and the team was responsible for producing an initial draft, provost and each vice president made presentations to which was submitted to the University Planning the committee assessing the plan’s progress under the Committee for review. basic areas by which the plan was organized—student The committee prepared its first strategic plan draft services; enrollment services and marketing; academic and distributed it to campus the week of September programs; facilities and finance; and development, 16, 1996, for reaction, comment, and constructive alumni, and diversity. suggestions. A dedicated e-mailbox was created to A committee report was submitted to President assist in collecting campus comments, which also Ladner in May 1998 and was shared with the provost came through letters, memos, phone calls, faxes, for- and vice presidents for evaluation and discussion. The mal meetings, and informal conversation. The first provost and vice presidents responded to the report draft was also distributed to the Board of Trustees for and incorporated suggestions as appropriate. discussion at its fall meeting in November 1996. Oversight of the strategic plan became the primary Various campus constituencies—including undergrad- responsibility of the President’s Cabinet, and ulti- uate students, graduate and professional students, fac- mately, the Board of Trustees. To assist with the ulty, staff, interest groups, and individuals—were process of evaluation and implementation, specific offered the opportunity to comment. On January 13, benchmarks and goals were set and a database was cre-

10 Mission, Goals, and Objectives ated to enable the President’s Cabinet to track progress conversations, members of the cabinet reported back and document successful completion of goals and to a larger forum the findings of the smaller group dis- objectives. These benchmarks used a wide variety of cussions. A question-and-answer period, often quite data—both quantitative and qualitative—to assess the spirited, followed the reports. In addition to partici- plan’s progress. The clarity of the plan and the speci- pating in the formal discussions and conversations, ficity of the ways in which goals were assessed provided individuals and groups were encouraged to respond in the institution with an excellent means of tracking writing. progress towards fulfilling its mission. For example, the discussions on global issues were After the approval of the strategic plan, the Board of designed to extend the statement in the strategic plan Tr ustees became even more actively engaged in guid- about building a global university. Members of the AU ing long-range and strategic planning. At roughly the community were asked to reflect upon such questions as: midpoint of the first strategic plan (September 17, 1999), President Ladner worked with the board in •What academic priorities should we add or change assessing its overall progress, determining what had to ensure that we are preparing global citizens? been accomplished as well as what needed to be mod- •Should foreign language study be required of all AU ified. As part of the continuous planning process, students? emphasis shifted away from monitoring Building a Global University and efforts were redirected towards These questions and others were discussed by such the next strategic planning endeavor. groups as the Provost’s Council, the University Senate, Admissions, the Office of Finance and Treasurer, and Moving Forward: Developing a New Strategic Plan Student Services. Supporting documents and assess- At the following board meeting, (November 12, 1999), ment results were used to inform discussions. In addi- the president posed new strategic questions, provided tion to formal reports and informal discussions, updated information, and created a discussion docu- members of the university community were encour- ment for the board to begin conceptualizing the next aged to submit individual views via a special e-mail strategic planning endeavor. At the February 25, 2000, address set up for this purpose. Editorials about global meeting, this concept took tangible form with a more issues were submitted by faculty and staff to the lengthy discussion document of data, issues, and chal- American Weekly. Ultimately, all reports were available lenges as well as the substantial progress made in achiev- on a special Campus Conservations Web site. ing the goals of the first strategic plan. This led to a draft The Board of Trustees was informed of the Campus outline, “American University’s Goals for 2020,” with Conversations as they took place on campus throughout the topics academics, enrollment, student services, the academic year 2000–2001 and received written finances, and development. It served as the basis for reports reflecting the issues and discussions, which board discussion and response at the May 2000 board became the focus of board meetings during this same retreat. Also, the provost and vice presidents prepared a period. document, “Key Issues,” reflecting special subjects for discussion in their areas. President Ladner led a discussion at the Board of Tr ustees retreat on May 18, 2001, that updated the The next phase of strategic planning began publicly board and involved them in the development of the with a “Conversation with President Ladner on the strategic planning document. He presented a sum- Future of American University” on May 3, 2000, and mary document of the Campus Conversations and included a follow-up memo to the campus community posed questions regarding the institution’s future on June 30, 2000. This laid the groundwork for a direction. The ensuing discussion helped the president series of campus discussions and open forums, called clarify issues and formulate tangible ideas for the plan Campus Conversations. Initiated by Dr. Ladner, the that eventually was crystallized and outlined in the series focused on four topics: president’s address to the campus on Oct. 3, 2001. • global issues The 15-Point Plan • enrollment issues In his address “Ideas into Action, Action into Service: • management and revenue issues Fulfilling the American University Paradigm,” Dr. Ladner set out his vision for the university in a 15- • academic issues point plan. (See Supporting Document 2.4) This plan Each conversation was kicked off with a university- is the primary strategic document for the university. wide forum led by the president. To facilitate the dis- The 15 points are as follows: cussion a series of questions were posed to guide and 1. We will undertake and complete the largest and most sharpen the discussion. These questions were then dis- successful fund-raising campaign in AU’s history. . . . cussed more deeply by units, departments, and organizations across campus. After the second round of 2. We will become a smaller university. . . .

Mission, Goals, and Objectives 11 3. The undergraduate experience will become the cen- among faculty and staff. The community reflected on tral focus of the university. . . . the ways in which the plan was an extension of the 1997 strategic plan, the ways in which it communi- 4. There will be significantly fewer master’s and doc- cated a shift in direction or purpose, and the degree to toral programs but with much higher academic which it reflected the earlier Campus Conversations. quality and support. . . . In many ways, President Ladner’s vision for the univer- 5. As a smaller university, we will reduce costs and sity reflected an extension of the 1997 plan. Faculty increase operational efficiency . . . . quality, an important component of the 1997 strategic 6. We will add to our reputation as a Washington- plan, continues to be central to the mission of the uni- based, global university. . . . versity and is reflected in points 7–9 of the new plan. Overall academic quality and an emphasis on efforts to 7. Faculty teaching, research, and service will have improve the quality of the academic experience drive added meaning and resources. . . . both plans, as do some of the more specific goals, such 8. The number of adjunct faculty will be reduced as efforts to improve academic advising. While the sharply, with no more than 10 percent of under- new plan suggests that we become a “smaller univer- graduate courses taught by adjuncts. . . . sity” (point 2) by aiming for enrollment of a freshmen class in the “low 1200s” over the next three years, the 9. We will establish a system of differential teaching 1997 plan called for a similar “cap” of 1,200. Efforts to and research loads for faculty. . . . improve student services, strengthen financial 10. The academic advising system will be restructured resources, and improve operational efficiency play an significantly and will become the single most important part in both plans. important administrative service to students. . . . In a few ways the plans differ. While point 11 states 11. We will enhance our profile as a values-based institu- that “we will enhance our profile as a values-based insti- tion, emphasizing long-held university commitments tution,” issues of diversity are not emphasized to the to such values as human rights and dignity, social jus- same degree as in the 1997 plan. Plans for new build- tice, environmental protection, diversity, and indi- ings, renovations, and infrastructure are not central to vidual freedom. . . . the new plan. Improvements to technology are also less central. In many ways, this shift reflects the fact that 12. A new Office of Campus Life will be created, headed the university has made progress in these areas. by the current vice president of student services. . . . Several points in the president’s plan reflect change in 13. A new model of governance will be created to pro- the university’s emphasis. vide a more flexible, consultative, and efficient system of decision making. . . . Many see point 3, “the undergraduate experience will become the central focus of the university” coupled 14. A new University Enterprise Center will be estab- with point 4, “there will be significantly fewer master’s lished under the direction of the vice president of and doctoral programs but with much higher aca- finance and treasurer to pursue institutional devel- demic quality” as a change in the nature of the institu- opment through financial opportunities. . . . tion. The change in university governance (point 13), 15. We should take seriously our responsibility to encour- while an extension of the president’s interest in operat- age physical fitness throughout our community. . . . ing efficiency, is also seen as an element quite different from anything seen in previous strategic plans. Finally, The plan was presented and discussed at the November the proposed establishment of a University Enterprise 16, 2001, Board of Trustees meeting. The University Center is a major enhancement of the university’s Senate offered a formal written response to the plan and fund-raising efforts. It moves the university beyond campus representatives (of the University Senate, Staff traditional fund-raising appeals and campaigns. Council, Graduate Student Association, Student Confederation, and Student Bar Association) were asked The president’s 15-point plan also reflects some questions regarding the plan’s effects on their constituen- changes in the nature of the strategic planning process. cies. Following a lengthy discussion, the board voted In contrast to the 1997 plan, the primary opportunities unanimously to approve the president’s plan, Ideas into for input on the president’s 15 points came in the early Action, Action into Service, with a statement of support. development stages of the plan, in open meetings and through formal and informal governing bodies. While Campus Reaction to the Plan this allowed for maximum input from the university The announcement of the 15-point plan generated community and opened new channels for discussion, much discussion about the direction of the institution. no formal opportunity for revisions of the 15-point The plan was discussed in several venues, including a plan occurred. In an interview with the American forum held by the University Senate, meetings held by Weekly before the announcement of the plan, President student governing bodies, and informal discussions Ladner was asked about the degree to which faculty,

12 Mission, Goals, and Objectives staff, and students would be involved in the continuing of the President’s Cabinet, which sets priorities for the planning process. He said, “There does come a point at coming year and communicates these to the divisions. which my role is to make fundamental decisions. I will These priorities—which take the form of specific goals make some of those decisions; other areas will need fur- for the upcoming year—are then used by the various ther review and consultation . . . It is a matter of mak- units at their retreats as they assess progress and set ing some of the hard decisions that I’m supposed to their own goals. Unlike some institutions, whose make as president. I’m ready to make those decisions, model depends on a separate and formal planning and I think that I’ve gotten as much consultation and committee, American University’s planning model is participation and advice and perspective and ideas as based on the premise that planning, assessment, and one could possibly get in a community this size over a implementation are shared responsibilities that work period of a year.” best when they are led by the president and the President’s Cabinet and involve the campus as a whole. Overall, the initial response to the plan was both enthusiasm and concern. Those parts of the plan that The departments, divisions, and university all have involved enhancement of the university’s financial specific goals that are assessed using a wide variety of position (points 1, 5, and 14) and those points that assessment measures. Throughout the year, these goals involved increases in quality (points 6–11) were met are tracked in a number of ways. Two important com- with widespread approval. Points 12 and 15 evoked ponents of the planning and assessment process are little negative comment. Most of the concern, espe- performance management and academic unit plan- cially among faculty, involved change in governance ning and assessment: and the triad of points (2–4) involving becoming a Performance Management Program smaller university with an undergraduate focus and fewer but higher-quality graduate programs. The staff Performance Management Program (PMP) is designed to stimulate more dynamic goal setting at MAKING THE 15-POINT PLAN A REALITY: the university, ensure alignment of goals, reinforce INSTITUTIONAL PLANNING AND behaviors that support the university’s strategic direc- ASSESSMENT tion, and create better communication between Planning administrators and staff. The program provides a framework under which all university administrators As the university was developing its strategic plan it and staff are reviewed for effectiveness. implemented a new process for ensuring effective institutional planning and assessment. The new plan was The program consists of three distinct phases—planning designed to retain the many positive aspects of the 1997 performance expectations, managing performance, and planning process while at the same time creating ways to appraising results at the end of the performance cycle. make planning permeate the entire institution. The Each summer, after a unit sets its goals, staff members planning mechanism used to implement the 1997 plan and managers are asked to identify ways for each staff was effective in that it set very specific benchmarks for member to best contribute to the attainment of the measuring progress towards goals. It was clear which department goals, which then support the division goals were being met and which ones had yet to be goals, which in turn support the university goals. achieved. This gave the President’s Cabinet and the Assessment measures are agreed upon and standards for Board of Trustees important information that was used evaluating assessment results are set. Throughout the in decision making. The university wanted to implement year, management and staff can meet to discuss progress a planning process that linked individual, department, towards goals and to make revisions to goals, as neces- and unit planning and assessment directly to the institu- sary. A year-in-review discussion is conducted, provid- tion’s strategic plan. It wanted a plan that would enable ing an opportunity for managers and staff to look at the one to communicate, track and assess progress towards past year and use actual results to plan for the next year. realizing the mission down to the individual level. These individual assessment results are used to inform department, division, and university assessment. The The institution’s planning process involves the entire cycle begins again as units assess the degree to which university. It begins in the summer when units across goals were attained and plan for how goals can be better the university—schools, colleges, departments, and realized, or priorities changed, in the upcoming year. other major units—are required to write annual reports on the progress made towards their goals and The process has become widely used in just a short the contributions made toward advancing the 15- period of time. At the end of the academic year point plan. At the same time that these reports are 2001–2002, the university conducted a survey to assess written, a series of planning retreats take place. The the degree to which the program was used in the univer- President’s Cabinet, Provost’s Council, vice presidents’ sity departments. Data revealed that 91 percent of survey divisions, and others set aside concentrated periods of respondents learned of their department goals during the time to assess progress, review priorities, and plan for prior performance period, and 82 percent met with their the coming year. Important to this process is the role manager to identify performance expectations.

Mission, Goals, and Objectives 13 The PMP process has helped to give staff members a While a complete inventory of all institutional assess- sense of their own goals and how those goals contribute ment resources would be beyond the scope of this to the overall mission of the department, division, and chapter, a few examples may illustrate the type of university. In many cases, the process has resulted in information available: shifts in priorities, as staff members move away from •Institutional Data on Enrollment, Admissions, activities that once seemed important to activities that Finances and More. In 1999, American University most directly benefit the institution as a whole. implemented a new data management system and Academic Unit Planning and Assessment with it a new and more sophisticated data warehouse. The warehouse, discussed in length in the While faculty members do not participate in the chapter on institutional resources (Chapter 3), pro- Performance Management Program, they play an inte- vides decision makers across campus with a wide gral role in goal implementation. Each summer, deans range of data and reports that are used to track unit work with the provost to set goals for the academic units and university goals. The university also has an insti- of the university. These goals are communicated through tutional research and assessment office dedicated to discussions between deans and faculty and through the providing a wide range of regular reports for use by faculty governance system. The Faculty Senate provides the campus community. It publishes a fact book a forum in which the provost communicates academic (the Academic Data Reference Book) and prepares goals and receives feedback and guidance as to how goals special reports and analyses as needed. can best be achieved. In 2002–3003, the Faculty Senate aligned its goals with the provost’s goals and worked on • The American University Survey Research a number of different projects that made direct contribu- Program. American University collects a wide range tions to advancing the 15-point plan. of information in addition to that stored in its regular data management system. For example, the uni- An important part of academic planning and assess- versity has an extensive survey research program ment is vested in the processes used to assess learning designed to assess student, faculty, and staff experi- outcomes and to assess faculty teaching, research, and ences. These experiences are measured using a num- service. These activities are discussed more extensively ber of survey instruments, including the UCLA in the chapters on undergraduate education (Chapter Freshmen Census, the National Survey of Student 7), graduate education (Chapter 8), and the faculty Engagement (NSSE), the Libqual Survey on library (Chapter 5). services, undergraduate and graduate Campus The planning process has proven to be successful for Climate Surveys, student evaluations of teaching, a several reasons: 1) Individual and unit goals are tied graduation census, alumni surveys, and faculty and directly to the university’s strategic plan, which has staff surveys on satisfaction with services. In addi- resulted in a sense of common purpose; 2) the strategic tion, individual offices use point-of-service surveys plan reflects key aspects of the Statement of Common to better understand the needs of their constituents. Purpose; and 3) the plan advances much of the work • Benchmark Data. American University collects a already achieved as a result of the 1997 plan, thereby vast array of benchmark information that enables the providing a sense of continuity. institution to make comparisons with other institu- Assessment Resources tions. For example, the Office of Enrollment Services regularly tracks key admissions indicators from com- Just as American University embodies a culture that petitor institutions. The Office of Institutional encourages continuous improvement, it is also an Research and Assessment participates in a number of institution that views assessment as a critical compo- studies sponsored by such organizations as the nent of planning and institutional renewal. What is so Institute of International Education, the Council of impressive is the degree to which assessment activity Graduate Schools, the National Science Foundation, permeates every aspect of the institution. As the fol- and the American Association of University lowing chapters will show, a wide variety of assessment Professors. The institution is also a member of the measures—both quantitative and qualitative—are Higher Education Data Sharing Consortium used to better understand the effectiveness of facilities (HEDS), an organization of 140 institutions. Other planning, financial planning, student services, gover- benchmark data, such as that provided by the nance, academic programs, and more. Assessment Integrated Postsecondary Education Data System results are used on a regular basis and have resulted in (IPEDS) peer analysis tool, are also available. important institutional improvement. (See Supporting Facilities Planning Document 2.6) While critical support and data are provided by the Office of Institutional Research and Facilities planning efforts include a broad multiyear Assessment, it is not the only source of assessment infor- Campus Plan and annual consideration of individual mation. The university community is encouraged to find facilities improvement projects as part of the budget innovative ways to establish its own assessment measures. process. The Campus Plan is updated every 10 years as

14 Mission, Goals, and Objectives required by District of Columbia zoning requirements. 1997 Strategic Plan Facility needs of individual schools, colleges and service While a more detailed review of the specific goals and units are combined with the university’s campus-wide accomplishments of the 1997 strategic plan is available facility goals to create a plan to address needs coher- on a university Web site , a few details of the accomplish- orated in the Institutional Resources chapter. ments in the five main areas are as follows: COMMUNICATING THE 15-POINT PLAN Quality and Support of Teaching and Scholarship AND ITS PROGRESS Much success has come in both the recruitment of high- Knowledge about the 15-point plan is widespread. quality faculty and the research and scholarship that fac- The goals of the institution are communicated every- ulty produce. Searches for faculty positions are now where, in formal bodies, such as the Provost’s Council authorized six months earlier and major revisions to the and the Faculty Senate, and in informal discussions Faculty Manual on the criteria for appointment have among faculty and staff. Oftentimes, you need only been completed. A junior faculty course release program mention the point number in a conversation and oth- was adopted. Higher standards for teaching, scholar- ers will know to what you are referring. The primary ship, and service have been developed and continue to reason for this knowledge is not just that the points are be major factors in determining faculty promotions, communicated in newspapers and memos; it is support, and rewards. As a result, the credentials of because it is the basis for so many of the changes that newly hired and promoted faculty members are better have taken place across campus since 2001. than ever. Annual reports of newly hired and promoted While progress on many of the points is obvious, faculty indicate high-quality scholarship and research. progress on the overall plan is less widely known. Support for the library is also an important compo- Oftentimes, staff and faculty have a great deal of nent of the 1997 strategic plan’s success. During the knowledge about the goals in which they are involved plan’s implementation period, the collection grew but less knowledge about the degree to which goals from 672,000 volumes in FY1997 to 732,000 in outside their sphere of influence are being met, despite FY2000. Licensed access to databases more than the fact that there are several ways in which informa- tripled, from 20 databases in FY1997 to 77 as of tion about the plan is communicated. A 15-point plan January 2001. Major improvements to the interlibrary Web site has been developed that gives a brief status loan process were also implemented. report on each point. University goals are posted on each point. University goals are posted on Eagledata, Academic Qualifications and Practical Experiences the university’s data Web site. In 2002–2003, the of Students provost and each of the vice presidents gave talks about The goal to cap the size of the freshmen class was not their respective units and the ways in which they con- met, due to larger than expected conversion rates. tribute to the 15-point plan. The President’s Council However, the overall quality of the freshmen class held two forums in 2002–2003 in which they updated improved throughout the 1997 strategic plan imple- the community about their units and provided an mentation. In fall 1998 the honors program reached opportunity for people to ask questions. Progress is also its goal of 15 percent of the entering class. reported in the campus newspaper, the American Weekly. In keeping with efforts to improve opportunities for While reports on each of the 15 points exist, there is no experiential education, an Experiential Learning Council formal mechanism for reporting on the degree to which was formed in September 1997. As a result of its efforts, points have been completed and the ways in which the revisions to academic regulations were effective fall 1999. points are being prioritized over the long-term. While the current planning model has many advantages, it Some goals, such as a suggestion to increase foreign lacks a separate body overseeing the progress of the plan. language proficiency, led to no substantial action. The This has created a sense that there are few easily accessi- General Education Review Committee considered ble venues in which to discuss overarching goals and including a language proficiency requirement but objectives. The university would benefit from an annual rejected this proposal. Students continue to arrive with report or address to the campus community about the substantial language training. status of the plan. The community may also benefit Quality, Diversity, and Inclusiveness of the from having access to the annual reports of units. University Community ASSESSING THE CURRENT IMPLEMENTATION Several efforts to make the university more diverse have OF STRATEGIC PRIORITIES been successful. The Center for Teaching Excellence now Ultimately, many of the improvements to the university offers assistance in how to address issues of diversity in in the last five years can be tied to the 1997 strategic courses and the General Education Committee regularly plan and to the more recent 15 points. reviews course offerings to determine if they meet content

Mission, Goals, and Objectives 15 requirements with regard to race, class, and gender. New goal already in hand. As a result of major gifts, the new Student Orientation now conducts peer discussions Greenberg Theatre opened in January 2003 and con- about diversity. Programming resources have increased struction for the new Katzen Arts Center began in for the office of Multicultural Affairs and a new full-time spring 2003. Despite a sluggish economy, 17 percent of staff member was added to the Gay, Lesbian, Bisexual, alumni gave to AU in 2002–2003, up from 14 percent Transgender and Ally Resource Center. In conjunction in 2001–2002 and 10.5 percent in 2000–2001. with the university theme, the American Mosaic series Point 2 presented important diversity issues. In fall 2003, 1,237 new full-time freshmen enrolled, a Improvements have also been made to alumni and reduction from the fall 2002 entering class of 1,303. external relations. American magazine has been The overall quality of each freshmen class continues to redesigned and is now mailed internationally. The con- improve. The cumulative SAT score for the entering tent of alumni events has been reviewed and revised. class of fall 2003 was 1226, compared to 1214 in fall Level of Staff Support and Efficiency of 2002 and 1210 in fall 2001. In fall 2003, the admit Operations rate dropped to 59.8 percent the lowest in recent history. The percentage of admitted students in the top A number of important improvements have been 10 percent of their high school class has risen from made to staff support. EEO and compliance policies 31.5 percent in fall 2000 to 36.3 percent in fall 2003. and procedures, including those on sexual and racial harassment, have been completely rewritten and sim- The total number of full-time transfers was 334 in plified. Sexual harassment training for all staff was fall 2003, compared to 435 in fall 2002. The under- conducted and the training of new employees is on- graduate GPA of incoming transfer students has going. Supervisory and nonsupervisory training is now remained fairly stable, 3.17 in 2003 as compared to conducted on the Performance Management Program 3.19 in fall 2002. and customer service training is given in some units. Point 3 Staff compensation was redesigned, and as of September 2001, AU staff salaries were confirmed to A broad-based project team, convened by the provost be at market median, in aggregate, compared with our and the vice president of campus life and composed of peer group of colleges, universities, and other employ- faculty, staff, and students, has been working through- ers in the Washington, D.C., area. out the 2002–2003 academic year on designing a University College—an innovative and distinctive Strength of Financial Resources and Quality experience for first- and second-year students. The of Facilities University College will tie more closely together exist- Important progress was made in strengthening financial ing strengths of the undergraduate program, enhance reserves. The goal of an endowment of $150 million was the sense of community, and better enable students to met a year early, with an endowment of $150,587,207 as pursue their intellectual journeys in connection to of September 30, 2001. While the goal of a 25 percent Washington and the world. The team has articulated alumni participation rate was not met, the percentage of specific and assessable objectives, benchmarked pro- alumni giving improved substantially. grams from around the country, and conceptualized fundamental components for a working model. In Although target dates for building renovations were not order to ensure the best possible design and to engage always met, the university saw substantial improve- the university community in its development, imple- ments in the quality of facilities. Goals to renovate the mentation of the University College is not expected to Washington College of Law, and the Myers-Hutchins, be until academic year 2005–2006, at the earliest. Battelle-Tompkins, Ward Circle, and Mary Graydon Center buildings were met and progress has been made In addition to focusing on the University College, the towards other planned building and renovations. institution has made tremendous progress in its efforts to improve the undergraduate experience. This can be 15-Point Plan seen through several important studies of student Of course, it is too early to assess the ultimate success experiences and student satisfaction. For example: of the president’s 15-point vision. However, much has •Ninety-two percent of graduating undergraduates been accomplished in two years. While the progress report that they are satisfied with their undergraduate towards these points is at the heart of the university, and experience, up from 88 percent in 1999. Ninety-three therefore discussed throughout the self-study document, percent say they are proud to be an AU graduate. a brief summary of progress is as follows: •American University participates in the nationally Point 1 recognized National Survey of Student Engagement. The university launched a $200 million fund-raising The latest results (2002) for freshmen indicate that campaign in October 2003, with $63 million of the American University is ranked in the 90th percentile

16 Mission, Goals, and Objectives for “level of academic challenge” and “student inter- coherent focus to AU’s international programs and actions with faculty” in its Carnegie Classification. activities. For example, since late August of this year, It is the top scoring institution for “active and col- the university’s academic-experiential programs abroad laborative learning” and “enriching educational operate under the designation “AU Abroad.” The new experiences” in its classification. name denotes an expanding array of options AU will be offering its students, including continued participa- Point 4 tion in the World Capitals Program. Eventually, the In September 2002, the university undertook a historic designation will include another aspect of the pro- review of its graduate programs. Each school and col- gram, “Abroad at AU,” which will attract an increasing lege conducted comprehensive analyses of their pro- number of international students to the AU campus to grams, with the deans forwarding recommendations to live and study. the provost for his consideration in January 2003. The provost’s final recommendations, discussed with the The new global studies area of the General Education Faculty Senate and others this past spring, were Program is currently being implemented. Preliminary accepted by the president and approved by the Board of discussions are under way for developing a global stud- Tr ustees in May 2003. These decisions resulted in ies major. fewer doctoral and master’s programs but stronger ones AU will continue to focus on offering more high-quality in terms of academic quality and support. internships and experiential learning experiences, such The majority of doctoral and master’s degree programs as alternative spring breaks and community service at American will continue, and some will experience opportunities, as one of its greatest strengths. even further growth and enhancement in quality. In all Point 7 cases, each program is expected to achieve the standards set forth in point 4 in the established time frame, Teaching or less. The deans and the faculty of the schools and The university continues to reward excellence in colleges will work to establish specific benchmarks teaching by making it a central component in all related to their disciplines to reflect the quality goals merit-based salary increases. In addition, the Center set forth in this point. for Teaching Excellence (CTE) has worked closely Point 5 with faculty to facilitate the use of technology in the classroom and to provide overall support to improve AU is looking at all operational functions and has teaching effectiveness. The transfer of the former introduced a Process Improvement Team to identify e-academics services to the CTE has already produced areas for improved efficiency, product delivery, and remarkable increases in the numbers of faculty adopt- service. This task force has met and is undergoing ing and using Blackboard—our primary technology training in the various methods of organizational support for undergraduate and graduate teaching. assessment and change. Concrete measures to increase Further enhancements to the CTE’s mission of bring- operating efficiency have already been introduced. To ing technology to the classroom will be supported by use academic affairs as an example, the English a newly established replacement fund for information Language Institute and the e-academics office were technology and other equipment. The CTE’s effective- dissolved, with their functions reorganized into other ness will also be extended by a reconceived annual Ann existing units. Academic technology services are now Ferren Teaching Conference. provided by the Center for Teaching Excellence and University Library. The computer science and infor- Improvements in teaching are seen in the university- mation systems department was also reorganized, wide student evaluations of teaching and the 2003 altering the size of its faculty and realigning its func- undergraduate Campus Climate Survey. The percentage tions to other units. New on-line services through the of students who say faculty in their major use technol- registrar’s office have helped to reduce staff and ogy in the classroom has jumped to 82 percent, up from increase efficiency, particularly in relation to student 60 percent in 1999. Almost 95 percent of undergradu- services. These changes include on-line registration by ate students say that they are satisfied with the quality of students, electronic distribution of class rosters to fac- faculty in their major, up from 88 percent in 1999. ulty, on-line grade submission by faculty, electronic Research degree audit reports, and transcript services. Scholarship, research, creative work, and professional Point 6 contributions of all sorts are vibrant at American To enhance our reputation as a Washington-based University and richly diverse in form and substance. In global university, AU established a new Office of two years, full-time faculty, with an average five-course International Affairs (OIA) under the leadership of load, reported 136 books, 226 book chapters and ref- Vice President Dr. Robert A. Pastor, who took office in ereed conference proceedings, 266 refereed journal September 2002. OIA has begun to provide a more articles, and 51 poems, plays, and exhibitions and

Mission, Goals, and Objectives 17 that they have also generated $26.5 million in grants versity to add as many as 17 new tenure-track faculty and contracts. members over the next two years. The reduction in selected graduate programs will also make a contribu- A base increase of $400,000 has been made to tion to adjunct reduction, as will continued manage- University Library’s materials budget, which will ment of the curriculum. expand subscriptions and electronic resources in the areas of the humanities, sciences, and social sciences The total number of adjuncts teaching has decreased and will add to the library’s collection. The Board of from 421 in fall 2000 to 372 in fall 2002. As U.S. Tr ustees approved the establishment of the Presidential News and World Report notes, the percentage of Research Fellows Program with a $500,000 allocation. undergraduate courses taught by full-time faculty has The program has not been implemented yet. moved from 70 percent in 1999 to more than 75 percent in 2002. Recent faculty hires will assist in increas- Numerous centers, institutes, and interdisciplinary ing this figure to 80 percent in the near future. The councils provide the expertise of world-renowned university is examining the implications of the pro- scholars and actively work to integrate that research posed 5 percent limit on the use of adjuncts for grad- into the life of the university community, as well as the uate courses. It expects to meet this limit for doctoral broader community, through volunteer service and courses by next year. educational programs. While the number of adjunct faculty is being reduced, Service the quality of adjunct faculty has improved. Results The 15-point plan says that service “must be demon- from student evaluations of teaching indicate that sat- strated through sustained, formal and informal con- isfaction with adjunct faculty has improved from a tacts that go beyond and augment the classroom mean score of 4.78 (on a 6 point scale) in 2000 to 4.90 experience.” “By ‘contacts,’” the president’s plan con- in 2002. Furthermore, it is expected that those adjunct tinues, “I mean personal relationships in which stu- faculty who achieve in-residence status will demon- dents are educated not only by the discipline of a field strate a commitment to the university beyond teaching of study but also by the intangible benefits of appren- one or two courses. ticeship and support that come only through direct Point 9 relations with academic mentors in a variety of settings.” This support occurs in the context of a major As of the 2003–2004 academic year, all units are commitment to service through faculty governance expected to be on differential teaching loads. This goal and service to the larger community. (Faculty service is is being implemented while at the same time taking discussed in depth in chapters 4, 5 and 9.) Results of care to balance it with other aspects of the 15-point the National Survey of Student Engagement (NSSE) plan, such as the percentage of adjuncts teaching show that students at AU are more likely to meet with courses and the average class size. As we move forward, faculty outside the classroom than their peers at other the goal is to establish a four-course load for all faculty institutions. Students in the Campus Climate Survey members who maintain active, productive, and influ- report that one of the best things about their academic ential research agendas and make related and signifi- experience is the degree to which faculty take the time cant professional contributions. to mentor them. A faculty-in-residence experiment in Point 10 Anderson Hall has been highly successful and is paving the way for future replication. The University The provost, the vice president of enrollment services, College will be designed to build upon these strengths and the vice president of campus life have been by emphasizing student-centered service and by charged to lead a project team to assess the current facilitating the service-teaching nexus called for in method of academic advising and identify ways to this point. make this service more student centered. This team will convene as soon as outlines for the University Point 8 College are better established and when decisions As part of improving the overall academic quality and regarding the vice president for international affairs’ learning experience at AU on both the undergraduate project team report have been made. and graduate levels, students will be taught by fewer Overall, students are pleased with advising. Results of adjunct faculty. While adjunct faculty possess consid- the 2003 Campus Climate Survey indicate that more erable talents, the challenge here is to place them than 71 percent of students say they are satisfied with appropriately in the university’s curricula. the quality of academic advising. Reducing the number of adjunct faculty involves com- Point 11 plex variables that require special consideration as the university moves to implement the 15-point plan. An A comprehensive assessment of service learning oppor- initial investment of $1.2 million by FY2005, recently tunities at AU and how they could be enhanced was approved by the Board of Trustees, will enable the uni- conducted by a cross-divisional collaboration between

18 Mission, Goals, and Objectives the Office of the Provost and the Community Service round of elections has been completed already and Center. The report from this effort, which includes a new members are seated for another year. proposal for a community-based partnership, is cur- Point 14 rently under review. The vice president of finance and the provost con- Evidence abounds that students, faculty, and staff ducted a series of meetings with the university deans, embody the university’s values. The self-study chapter seeking their advice on new initiatives for institutional on engagement is devoted to documenting the many development. Some of these initiatives are under con- ways in which AU continues to advance as an institu- sideration and study. An action plan for the University tion devoted to service and global citizenship. One Enterprise Center is being developed based on a num- example can be seen in the results of the 2003 under- ber of these initiatives. graduate Campus Climate Survey: Point 15 •Approximately 87 percent of students say that, where appropriate, courses and programs present There has been a greater effort to incorporate physical perspectives sensitive to the issues of diversity. fitness and overall wellness practices into the AU community. The Jacobs Fitness Center has more members • Three out of four students say that AU demon- and offers more programs to the AU community. The strates a commitment to service and community Wellness Project Team has established benchmarks for services. success and meets regularly to find ways to educate the •More than nine out of 10 students say that AU AU community about the importance of being fit. demonstrates an interest in other cultures and global CONCLUSION issues. American University is an institution committed to Academic integrity is a core institutional value, and the academic excellence. It is grounded in the premise that university continues to develop and implement new the quality of the student experience and engagement initiatives to promote integrity and prevent dishonesty. with the community, nation, and world matter. This In September 2002, the university launched a dynamic sense of purpose is accurately reflected in the 15-point academic integrity Web site for students and faculty, plan. The 1997 strategic plan and the 15 points have , guided faculty, administration, staff, governing bodies, notable in higher education for its comprehensiveness. and students in making decisions that advance the In addition to numerous on-campus activities, univer- university’s mission. Planning mechanisms facilitate sity efforts and expertise have been featured on public the advancement of the 15-point plan and provide radio and in a recent higher education journal. administrators, faculty, and staff opportunities to can- Point 12 didly evaluate institutional effectiveness. In June 2002 the new Office of Campus Life was A wide range of assessment mechanisms support plan- introduced to the community. It provides better inte- ning activities. At American University assessment is grated services for students and their families. It incor- not something separate and apart from what we do. It porates all the programs of the former Office of is so engrained in how we plan and manage that it is Student Services, but it has added services previously integrated into almost every office and department. housed in other divisions. This consolidation of serv- That being said, improvements could be made to the ices has enhanced service delivery and led to greater ways in which assessment activities are formally docu- efficiency. mented and reported. Point 13 Now that fulfillment of the 15-point plan is well under way, the challenge is to find ways to prioritize In April 2002, the university faculty overwhelmingly and reevaluate the plan and to move forward with ratified a proposal for a new Faculty Senate that would continuous, long-term planning. Communication of serve as “the authoritative voice of the entire faculty on these issues appears to also provide the institution with matters pertaining to the academic mission and strat- challenges. egy of the university as established in the University Bylaws.” This historic change was implemented in the RECOMMENDATIONS fall 2002 semester, and the body has operated with •Develop a more robust and formal institution-wide great success throughout this past academic year. This evaluation process that allows information regarding reorganized senate balances the decision-making the accomplishments and challenges of the 15-point capacities of the academic units with the responsibili- plan to be used in ongoing and long-range planning ties of a university-wide deliberative body. It has efforts. streamlined its rules and procedures while at the same time tackling a very substantial agenda focusing on •Develop a more formal and regular process to com- important instructional and curricular issues. A second municate the status of the 15-point plan.

Mission, Goals, and Objectives 19 Supporting Documents 2.1 Statement of Common Purpose. 2.2 1997 Strategic Plan. 2.3 Campus Conversations Web site. 2.4 “Ideas into Action, Action into Service: Fulfilling the American University Paradigm,” address to the campus by President Benjamin Ladner, October 3, 2001. 2.5 15-Point Plan Web site, . 2.6 Overview of AU Assessment Activities and Results

20 Mission, Goals, and Objectives

INSTITUTIONAL RESOURCES CHAPTER3 INSTITUTIONAL RESOURCES

INTRODUCTION financial position of the university. Institutional resources cover a broad range of issues, including merican University is a private institution that financial health, the budget process, and facilities, depends primarily on tuition and other student- A technology, and information resources. generated income. Approximately 80 percent of the university budget is derived from tuition income, and when The chapter focuses on the following questions: residence hall fees and campus store revenues are added, •How has the university’s financial health changed 94 to 95 percent of the university’s operating revenues since FY1995? What procedures are in place to come from students. improve its financial health? The university’s educational programs primarily focus •To what extent does the annual and long-term on liberal arts, sciences, and professional education, budget process support the university’s mission, particularly in the areas of public and international goals, and strategic plan? How does the process service, journalism, public administration, and inter- involve university constituencies, including the national law. For a host of historical reasons, many of Board of Trustees, faculty, students, staff, and which are now being addressed, AU’s endowment administrators? funds and external funding support have been less than •How well does the university demonstrate a system- those of its competitors. Despite these particular chal- atic approach to improving its operating efficiency? lenges, the university has made great strides toward advancing its financial position during the past decade. •How well does the university increase and manage Careful enrollment planning and resource allocations, its endowment and other new revenue sources? disciplined financial planning strategies, and identifying •Does the university incorporate facilities planning as new ways to conduct business and achieve operating an integral part of its resource planning? Does the uni- efficiencies have all played a critical role in helping the versity meet space and capital resource needs, particu- university fulfill its mission, goals, and strategic plan. larly as they relate to academic programs and services? This chapter examines the university’s institutional •How does the university plan for information resource resources and the progress made towards enhancing the needs and how well are those plans implemented?

Figure 3.1 Operating Revenue and Expenditures Summary in thousands $300,000

$250,000

$200,000

$150,000

$100,000

$50,000

$0 FY95 FY96 FY97 FY98 FY99 FY00 FY01 FY02

Revenue $180,865 $194,463 $205,820 $214,096 $225,589 $232,721 $250,517 $269,920 Expenditures $168,864 $171,240 $187,830 $197,539 $212,964 $219,486 $233,673 $254,466 Budget $180,291 $186,959 $204,140 $215,762 $227,959 $240,022 $249,917 $272,566 Revenue Expenditures Budget Source: Year-End Review Summary

Institutional Resources 21 •How does the university plan for short- and long- in an economic climate where most institutions’ rat- term technology needs and how well are those plans ings remained constant or were even downgraded. The implemented? rating agencies’ analysts indicated that the upgrades resulted from the university leadership’s impressive •How does the university provide information to financial management, five-year budget forecasts and support the teaching, learning, and research activities planning process, improved selectivity, and strong of the knowledge-based community? market niche. FINANCIAL HEALTH Examples of the university’s disciplined financial plan- Growth of the Operating Budget and ning strategies are: Fund Balances •Balanced budgets every year. Despite the economic During the reporting period of FY1995 through turmoil of the past few years, the university has con- FY2002, the operating budget grew from $180 million sistently remained in the black since FY1982. This is to $272 million, a 51 percent increase. As depicted in a result of strict adherence to budgetary guidelines Figure 3.1, the university maintained a balanced budget and effective resource management. The 93 percent each of those years, with a positive net income at the end growth in the unrestricted fund balance over the last of the year. (The figure for FY2003 is $290.5 million, a seven years is depicted in Figure 3.2. 61 percent increase, and for FY2004, $310 million.) • Annual and multiyear funding strategies used to For the same period, unrestricted fund balances grew support the strategic plan. While the university 93 percent from $36.5 million to $70.3 million (see budget is developed over five years for planning and Figure 3.2). (The figure for FY 2003 is $71.6 million bond rating purposes, the two-year budget concept or a 96% increase from FY1995.) Unrestricted fund was adopted as the most appropriate for operational balances include nonmandatory transfers. purposes. The university moved from a one-year to a two-year budget cycle to enhance the development of Upgraded Credit Ratings and Financial multiyear initiatives to support the strategic plan. Planning Strategies These initiatives include investments to increase the The university received an upgraded credit rating from number of full-time faculty; develop a University an A- (1995) to an A from Standard and Poor’s (S&P) College that will focus on undergraduate education; in October 2002. In December 2002, Moody’s strengthen enrollment in high-quality graduate pro- Investors Service gave the university an A2 rating, grams; implement a faculty differential teaching load; which is equivalent to an A rating by S&P. This and expand AU’s breadth in international affairs and upgrade surpassed the university goal of achieving an A technology. At the same time, the university will rating by 2004–2005 and was particularly significant become more selective, recruit high-quality students,

Figure 3.2 Unrestricted Fund Balances in thousands $80,000

$70,000

$60,000

$50,000

$40,000

$30,000

$20,000

$10,000

$0 FY95 FY96 FY97 FY98 FY99 FY00 FY01 FY02 Fund balances $36,522 $41,092 $49,457 $54,315 $53,907 $58,053 $64,570 $70,341

Source: AU financial statements

22 Institutional Resources work to streamline operations, reduce costs, and assessment of faculty and staff salaries from the mar- increase operational efficiency. ket competitiveness standpoint, the university recognized the need to make a significant investment in •Enrollment contingency reserve established in this area. As a result, since FY1997, the university has the event of an enrollment shortfall. An enrollment contingency was established in 1994 to serve pursued a multiyear funding commitment to bring as a reserve in the event of an enrollment shortfall. faculty and staff salaries and benefits to a level that Currently 1.5 percent of tuition revenue is set aside is competitive with market rates. (See Figure 3.4) each year with the goal of reaching and maintaining Average faculty salaries are benchmarked against level 1 a reserve that equals 5 percent of tuition revenue. standards set by the Association of American This reserve stood at $5.6 million at the close of University Professors (AAUP) for full-time tenured FY2002. and tenure-track faculty. Staff salaries have been brought up to market median. In addition, the bene- • Annual fund transfer to quasi-endowment funds. fits plan for faculty and staff was enhanced to remain In 1998 the university began to strategically market competitive. enhance its endowment balance by transferring funds from the operating budget. Currently 1.8 per- Figure 3.4 cent of the gross revenue is transferred to the quasi Faculty and Staff Market Adjustments endowment with the goal of reaching 2 percent of Fiscal Year Faculty Market Staff Market gross revenue by FY2004. Figure 3.3 outlines the 1997 $300K $600K annual increase in the endowment fund over the last 1998 $265K $1.2 million five years. The decreased transfer in FY2002 is a 1999 $225K $1.4 million result of funding technology enhancement initia- 2000 $350K $1.4 million tives and faculty and staff market adjustments one 2001 $800K $1.4 million year ahead of the goal. 2002 $943K $1.7 million Total $2.9 million $7.7 million •Prefund faculty and staff salary increases. The university’s operating budget includes roughly $3 million to prefund faculty and staff merit increases for the •Bond financing and effective debt management. next fiscal year. This strategy ensures sufficient The university’s entire outstanding debt portfolio resources to keep our compensation structure consis- has been either issued as fixed-rate obligations or tent with market rates. fixed through synthetic interest rate swaps. In this •Multiyear funding strategies to bring faculty and way, attractive rates have been locked in, and debt staff salaries and benefits to market. Based on an service payments are predictable and steady.

Figure 3.3 Quasi-Endowment Transfers from Operating Budget

$4,500,000

$4,000,000

$3,500,000

$3,000,000

$2,500,000

$2,000,000

$1,500,000

$1,000,000

$500,000

$0 FY98 FY99 FY00 FY01 FY02 Annual transfer amount $2,157,000 $3,191,000 $3,840,000 $4,284,000 $2,868,000

Source: AU financial statements

Institutional Resources 23 Assessment Procedures orative process has changed over the past 10 years. Prior to 2002, there was a separate budget committee The following assessment procedures are in place to devoted exclusively to development of and advice on ensure that the university’s financial health is reviewed the university budget. This committee, cochaired by and measured against its goals and objectives: the provost and the vice president of finance and treas- •annual approval of the university’s operating budget urer, included members of the Faculty Senate Finance by the Board of Trustees Finance Committee Committee, representatives from student organizations, staff, and administrators. In 2002, as part of the reor- • annual financial audit performed by an external ganization of governance, the University Council was audit firm and reported to the Board of Trustees given responsibility for providing guidance to the presi- Audit Committee dent on budget matters and other university-wide • annual internal audit performed by internal auditors issues. The reconstituted Faculty Senate Instructional and reported to the President and the Board of Budget Committee provides advice to the provost on Tr ustees Audit Committee the academic side of the budget. The result of this new structure is a more streamlined budget process that • annual benchmarking study to compare AU’s finan- provides opportunities for input by a wide variety of cial indicators with those of competitor institutions campus constituencies. • periodic presentations to bond-rating agencies. Each year, after consulting with university constituen- The university’s impressive financial growth rate is the cies, the president presents budget formulation criteria direct result of the strong financial discipline that has (see Supporting Document 3.1) to the Board of been established and that has become part of the uni- Tr ustees at its November meeting. Budget formulation versity’s financial management strategy. This discipline criteria include a range of tuition and residence hall was rewarded when both S&P and Moody’s referenced increases based on market comparison data and budget “strong financial management” as key in the upgraded priorities that support the university’s strategic plan. ratings they recently assigned to AU. Once the Board of Trustees approves the budget formu- BUDGET PROCESS THAT SUPPORTS lation criteria, the president issues a budget call to his THE UNIVERSITY’S MISSION, GOALS, cabinet, which consists of the provost and vice presi- AND STRATEGIC PLAN dents (see Supporting Document 3.2). That call initiates enrollment projections by the academic units and the The Budget Process vice president of enrollment services. Simultaneously, The annual and long-term budget process provides a expenditure budgets are reviewed and prioritized by direct link between resource allocations and the univer- each division head. The provost and the vice president sity’s mission, goals, and strategic plan. The budget is of finance and treasurer hold a university-wide meeting the result of an inclusive, collaborative process involv- to communicate the budget formulation and priorities ing various constituencies of the university commu- and receive input from faculty, students, and staff. The nity—faculty, students, staff, administrators, and the Faculty Senate reviews the proposed budget and recom- President’s Cabinet. The structural form of this collab- mends academic priorities to the provost. The Staff

Figure 3.5 Revenue Budget

Residence Halls 10.0%

Auxiliary Services 3.0%

Investment & Gifts Tuition & Fees 3.3% 80.4% WAMU 3.3%

24 Institutional Resources Council also reviews the budget and makes recommen- at 6.2 percent, central reserves at 4.9 percent, develop- dations. Town meetings are sponsored by the vice pres- ment at 2.9 percent, e-operations at 2.5 percent, and the ident for campus life to hear student concerns. The president and general counsel at 1.2 percent. president reviews budget proposals from his cabinet and Enrollment History presents a two-year budget proposal to the Board of Tr ustees for approval. Once the budget is approved, the The university’s aggregate enrollment level grew from president issues a special report to the university com- 9,108 FTEs (full-time equivalent enrollments) in fall munity and makes budget summaries and highlights 1994 to 9,814 FTEs in fall 2002, a 7.8 percent available to the public. increase (see Supporting Document 3.3). The FTEs are the number of full-time students and the number of Composition of Revenue and Expense Budget part-time students converted to a full-time equivalent The revenue mix has been fairly consistent during the enrollment. During the review period, undergraduate reporting period. Figure 3.5 illustrates the revenue mix enrollment has steadily grown from 4,460 FTEs to for FY2003. Tuition and fees represent roughly 80.4 5,388 FTEs, a 20.8 percent increase. Washington percent of revenue, followed by 10 percent from resi- Semester and non-AU study abroad enrollments have dence halls, 3.3 percent from WAMU 88.5FM, 3.3 fluctuated following the presidential election years pat- percent from investment and gifts, and 3 percent from tern. Graduate enrollment was soft, due to a strong job auxiliary services. market in the mid-1990s, but bounced back in fall 2002. Nondegree enrollment, a feeder to the degree The university expenditure budget can be presented in enrollment categories has not been stable. The law two ways—by expense category and by functional school enjoyed a substantial growth in enrollment division. Figure 3.6 illustrates the expenditure budget from 1,184 FTEs in fall 1994 to 1,497 FTEs in fall by expense category. Full-time and part-time person- 2002, a 26 percent increase, while selectivity has also nel salaries and fringe benefits represent nearly 50 per- improved. cent, followed by 24.4 percent for supplies and other items, 18.6 percent for financial aid, 4.5 percent for Resource Allocations debt service, 1.9 percent for utilities, and 0.8 percent Given that American University is a private institution for technology and capital equipment. that is highly dependent on tuition, careful enrollment Figure 3.7 demonstrates the FY2003 expenditure planning and resource allocations play critical roles in budget by functional division. The provost’s area, meeting short- and long-term institutional goals while including graduate financial aid, represents 44.2 percent maintaining financial equilibrium every year. The uni- of the university budget, followed by enrollment serv- versity uses a centralized incremental approach to ices at 19.4 percent (including undergraduate financial budgeting and resource allocation. Essentially, the aid), finance and treasurer at 18.6 percent, campus life budget is established based on the prior year’s operating

Figure 3.6 FYO3 Expenditure Budget by Category

Utilities Technology & 1.9% Supplies & Capital Other Equipment 24.4% 0.8%

Debt Service 4.5%

Financial Aid 18.6%

Personnel 49.8%

Institutional Resources 25 budget, plus changes in enrollment, revenue assump- Some organizational changes and implementations of tions, and expense priorities. One of the challenges is to strategic goals are: balance the university’s immediate and long-term needs •Two new offices—Special Events and Government with strategic plan goals, while at the same time holding Relations—were created under the president’s office. tuition to reasonable levels. Tuition and housing increases are kept in the range of 4.0 percent to 6.0 per- • The general counsel’s office, staffed by university cent; therefore, the expected increase in total revenues is attorneys, was created in FY1995. generally limited, while requests for increases in expen- •Some functions—such as academic development, ditures or other priorities submitted by the provost and general education, the honors program, and gradu- the vice presidents increase at higher rates based on indi- ate financial aid honor awards—were consolidated, vidual program needs. Each proposed initiative is care- transferred within the provost’s area, or both. fully reviewed by the president and his cabinet to ensure that the limited new resources are allocated effectively •WAMU 88.5FM radio station operations were and consistently with the strategic plan of the university. brought into the unrestricted fund in FY1997. Cost savings are identified through several measures: • The William I Jacobs Fitness Center was created in increasing operating efficiency, eliminating duplication FY1999. of efforts and activities, sharing resources across divisions, and internal reallocations within each division. • Campus Store operations were outsourced in FY2000 and are reported on a net-income basis. The expenditure budget by unit (see Supporting Document 3.4) provides a summary of resource allo- •Some functions, such as technology infrastructure cations to each functional division from FY1995 to and the budget office under the provost’s responsibil- FY2003. The university budget grew by $110 million ity, were transferred to other divisions to allow the to $290.5 million. As it grew, the percentage of the provost to focus on academic programs and services. total budget received by each division changed. •Enrollment service functions absorbed University Tracking expenditures for various units and activities Publications and Media Relations and became the over time is difficult because of the many changes in marketing arm of the university. university structure since FY1995. Many of these are • The Office of Student Services was renamed the outlined in the chapter on leadership, governance, and Office of Campus Life and became the focal point administration; these changes continue with the addi- of student-centered services as stipulated in the tion of a vice president for international affairs. strategic plan. Summer conferences and student Variations in the composition of divisional budgets health insurance represent the bulk of the operating reflect both organizational changes and the implemen- budget increase. Residence Halls operations now tation of strategic goals. also include off-campus housing.

Figure 3.7 FY03 Expenditure Budget by Functional Division

Campus Life 6.2% Central Reserves 4.9%

Development Finance and Treasurer 2.9% 18.6% e-operations 2.5%

President and General Counsel 1.2%

Enrollment Services (incl. undergraduate financial aid) 19.4%

Provost (incl. graduate financial aid) 44.2%

26 Institutional Resources • The increase in central institutional accounts was submitted to the Board of Trustees in February reflects the university’s financial planning strategies, 2003. This is consistent with the university’s plans to such as the Enrollment Contingency Fund and the begin operating with two-year budget cycles, which transfer to quasi-endowment funds. was encouraged by the board’s Finance and Investment Committee. Specific budget items projected for the The provost’s area received the largest dollar increase second year, such as tuition and residence hall from FY1995 to FY2003—$43 million—but its per- increases, could be subject to change in light of condi- centage share dropped from 47.3 percent to 44.2 per- tions at that time. cent of the total budget. This reflects in part a shift in some of the budget responsibilities away from the The development of this two-year budget to conform provost, including a portion of information technol- with the 15-point plan presents some interesting chal- ogy. The above figures do not reflect the fact that the lenges for the university. The plan calls for reducing provost’s area does not capture all of the academic side enrollment and academic programs and strengthening of the budget. Many services provided by administra- enrollment in high-quality graduate programs, while tive divisions directly support the academic mission of improving student and faculty quality and increasing the university; for example, undergraduate financial student services. The budget impact of this plan, based aid and recruiting, development officers working on preliminary estimates, will be significant. In addi- directly in the schools and colleges, and debt service tion to traditional revenue sources, the university will for academic buildings. Thus, the percentage reduc- need to identify alternative sources of funding for the tion does not indicate the university’s intent to dimin- plan. Over the next few years, the 15 points need to be ish the strategic importance of its academic programs. prioritized and gradually implemented. University policy allows a flexible budget management As of October 2003, the following items have been approach to internal budget management at the dis- funded to support the implementation phase of the cretion of the provost and the vice presidents. 15-Point Plan: Departments may create or upgrade positions and • Central focus on undergraduate $ 400,000 spend lapsed salary savings to fund part-time salaries, programs (library materials) supplies, and capital equipment expenses. Departmental savings realized by implementing on- •Graduate program support $1,100,000 line purchasing and Web-based technology were made •Global program initiatives $1,300,000 available to fund inflationary and other increases within the supplies and expense category of the units’ •Additional resources for $ 450,000 budgets. faculty teaching and research Because the university’s efforts have been focused on •Additional teaching faculty $1,200,000 the strategic plan goals, but resources to fund those and reduce adjunct goals were limited, some expense categories, such as •Enhance profile as a $ 770,000 full-time salaries, fringe benefits, capital equipment, value-based university debt service, and deferred maintenance, have grown at a faster rate than other categories, such as adjunct fac- •New model of governance $ 50,000 ulty salaries and library books and materials. Total $5.27 million While the university made progress in gathering input Assessments of Efficient Utilization of from many campus constituencies, and in increasing Institutional Resources communication, there is always room for improvement. As the university budget becomes more com- Throughout the year, several procedures ensure sound plex, the community seems eager to learn more about budget management and measure progress towards the budget process and financial matters. Some faculty meeting the university’s goals. Examples are: and students noted that one area of improvement • quarterly measurements of budget to actual per- would be to make the overall budget process more formance reviews transparent. It is desirable to create a culture where general budget and performance information is more • annual performance review widely shared within divisions and departments. This • quarterly budget forums for unit budget managers change will also reaffirm accountability, promote creative ideas, and develop new revenue opportunities. • annual financial impact model Alignment with the 15-Point Plan • five-year historical trend review. To achieve greater efficiency in the budget process and The above reports prepared by the Budget Office are because the 15-point plan has multiyear budget impli- provided to unit managers and division heads for cations, a two-year budget for FY2004 and FY2005 review and reference in making resource allocation

Institutional Resources 27 decisions throughout their areas of responsibility. The Realignment of Administrative Services trend data are also used to make decisions regarding Several administrative functions have been consolidated, unit reorganizations, program reviews, and program redeployed, decentralized, or outsourced. For example, development initiatives. As the implementation of the the Office of Student Services is now the Office 15-point plan progresses, other forms of evaluation of Campus Life with consolidated student-centered and financial reports may be developed to measure the services, including on- and off-campus residence hall accomplishments against benchmarks established at operations. Development functions have been decen- the onset of the plan. tralized with officers located in each academic unit, OPERATING EFFICIENCY where they coordinate fund-raising efforts and alumni activities. The graduate application process is now The fifth point in President Ladner’s strategic plan for decentralized at the college level. Continuing education “fulfilling the American University paradigm” calls for is also decentralized, with resources distributed to the a reduction in costs and increased operational effi- academic units. Mail service operations were out- ciency. “We will systematically eliminate bureaucracy sourced to Pitney-Bowes, a leading expert in the mail and red tape, consolidate services, eliminate overlap- service industry. ping positions, outsource appropriate services, and increase our use of management technology.” Already In response to rapidly growing and changing demands there is substantial evidence the university is moving for technological support, information technology serv- forward to improve its efficiency and effectiveness, ices have been redistributed to the University Library, contain costs, and redirect resources in support of the Center for Teaching Excellence, e-operations, and the university’s mission and strategic goals. These e-administration. This realignment of resources has measures include: improved IT support throughout the university. Operating Savings and Internal Reallocations New Performance Management Program and Training Initiatives In his budget call letter, Dr. Ladner emphasizes the annual campus-wide budget formulation process Implementation of a new Performance Management closely linked to the 15-point plan. The resulting Program provides a direct link with university goals, FY2003 budget includes $1.65 million as either reduc- which holds promise for improving merit-based com- tions in operating costs or new revenue generation. In pensation, encouraging professional development and addition, $3.2 million is identified as internal resource higher morale, strengthening employee efficiency and allocations as a result of streamlining administrative competency, and reducing turnover. The net effect functions, sharing resources across divisions, making should be improvement in operational performance program changes, and internal funding for operating and a reduction in operating costs as the university cost increases. The budget also includes provisions to functions with fewer but more highly skilled and achieve market-based compensation for both faculty highly paid staff. and staff, increased financial aid for students, transfer Various university-wide training initiatives have been to quasi endowment, and an enrollment contingency implemented. Examples are an orientation for new equal to 1.5 percent of tuition revenue. faculty and staff, Human Resources managers training, Academic Program Changes customer service training, sexual harassment prevention training, quarterly forums for department human To support the direction of the 15-point strategic plan, resources managers, and forums for budget managers. the provost undertook an ongoing academic program review that led to the termination or consolidation of Administrative Information Systems and a several programs and to increased support for pro- Wireless Campus grams earmarked for advancement. For example, the One of the most impressive examples of the advance- transfer of the information systems programs from the ment of the university during the past decade is the College of Arts and Sciences to the Kogod School of continuous improvement of administrative informa- Business and the subsequent development of a new tion systems and other rapidly growing applications of master’s in management information technology information technology. During the past five years, within Kogod is an excellent case in point. The more than 20 separate and largely incompatible National Center for Health Fitness and the administrative information systems have been replaced Department of Health Fitness were consolidated. An by a single enterprise-wide system of relational data- assessment was conducted and a decision was made to bases. This has eliminated the redundancy of demo- require TOEFL scores so that international students graphic and other administrative data and facilitated who come to AU will be better prepared in English- more efficient processing. In May of 2002, the univer- language studies. Referrals and resources will be made sity made plans to become one of the first universities available as a “safety net” to those students who still to have a wireless campus using an in-building distrib- require additional English-language skills. uted antenna system. The university community is

28 Institutional Resources very proud of its progress and leadership in the aca- Cross-Divisional Collaboration demic and administrative use of information technol- Cross-divisional collaboration has increased operating ogy. The university’s record in this regard is further efficiency. Divisions and departments have shared described in the chapter on learning resources and goals. As a result of September 11 events, emergency campus life. management procedures involving mass evacuation of Best Practices in a Paperless Environment university facilities have been developed, and training on campus has been implemented. The offices of In the university’s effort to operate more efficiently Financial Aid and Student Accounts work together and reduce operating costs, the following initiatives during peak times to better serve student needs. have been implemented: New Process Improvement Project Team •On-line student application process. Prospective students are now able to apply on-line. Based upon the experience and benefits of the improvements in operating efficiency achieved over •On-line purchasing through AcquireX.com. the last few years, the university created a new Process Departments can order supplies and other items Improvement Project Team in the fall of 2002. over the Internet and realize significant cost savings, Chaired by Acting Vice President Cheryl Storie, this while receiving next-day delivery. 10-member team is spearheading a systematic effort to •Today@AU. Today@AU, an official university bring efficiency and cost savings to virtually all aspects announcement vehicle distributes the daily news of university operations. The team has been trained in and notices of events. the latest process improvement techniques and tools for identifying and implementing ways to get things • e-timesheets. All employees and department super- done more efficiently and effectively. The team pro- visors record time and attendance through the posed its first pilot projects to President Ladner early secured Web portal, . in 2003. The establishment of this internal team of • e-pay advices. Pay advices are available on the per- process improvement specialists clearly demonstrates sonal Web portal, where all employees can view the AU community’s strong commitment to continu- their monthly payment history. ous improvement in terms of both efficiency and quality of service throughout the academic and •Direct deposit campaign. The direct deposit cam- administrative dimensions of the university. paign resulted in significant increases in participation rates, which rose from 80 percent in spring DEVELOPMENT, ENDOWMENT, AND 2001 to 90 percent in fall 2002 for full-time faculty OTHER NEW REVENUE SOURCES and staff. The participation rates for adjunct faculty Development and student employees have improved from 30 percent in spring 2001 to 55 percent in fall 2002. Development continues to be an important strategic priority for the university and will play a more promi- •On-line employee snapshot and open enrollment nent role as AU seeks to implement its 15-point plan, process. The faculty-staff directory as well as basic described in Ideas into Action, Action into Service. The information are available on-line. Full-time faculty investment in development and alumni activities is and staff can elect their benefit options through the one that requires a continuous and consistent commit- Web portal. ment, as many results attributable to the work of the •On-line policies and procedures. Policies and pro- office may not become apparent until many years into cedures available through the Web portal include the future. The continuous nature of development and the faculty, staff benefits, and staff manuals. alumni activity is essential to the long-term philanthropic revenue potential of the institution. In any •On-line housing agreements. successful development program, short-term needs are •Online registration for new student orientation carefully balanced with the long-term benefits of development activities. and the freshmen service experience. The development office at AU has made significant •On-line registration and the electronic submis- organizational changes in the recent past that have led sion of course grades. to an environment encouraging entrepreneurship and •On-line payment options. Through the Web por- collaboration focused on results. Today, the 40-person tal, students can access and pay their student staff, led by the vice president of development, has account balances as well as dining service meal plans helped AU set its development sights much higher and EagleBuck$ cards. than ever before. • On-line giving. Gifts can be made through the Prior to 2000, the program included centralized Web or payroll deductions. annual giving, alumni relations, major gift, and corpo-

Institutional Resources 29 rate and foundation components. When the new vice largest fund-raising initiative to date, an effort publicly president arrived in March 2000, he targeted the launched in October 2003. The following strategic alumni participation rate and the major gifts program priorities have been identified and approved: for short-term enhancement. •Campaign for the Arts To address those areas, two strategic decisions were • Katzen Arts Center made and implemented. First, the university’s annual •Greenberg Theatre telemarketing was automated, using the best technol- • university endowment ogy available to significantly enhance both the number • academic chairs of calls made and the data collection process. This •professorships upgrade, together with the university-wide enhance- • student scholarships ment of data storage and retrieval via Datatel’s Colleague and Benefactor systems, is expected to sup- • academic enhancement port an alumni participation rate in excess of 20 per- • centers cent for the first time in the history of the institution. • library •new initiatives Second, the major gifts and alumni relations programs brought a decentralized approach to develop- •Student life ment, which included two new positions—director • Campus Life and assistant director of development—to be placed •Athletics at each of the university’s undergraduate and graduate •Fund for Excellence (unrestricted dollars) schools and colleges. These new positions have helped reinvigorate the interest of academic deans in devel- •Facilities opment programs, create an entrepreneurial philan- • SIS Building thropic culture at the schools, and enhance the quality • SOC Building and quantity of alumni programs and services. This • campus enhancements decentralization, coupled with a centrally run • WAMU Public Radio prospect management and contact system, is begin- When completed, the initiative will help transform ning to significantly increase the number of major AU into a university that has successfully implemented gifts each year. its three integrated priorities of 1) quality of academic As AU moves to implement the 15-point plan for inquiry, 2) quality of the student experience, and 3) excellence, first and foremost is the university’s com- quality of extensive engagement with Washington and mitment to conduct its most comprehensive and global affairs.

Figure 3.8 Overall Cash Giving

in thousands $17,692 $18,000

$16,000

$14,000 $12,296 $12,200 $12,000 $9,341 $10,000 $8,436 $8,807 $7,636 $8,000 $6,392 $6,000

$4,000

$2,000

0 FY95 FY96 FY97 FY98 FY99 FY00 FY01 FY02

Note: FY96 included a $9.7 million estate gift.

30 Institutional Resources The university is poised to reach a new level in devel- Other Sources of New Revenue—American opment and alumni work that will be an invaluable University of Sharjah asset for the future of the institution. The American University of Sharjah (AUS) is a non- Endowment Management profit independent, coeducational institution of higher education formed on the American model. Building a strong endowment continues to be a strategic Founded in 1997 by His Highness, Sheikh Dr. Sultan priority for American University. The Finance and Bin Mohammed Al Qasimi, Member of the Supreme Investment Committee of the Board of Trustees takes an Council and Ruler of Sharjah, AUS is a private, active role in overseeing the university’s endowment, English-language, and American-style institution of developing the asset allocation policy and spending rule, higher education. selecting investment managers, and monitoring the managers’ performance. The current asset allocation pol- American University (AU) in Washington, D.C., has a icy is 80 percent equities and 20 percent fixed-income comprehensive partnership agreement with the investments. While aggressive, there is also substantial American University of Sharjah (AUS) under which AU diversification within the equity portfolio (large-cap provides the senior management personnel for AUS. growth and value, small-cap growth and value, interna- Under this agreement, AUS pays AU overhead in additional, emerging markets, etc.) to provide balance. In tion to the direct cost attributable to the partnership addition, the Finance and Investment Committee has agreement. The overhead income from AUS is included established a conservative endowment spending rule in in the university overhead recovery history chart (see order to preserve the principal of the endowment funds. Figure 3.10). The agreement also encourages exchanges of students and faculty as well as the development of Until recently, the university had made slow progress other joint programs and endeavors. The Sharjah office, building its endowment through fund raising and gifts. located on the AU campus, was created to support the To help overcome that hurdle, AU has made a concerted work of AUS by providing counsel on such administra- effort to transfer funds annually from current operations tive matters as faculty recruitment, development, to the quasi endowment, as a way to continue to build alumni and external relations, academic governance, endowment balances (see Figure 3.9). This annual trans- and support toward the goal of accreditation. The office fer (2 percent of total revenue) is now built into the oper- also facilitates student and faculty exchanges and the ating budget of the university. In addition, some development of joint academic programs. unrestricted reserves were transferred to a quasi endow- Sponsored Research and Creative Activities ment. These initiatives have become a strategic part of AU’s financial management and reflect the importance At AU, as at all notable universities, faculty research that AU places on developing a strong endowment. and creative activities create new knowledge and help

Figure 3.9 Endowment Funds

in millions $200

$180

$160

$140

$120

Quasi endowment $100 Endowment & similar

$80

$60

$40

$20

$0 FY95 FY96 FY97 FY98 FY99 FY00 FY01 FY02

Institutional Resources 31 strengthen the institution’s academic reputation. Figure 3.10 illustrates the research dollar volume of Developing a superior research support infrastructure awards received during the reporting period. is a priority. The Office of Sponsored Programs (OSP), The 15-point plan encourages an increase in research which reports to the dean of academic affairs, provides and creative activities by proposing support on many support to faculty and others who seek funding for different levels. A Presidential Research Fellowship fund specific projects and assistance with award administra- will be created to allow faculty to increase scholarly tion. The strategic plan directed that a review of the activities. The establishment of a system of differential processes by which research and scholarship are sup- teaching loads and research loads for faculty will allow ported be undertaken and changed, where appropri- increased productivity in the area of sponsored research. ate, to provide greater support and encouragement for these activities. In 2000, OSP was reorganized to Research Overhead Recovery History streamline administrative support to faculty. The In accordance with university policy, the schools and provost’s office worked with the deans to develop colleges retain a percentage of the research overhead strategic targets suitable for each academic unit’s spon- recovery generated from externally funded research sored programs. As a result, the deans have developed projects. An increase in the amount of overall indirect possible new sources of external funding. cost recovery is an area of improvement for the univer- OSP supports several new programs of national signif- sity. The amount of indirect cost recovered in any fis- icance. These include an expanded sponsored intern- cal year is influenced by a number of factors, including ship program for Native American students, the Center the types of grants in an institution’s portfolio, spon- for Social Media, and several teacher training pro- sor policies on allowable indirect costs, and the kind of grams. The Transnational Crime and Corruption rate agreement under which an institution operates. Center, founded in 1995 and supported almost exclu- Figure 3.11 illustrates the research overhead recovery sively by external grants, now has annual support of history during the review period, including that from $1.5 million for its network of centers in the former both the American University in Sharjah project and Soviet Union and its Washington-based research proj- the Office of Sponsored Programs. The indirect cost ects. In July 2001, the Center for Global Peace received recovery facilitated through OSP is governed by a fed- a $2.85 million grant from the State Department for a eral indirect cost rate agreement negotiated with the two-year confidence-building project between Armenia Department of Health and Human Services. In 1998, and Turkey and between Armenia and Azerbaijan. The the indirect cost assessment changed, going from a Center for Congressional and Presidential Studies base of modified total direct costs (long form) to a expanded its work with a grant of just under $2 million salaries-and-wages-only base (short form). The current to study campaign conduct. rate agreement is in force until the university files a

Figure 3.10 Dollar Volume of Awards Received

$14,000,000

$12,000,000

$10,000,000

$8,000,000

$6,000,000

$4,000,000

$2,000,000

$ FY95 FY96 FY 97 FY98 FY99 FY00 FY01 FY02 $ volume of awards received $7,574,000 $8,933,000 $9,201,000 $9,901,000 $10,231,00 $6,483,000 $10,389,00 $12,549,00

Source: OSP local database of awards received

32 Institutional Resources new report in October 2003. Through current discus- Campus Plan sions and analysis of rate negotiation, AU is seeking to Working within its facility limitations, the university determine whether, given the new mix of projects for conducts facilities planning at various levels, ranging which the university is receiving funds, a different rate from a broad multiyear Campus Plan to annual con- agreement may increase indirect costs recovered. sideration of individual facility improvement projects FACILITIES PLANNING as part of the budget process. The Campus Plan, which is prepared for a 10-year time horizon as American University’s facilities are not generous, hav- required by District of Columbia zoning regulations, ing only two-thirds as many square feet per full-time states the university’s facility needs and enumerates equivalent student as peer institutions. Given that fact, planned new facilities. A new Campus Plan was pre- the university has focused its facilities resources on pared in 2000 and approved by the District of meeting key needs and maintaining high-quality Columbia Zoning Commission in 2002. buildings. Significant improvements have been made over the years: technology has been added to many The Campus Plan contains an overall assessment of classrooms, academic buildings (such as the Ward, existing facilities and addresses facility needs as a way Battelle-Tompkins and Kogod buildings) have been of dealing with current deficiencies or to accommo- renovated, and the Mary Graydon Center has been date planned program changes. The plan was prepared renovated. Still, areas such as the McKinley and Hurst through both a top-down and bottom-up approach. buildings could be improved. Facility needs of individual schools, colleges, and service units were combined with the university’s campus- Since 1995, the university has added nearly 390,000 wide facility goals to create a plan that addresses needs square feet of facilities and renovated more than coherently. (See Supporting Document 3.7.) 200,000 square feet of existing buildings. These improvements resulted in a new fully integrated facil- A significant challenge to the university’s planning ity for the law school, improved labs and instructional process is posed by the location of both the university’s space for the School of Communication, renovation of main and Tenley campuses on residentially zoned prop- 40 percent of the university’s general-purpose class- erty, which can serve as an impediment to developing rooms, addition of 60 faculty offices, a state-of-the-art university facilities. AU is permitted to add facilities fitness center, a phased renovation of the University only through a two-stage special exception process Center, and a new theatre. At the same time, the uni- through the District of Columbia Zoning Commission. versity has routinely renovated residence halls to keep The first stage is approval of a Campus Plan and the sec- them fresh, inviting, and meeting the needs of today’s ond is the approval of a building proposal for a specific students. (See Supporting Documents 3.5 and 3.6.) building. Both stages involve significant input from

Figure 3.11 Research Overhead Recovery History

$1,400,000

$1,200,000

$1,000,000

$800,000

$600,000

$400,000

$200,000

$0 FY95 FY96 FY97 FY98 FY99 FY00 FY01 FY02 Academic and other $743,173 $904,643 $999,739 $911,451 $797,344 $589,728 $632,415 $775,852 AU Sharjah $0 $0 $0 $130,088 $318,058 $465,000 $508,709 $492,347

Source: Year-end research overhead report produced by the Controller’s Office

Institutional Resources 33 neighboring residents, compromise, and a long process- Several other committee recommendations have yet to ing period. Virtually every zoning action involves iden- be implemented due to the competition for space tification of issues on which the university and some of resources from other university functions. its neighbors disagree. The process of working through The university is moving closer to achieving the goal the issues, hearings, and eventual decision-making typi- of providing an individual office for each full-time fac- cally takes two years. ulty member with the completion of the Katzen Arts Through this process, the university has been success- Center, scheduled for late 2004. The added gallery, ful in obtaining zoning approval for its most critical office, studio, and performance facilities provided by needs, for example, the Katzen Arts Center to greatly the comprehensive new facility for the arts, as well as improve arts education facilities. To further meet its space freed up when the current arts facilities are facility needs, AU has also acquired off-campus com- vacated, will add significantly to the university’s aca- mercial properties, which can be used as a matter of demic and support facilities. right. Moving the Washington College of Law and a Capital Renewal and Deferred Maintenance number of support service units to nearby commercial properties has allowed the university to use its main The university has addressed its capital renewal and campus facilities for other academic needs. deferred maintenance needs through planned increases in funding (see Supporting Document 3.9). The uni- Implementation of individual building projects within versity is close to fully funding its infrastructure capi- the Campus Plan or of renovation projects not included tal renewal needs. Capital renewal needs are identified in the plan is dependent on available funds. Projects are through an ongoing assessment process, and projects considered through the university’s capital budget are scheduled several years in advance. The current process, which is similar to the operating budget plan identifies projects for the next seven years but is process. Smaller facility improvement projects (less than flexible enough to vary the timing of individual proj- $1 million) are considered through the annual operat- ects so they coordinate with other facility improve- ing budget process. Due to resource constraints, how- ments. The most critical capital renewal funding ever, there has not been a regular funding of these shortfall is for furnishings and equipment. smaller facility improvement projects. Often instead, Historically, this funding has been decentralized, with these projects have been funded in an ad hoc manner. individual units making replacement decisions and providing the funding. The university is starting to Assessments recognize and fund these capital equipment needs for Facilities staff conducts periodic assessments of univer- technology and the residence halls, but other areas sity facilities, with a particular emphasis on the quality of must still be addressed. instructional facilities (see Supporting Document 3.8). Capital Equipment Renewal and Minor Facilities Assessments indicate that there are adequate instruc- Improvements tional facilities overall. The overall classroom quality is The current ad hoc and decentralized method of fund- good, and deficiencies, when they exist, are being ing increases the risk that some critical capital renewal addressed on an ongoing basis. This includes installing needs may not be funded. A plan for funding all capital up-to-date technology to support instruction. renewal needs to be developed and phased-in over the Library facility needs have been documented and next several years. Additionally, it is recommended that short-term measures to address them are being devel- funding for minor facilities improvements be made a oped. Over the last few years, improvements to adapt part of the operating budget and that a process for plan- for changing technology needs have been completed in ning and prioritizing these requests be put in place. the library. Based on the 1997 recommendations of a INFORMATION RESOURCE NEEDS library facilities planning committee, the following improvements have been completed: American University’s long-term information systems strategy brings together a series of disparate and •moved little-used material to the Washington “shadow” administrative systems into a single enterprise- Research Library Consortium (WRLC) center, wide system. In June 1997, AU finalized an agreement resulting in approximately 12 percent of the collec- with Datatel of Fairfax, Virginia, for the purchase and tion being now located in WRLC, thus creating implementation of their Colleague and Benefactor space for continued growth of the collection systems. The systems were to address the year 2000 problem, outmoded business practices and procedures, •relocated the 24-hour study room outside Bender the inefficiency of existing systems, and the lack of sup- Library, which created room for expanding other porting capabilities within current systems to address library needs the initiatives of the 1997 university strategic plan. •redesigned and upgraded public and technical serv- They formed the hub from which all future adminis- ices areas on the first floor of Bender Library trative information systems activities would emanate.

34 Institutional Resources In May 1998, the Colleague financial system modules most minute, is used in more than a dozen univer- were implemented, followed by the student system sity offices. The Oracle-based warehouse data is modules and the Benefactor system in support of refreshed from Colleague and Benefactor nightly. planned giving and development membership activi- Nearly 400 unique point-and-click reports provide ties. In April 1999, the Colleague human resources broad-based support for decision making. modules, including position management and payroll, •In the spring of 2001, four Web-based inquiry-only were implemented. From mid-1999 to February 2001, services were available. In the fall of 2002, more than postimplementation activities, such as using additional 70 services for both inquiry and update of enterprise system’s functionality and completing a limited set of customization work, were completed. In addition, the applications data were offered via a Web portal. university also planned and began implementation of a Examples include course registration and add-drop; data warehouse envisioned to use the newly acquired credit card payments for most university services; fac- administrative systems data delivered campus-wide in ulty grading; faculty, staff, and student work time an easy-to-use point-and-click method. The data ware- tracking; a parent portal, allowing student-authorized house enables all campus offices to access the enterprise persons to view and use student services; an interna- application’s data in support of daily decision making tional student tracking system compliant with the and short- and intermediate-range strategic decisions. Student and Exchange Visitor Information System (SEVIS) project mandated by the Immigration and In late 2000, an intermediate administrative information Naturalization Service; and on-line application and system strategy, conducted in parallel with the data ware- other forms. Web-based service projects, the univer- house work, moved the use of administrative systems sity’s wireless services project, and a planned voice- “closer” to the customers in a real-time processing mode. activated data entry project will be ongoing. This work focused first on student Web-based services, such as course registration, followed by faculty services, SHORT- AND LONG-TERM such as Web-based course rosters and grading, then serv- TECHNOLOGY RESOURCES ices for staff, applying and accepted students, and finally “Some of the most dramatic changes on campus over alumni and other friends of the university. The three the past 10 years have been caused by new computing major administrative information systems implementa- and information technologies. Those changes have tion efforts are graphically depicted in Figure 3.12. profoundly affected the operation of the University The success of these projects has been apparent to Computing Center and library facilities.” Those those directly or indirectly involved with administra- words, taken from American University’s last Self- tive information systems. Study Report, are as accurate today as they were when written in 1994. The previous report recognized •In 1997, more than 22 systems with duplicated stu- throughout the document that technology would be dent, faculty, and staff demographic information one of the factors driving the success of the institution served the university. Today, one system, used campus- during the 10-year period now being reviewed. The wide, contains all data. expectations set by that document for technological •Data warehouse information, using the technique of progress on campus have largely been met and in some drilling down from the highest level of detail to the cases dramatically exceeded.

Figure 3.12 Administrative Information Systems Implemention

Calendar year 1997 1998 1999 2000 2001 2002 2003

Enterprise-wide applications

Data warehouse

Web-based data services

Institutional Resources 35 Organization to everyone at the university, and students and faculty are able to create personal Web sites (see Supporting Until September 2000, technology services were Document 3.10). The popularity of Internet services administered by a central Office of Information has saturated the current capacity of AU’s Internet link Technology reporting to the provost. A reorganization (45 million data bits per second), leading to the need was announced at that time in order to address the to manage bandwidth through techniques that limit challenges presented by the growth in technological the utilization rate of certain types of network traf- complexity and user demand, as well as to provide fic—in particular, the class of peer-to-peer file-sharing increased capability for generating and exploiting new programs that are used primarily by residence hall stu- opportunities for academic creativity and administra- dents to exchange music and video files (see tive efficiency. Technology services are now delivered Supporting Document 3.11). A plan is in place to through several separate but coordinated groups: implement a second independent Internet link that e-administration, e-operations, the Center for Teaching will at least double capacity and ensure redundancy in Excellence, the University Library, and individual case of failure of the first link. departments that have specialized academic computing requirements. Academically oriented service units In May 1997, AU was ranked among the 50 most- report to the provost; administrative computing serv- wired campuses in the nation by Yahoo! Internet Life ices report to the vice president of enrollment services; magazine. Just five years later, in May 2002, the uni- and infrastructure services report to the vice president versity announced its plan to enhance the campus net- of finance and treasurer. work with wireless technology and become the most “unwired” campus in the nation. All major buildings Central Facilities and outdoor campus areas now offer wireless LAN The e-operations group maintains all central univer- access. AU is one of the first universities to implement sity technology facilities, including computer room this technology using an in-building distributed operations, software licensing, voice and data network antenna system that provides simultaneous support for provisioning, e-mail and Web services, audio-visual 802.11 wireless LAN and all forms of cellular tele- support, cable television, technology training for uni- phone service. This enhancement is in response to stu- versity staff, and help desk support for all campus con- dents’ decreased use of university-provided residence stituencies. Approximately 100 servers provide hall phone service and increased use of cell phones. processing for administrative and academic applica- Partnerships with cellular telephone carriers enable the tions for the university’s 11,000 users. Sun university to lead the nation in transitioning student Microsystems equipment is used for most enterprise- telephone service to a cellular model. During 2003, wide applications. Compaq and IBM servers dominate many of the university’s applications of interest to stu- the Intel architecture systems used to provide file- and dents will be enabled for use on any wireless device, print-sharing services, supporting both Novell including cell phones, Palm Pilots, and handheld com- Netware and Microsoft Windows networks. The puters using the Pocket PC operating system. Novell eDirectory product (also known as NDS) is Desktop Resources used to establish a single network sign-on capability for all major applications. The university owns about 2,500 desktop and laptop computers for individual and classroom use and pro- The university data network (EagleNet) consists of vides support for an additional 3,000 personally more than 8,500 switched network ports implemented owned systems. Most systems use some version of the using several hundred Cisco Systems devices and a Windows operating system. Approximately 190 Apple number of legacy shared network ports that will soon Macintosh systems are in regular service, and a small be converted to switched devices. Fiber optic cable but growing number of machines use the Linux oper- links the university’s main campus buildings. Leased ating system. With the wireless network implementa- dark fiber links the main campus to five remote location project, the number of these devices capable of tions, and a high-capacity microwave link provides wireless connectivity is expected to increase dramati- services to a 258-unit off-campus apartment building. cally. Newly admitted students are advised to purchase Backbone links operate at a minimum of one billion laptop computers with a wireless option, as well as data bits per second (gigabit). When required for data-capable cellular telephones. capacity or redundancy, multiple gigabit links are used. Administrative and academic desktop computers Academic and Instructional Computing Support are linked to the backbone using dedicated 100 mil- Most major university classrooms are equipped with lion data bits per second ports; residence hall ports ceiling-mounted computer projectors with motorized (one per student) are operated at 10 million bits per screens, and a standard complement of other typical second on dedicated ports. audio-visual equipment. All classrooms have wired Internet access is available to all students, faculty, and Internet access for the professor; a small number pro- staff on campus. Electronic mail accounts are provided vide network ports at each student station.

36 Institutional Resources Technology support for the library is provided through The university recently developed a three-year replace- participation in the Washington Research Library ment plan for desktop computers for faculty and staff Consortium (WRLC), with the assistance of library and the core infrastructure elements including central technical staff. ALADIN, the shared on-line catalog, servers and network hardware. The first implementa- contains millions of records which allow users to locate tion began in early 2003, giving a top priority to faculty items at any of the eight member university libraries desktops and classroom technology. A comprehensive (American University, Catholic University of America, replacement and upgrade program is needed to keep up Gallaudet University, George Mason University, George with rapidly changing technology needs. Washington University, Georgetown University, Assessment Measures Marymount University, and the University of the District of Columbia). The information technology Help Desk maintains statistics on the number of calls (see Supporting Twenty-three campus computer labs host approxi- Document 3.12) and on satisfaction levels and usage mately 450 personal computers and 130 Macintosh patterns of students, faculty, and staff. User satisfaction systems. The largest lab is open around the clock dur- surveys are used to solicit feedback on the quality of ing the academic year and serves as a general-purpose service; survey instruments distributed to broader por- facility for students from all academic units. tions of the user community are used to gauge more Planning and Budget general reaction to technology services on campus. Technology planning is coordinated through regular INFORMATION RESOURCES TO SUPPORT meetings of the provost, the vice president of finance TEACHING, LEARNING, AND RESEARCH and treasurer, and the vice president of enrollment Libraries services, who represent the interests of the units that The vast storehouse of information offered by the provide technology services for the campus. The library is one of the most significant academic resources Faculty Senate’s Committee on Information Services of the university. As such, it requires substantial finan- and Technology provides a forum for individual fac- cial support. The last decade, which ushered in the ulty representation. electronic revolution and saw publishers’ price increases A Technology Strategic Plan will guide the university averaging 10 percent per year, challenged all libraries to through the next three years, the horizon used as the reallocate existing resources and to seek additional basis for technology program and equipment deci- funding to support collections. Libraries are further sions. Highlights of the plan include: challenged to acquire information in numerous formats. For some titles, the same content may appear in • implement a wireless communication strategy to several formats, but in most cases, information is avail- provide access to information and learning opportu- able either in traditional (print or analog) sources or nities anytime, anywhere through electronic formats but not through both. •develop a funding strategy to replace faculty and When print was the dominant form of information staff computing technology on a three-year replace- storage, the key to understanding the strength of a ment cycle university library was the size of the book and print •develop a transition plan for updating the current journal collection. With the electronic revolution, telephone system access to on-line resources has become an equally important factor in determining the quality of the • implement a new system to consolidate all identifi- library. Seeking to address these issues, American cation, access, and financial services on a next- University’s strategic plan (1997) called for increasing generation AU identification card user access to materials in electronic formats and pro- • use document-imaging filing systems in all adminis- viding state-of-the-art document delivery systems. To trative offices achieve that goal, the University Library and the Washington College of Law (WCL) Library increased • educate all staff on the value of university data, user access to information by subscribing to additional including data quality, individual accountability, electronic resources, by creating links to materials tools for correcting data problems, and the cost of available on the Web, and by providing remote and in- incomplete or bad data library access. •create a mandatory employee technology training AU has seen a dramatic increase in the number of its curriculum and a monitoring and assessment system electronic resources over the seven-year period. In FY2000, the University Library subscribed to 255 •develop a long-range plan to train faculty in the use remote electronic resources, and by FY2002 there were of campus technology resources 766 electronic subscriptions, a 200 percent increase. • implement an improved business continuity strategy The WCL library recorded 325 electronic resource

Institutional Resources 37 subscriptions in FY2000, and by FY2002 WCL held viding information resources to faculty in support of 778 electronic resource subscriptions. (See Supporting teaching, learning, and research. CTE trains faculty in Document 3.13.) the use of both Blackboard’s routine features to post course syllabi and documents and its advanced video The number of volumes added to the University Library and virtual class features that enable them to bring collection increased by 22 percent between 1995 and 2003, from 635,800 to 777,000. Similarly, the media outside experts to AU’s classrooms and AU’s experts to collection increased by 54 percent, from 29,400 items classrooms around the globe. to 45,300 during the same period. Purchases for the col- CTE also facilitates the use of data sets and other sta- lections are guided by the Collection Assessment Project tistical data, provides faculty and student access via the (CAP), completed in 2001, which measured the Web or in labs to several statistical and modeling pro- strength of the collections and on-line resources in more grams, and offers assistance to faculty, students, and than 2,400 subjects and established collection goal lev- staff in the use of the statistical analysis tools. els reflecting the degrees offered across the curriculum. Additionally, CTE has helped some academic units (See Supporting Document 3.14.) and faculty who need specialized packages not cur- The growth of the collection and improved access to rently licensed or purchased by the university to pur- electronic resources can be assured by a systematic chase or license the tools they need. annual increase to the library materials budget to cover CTE manages the Blackboard contractual arrange- the inflationary increases in prices of print and informa- ments, maintains some Web programming, has some tion resources. Annual allocations for library resources video editing capability, and works with academic have been supplemented by University Library develop- units and individual faculty to identify and purchase ment efforts, including Friends of American or lease electronic resources and tools. University Library. Academic and Administrative Departments The library has effectively increased access to materials through its membership in the Washington Research Using what modest funds are available, the schools and Library Consortium (WRLC), which offers shared elec- academic units—in particular the College of Arts and tronic resources and expedited access to print collections Sciences, the Kogod School of Business, and the School through interlibrary loan or direct borrowing from eight of Communication—have acquired additional informa- member universities in the Washington, D.C., area. tion resources and equipment that each school needed. Using ALADIN, the on-line library catalog for mem- The university provides significant access to informa- bers of the WRLC, AU faculty, students, and staff can tion resources in support of teaching, research, and request materials that are delivered to AU daily by learning in both traditional and electronic formats. courier or electronically within 24 hours to the reader’s There has been effective use of the limited financial desktop computer. Since this feature, called patron- resources through careful selection, and where possi- initiated interlibrary loan, was made available in FY2001 and the turnaround time for delivery was reduced, AU ble, joint or consortium agreements. However, to bet- has seen a dramatic increase in the number of items lent ter facilitate the effective use of all the information and borrowed as indicated in Figure 3.13. available on campus, it is recommended that the university create a comprehensive, central inventory of Figure 3.13 campus electronic resources that includes access rights Interlibrary Loan and use instructions. FY00 FY01 FY02 CONCLUSION Total borrowing 12,644 16,170 27,674 Total lending 9,816 22,875 31,657 Financial planning and proper resource allocations are an integral part of the implementation process of the Source: University Library Annual Report, 2000–2002 university’s strategic plan. The university is proud of In 1997, ALADIN was moved to a Web-based plat- making great progress towards improving the level of form. A proxy server, added in 1998 and maintained institutional resources during the past decade in that it by WRLC, is used effectively by students, faculty, and 1) exercised self-discipline in implementing important staff working from off-campus locations, including financial measures and assessment procedures; 2) students in AU’s World Capitals Programs. In spring obtained updated credit ratings; 3) achieved operating 2003, ALADIN was further enhanced by the intro- efficiency while maximizing technology; 4) became a duction of software that allows one to search across pioneer in wireless technology; and 5) provided infor- several databases simultaneously. mation resources effectively to the university community to support teaching, learning, and research. These Center for Teaching Excellence achievements, made with limited resources, are a Established in 1998, the Center for Teaching reflection of sound fiscal management and continuous Excellence (CTE), has become a major partner in pro- process improvement initiatives.

38 Institutional Resources As the university budget becomes more complex with multiyear strategic initiatives, the community will be best served by increased communication on the budget process and by budget transparency. A more engaged community is more likely to emerge in an environment where general budget and performance information is widely shared within divisions and departments. This change would reaffirm accountability, promote creative ideas, and help new revenue opportunities emerge. RECOMMENDATIONS • Continue the multi-year budgeting and financial planning strategies. •Develop ways to better educate the university community on the budget process and improve budget transparency. Reinforce efforts to ensure that general budget and performance information is widely shared within the division or department to ensure the budget performance assessment takes place. Supporting Documents 3.1 FY2004 and FY2005 Budget Formulation Criteria 3.2 FY2004 and FY2005 Budget Formulation Schedule 3.3 Fall Full-Time Equivalent Enrollment 3.4 Expenditure Budget by Unit, FY1995 to FY2003 3.5 AU Facilities Overview 3.6 AU Use of Facilities 3.7 Campus Plan Executive Summary 3.8 Sample Classroom Assessment Report 3.9 Capital Renewal and Deferred Maintenance 3.10 Growth of 3.11 Internet Usage History 3.12 E-Operations Help Desk Calls 3.13 Library Collections Data 3.14 Library Expenditures Data

Institutional Resources 39 LEADERSHIP, GOVERNANCE, AND ADMINISTRATION CHAPTER4 LEADERSHIP, GOVERNANCE, AND ADMINISTRATION

The primary goal of governance is to enable an edu- dents. The faculty of the university has broad responsi- cational entity to realize fully its stated mission and bilities for academic standards and academic-related goals and to achieve these in the most effective and personnel. They participate in the governance of the efficient manner that benefits the institution and its institution through a faculty senate and a series of uni- students. versity committees. Students are represented through (Characteristics of Excellence in Higher Education, undergraduate, graduate, and law student councils and Standard 4) participation on select committees. An elected staff council represents full-time and permanent part-time INTRODUCTION staff members (see Supporting Documents 4.1 and 4.2). arge universities, by the nature of their work, tend Since American University’s last full review, the to be loosely linked institutions. Faculty members L administrative structure of the institution has changed pursue individualized research agendas, often in con- in significant ways. Ten years ago, the provost was cert with individuals outside the parent institution. responsible for admissions, financial aid, student serv- Academic departments advance different perspectives ices, athletics, and other areas, in addition to academic toward the collection and distribution of knowledge. affairs. While the provost continues to be responsible Many administrative services take place beyond the for academic affairs, these other areas are now headed formal scope of academic affairs. by their own vice presidents. To compensate for the American University’s leadership, governance, and relatively small number of vice presidents under the administrative structures provide a counterbalance to old system, the university had allowed the number of the loose-linked characteristics of the institution. For assistant vice presidents and vice provosts to prolifer- example, the university’s mission is widely known. A ate. Ten years ago, the individual holding the position new extensive performance management process links of provost was, in effect, the university’s chief operat- individual staff members’ activities through their ing officer. At that time, the university had a president, offices and departments to university goals. During two vice presidents, a provost, and nine assistant vice the past year, faculty involvement in the governance presidents, vice provosts, and assistant provosts. A structure of the university was revised in order to 1993 consultant’s report, prepared by A. T. Kearney improve the effectiveness of their participation. Education Practice, recommended a more conventional organization. A subsequent reorganization nar- This chapter examines and assesses the extent to which rowed the scope of the provost’s responsibilities to the university’s leadership, governance structure, and academic affairs. Responsibility for enrollment services administrative organization support and advance the and student life was separated from the Office of the institution’s mission. It covers Standards 4 and 5 of the Provost with each area administered by its own vice Characteristics. In addition to providing information president. Control of graduate admissions was subse- relative to those standards, the chapter addresses the quently decentralized to the colleges and schools. The following questions: (1) What is the relationship of President’s Cabinet now consists of seven individuals: trustees to the university? (2) What is the model of the provost; a vice president and general counsel; a vice administration used within the university, and how is president of finance and treasurer; and vice presidents of it integrated with the university’s mission? What is the enrollment services, campus life, international affairs, role of each constituency within that model? (3) What and development (see Supporting Document 4.1). is the role of faculty in governance, and are they adequately represented? and (4) Are the staffing and This organizational structure was largely in place at the administrative capabilities of the university appropri- time of the university’s most recent periodic review ate to its size and mission? (1999). Since then, modest changes in positions, titles, reporting relationships, and personnel have occurred. ORGANIZATIONAL STRUCTURE The vice president of student services is now the vice The university uses a relatively common organizational president of campus life. A new vice president of devel- structure. It has a governing Board of Trustees consisting opment assumed that post in 2000. A new cabinet posi- of 25 to 50 members. The board appoints the univer- tion, vice president of international affairs, was sity’s president, who serves as the chief executive officer established in 2002. The information technology office, and has primary responsibility for leading the institution which previously reported to the provost, was split into and overseeing its administration. The president is three parts, reporting to the provost (e-academics), the assisted by the provost and six administrative vice presi- vice president of enrollment services (e-administration),

Leadership, Governance, and Administration 41 and the vice president of finance and treasurer (e-opera- the President; (f) confers degrees; (g) appoints commit- tions). In spring 2002, e-academics was decentralized tees it deems necessary; (h) assists in raising funds to and became the responsibility of the schools and col- support the University; and (i) preserves and protects leges, the Center for Teaching Excellence, and University University operations and properties.” (See Supporting Library. In another change, the athletics department Document 4.2) now reports to the vice president of development. The President In the current structure, the respective vice presidents The president of the university is elected by the board oversee the following offices, functions, and services: and continues in office at the pleasure of the board. (1) Provost—dean of academic affairs, deans of According to the Bylaws, the president: “(a) is the schools and college, university librarian, the Chief Executive Officer of the University and an ex Washington Semester Program, university registrar, officio member of the Board; (b) executes Board poli- and institutional research and assessment; (2) Vice cies to operate, develop, and promote the University President of Enrollment Services—undergraduate mission and purpose; (c) performs such acts, duties, admissions, financial aid, university publications, uni- and responsibilities that in his/her judgment promote versity marketing, e-administration, media relations, the interests of the University consistent with the Act of information services, and WAMU 88.5 FM; (3) Vice Incorporation, the Bylaws, and Board policies; (d) rep- President and General Counsel—university legal serv- resents the University to the public and presides at pub- ices; (4) Vice President of Development—athletics, lic academic occasions, or designates a trustee or major gifts, leadership gifts, school and college devel- University officer to preside; (e) keeps the Board and its opment programs, and alumni relations; (4) Vice Executive Committee informed of University opera- President of Finance and Treasurer—business operations and activities; and (f) has other powers and duties tions, facilities administration, public safety, finance as assigned by the Board or its Executive Committee and bursar’s office, student accounts, controller, and as usually attend the office.” (See Supporting budget and payroll, e-operations, contracts, and Document 4.2) In addition to the responsibilities listed human resources; (5) Vice President of International above, the president appoints the provost and vice pres- Affairs—university international relations, Center for idents and approves the provost’s recommendations of Democracy and Election Management, Center for school and college deans and university faculty. North American Studies, and AU Abroad; and (6) Vice President of Campus Life—dean of students, With these responsibilities in mind, President counseling center, student health center, judicial Benjamin Ladner has provided leadership and admin- affairs and mediation services, academic support cen- istrative oversight for the university through many sig- ter, community service center, new student programs, nificant actions since being appointed president in July disability support services, multicultural affairs, inter- 1994. These actions include leading the institution in national student services, GLBTA (gay, lesbian, bisex- the development of its mission statement, the ual, transgender and ally) resource center, university Statement of Common Purpose (1994); the develop- center, student activities, university chaplain, and ment and successful implementation of the strategic housing and dining programs. plan, described in Building a Global University in the Nation’s Capital: American University in the Next Board of Trustees Century (1995–2001); the development and organiza- American University is a corporation established by a tion of the Campus Conversations (2000–2001); and Special Act of the Congress of the United States in the development and current implementation of the 1893. According to the university’s Bylaws, “the pur- university’s 15-point plan, described in: Ideas into pose of the Corporation is to establish and maintain in Action, Action into Service: Fulfilling the American the District of Columbia a University to promote edu- University Paradigm (2001–present). cation, with the power to confer earned academic Before coming to American University, Dr. Ladner was degrees and certificates and honorary degrees.” (See president of the National Faculty, an association of uni- Supporting Document 4.2) Corporation business is versity professors founded by Phi Beta Kappa, based in conducted by a Board of Trustees. Atlanta, Georgia. He has been a professor at the The board has responsibility for the following: “(a) University of North Carolina at Greensboro, where he elects the President of the University and approves the won the university’s Teaching Excellence Award. As a appointment of the Provost, Vice Presidents, and professor of philosophy and religion at AU, he has Secretary; (b) establishes University policies, which are taught while serving as president. He holds degrees to be executed by the President; (c) assists, guides and from Baylor University (BA), Southern Seminary evaluates the progress of the University and receives (BD), and Duke University (PhD), and honorary doc- reports from the President on this progress; (d) elects toral degrees from Elizabethtown College (Pa.), Board members and officers; (e) approves full-time Sookmyung Women’s University (South Korea), and and tenured faculty appointments recommended by Tashkent State Economic University (Uzbekistan).

42 Leadership, Governance, and Administration The Provost Goodman, dean of the School of International Service; Claudio Grossman, dean of the Washington College The provost is appointed by the president with the of Law; Larry Kirkman, dean of the School of approval of the board and continues in office at the Communication; William LeoGrande, dean of the pleasure of the president. According to the Bylaws, School of Public Affairs; Kay Mussell, dean of the the provost: “(a) is the Chief Academic Officer of the College of Arts and Sciences; and Myron Roomkin, University, second in responsibility only to the dean of the Kogod School of Business. The director of President; (b) reports to the President and has other institutional research and assessment, Karen Froslid powers and duties assigned by the President; (c) is a Jones, is also a member of the council, as are the assistant member of the University faculty and of each department, school, and college, and an ex officio member provost for administration, Violeta Ettle; the university of each academic committee of the University; librarian, Patricia Wand; and the university registrar, (d) receives recommendations from the faculty and Linda Bolden-Pitcher. academic administrators for consideration and recom- The Vice President of Finance and Treasurer mendation to the President; (d) exercises the powers and duties of the President during the President’s The vice president of finance and treasurer is absence or incapacity or in case of a vacancy in that appointed by the president with the approval of the office; (e) may attend meetings of faculties, schools, board and continues in office at the pleasure of the colleges, departments, and academic committees; and president. According to the Bylaws, this vice president: (f) at least once during each academic year calls a “(a) is the Chief Financial Officer of the University; meeting of all persons with faculty rank to discuss (b) reports to the President and has other powers and matters affecting the academic policies and educa- duties assigned by the President; (c) supervises tional offerings of the University.” (See Supporting Corporation funds and properties; (d) keeps full and Document 4.2) accurate accounts of all receipts and disbursements of the Corporation and, upon request, presents them to University faculty are appointed by the provost with the Board’s Finance and Investment Committee or its the advice and consent of the appropriate college or Executive Committee or to the Board itself; and (e) at school faculty, department head, and dean, and with the end of each fiscal year, causes an audit to be con- the approval of the president and the board. The ducted by a certified public accountant, which reports provost is the chair of the faculty. Each school or col- directly to the President and the Board’s Audit lege dean is the chair of that school or college faculty. Committee.” (See Supporting Document 4.2) The provost appoints school and college deans with the advice and consent of the appropriate college or Don Myers has served as vice president of finance and school faculty and with the approval of the president treasurer of American University since 1982. As chief and the board. financial officer, he is responsible for the overall financial and investment management of the university, Professor Cornelius “Neil” Kerwin began his term as controllership and treasury functions, budget opera- provost in 1998. Before his appointment as permanent tions, capital planning and development, facilities provost, he held this position in an acting capacity. A planning and development, physical plant, auxiliary member of the AU faculty since 1975, Dr. Kerwin has services, and human resources. Mr. Myers has served held a number of prominent leadership positions as a member of the administrative staff at American within the School of Public Affairs, including that of University since 1968 and has worked as treasurer, dean from 1989 to 1997. In addition to his manage- assistant vice president for finance and assistant treas- ment responsibilities at the university, he has been urer, assistant to the treasurer, coordinator of internal actively engaged in teaching and research. He is a spe- audits and business systems, and internal auditor. cialist in public policy, with emphasis on the regulatory process. He teaches courses in administrative Mr. Myers earned his BS in business administration process, policy implementation, and American gov- from Shepherd College and an MBA in finance from ernment. American University. In 1997, he was the first U.S. higher education administrator selected to attend the Professor Kerwin received his PhD in political science International Senior Managers Program of the from the Johns Hopkins University in 1978, an MA in Harvard Business School’s Advanced Management political science from the University of Rhode Island Program. in 1973, and a BA from American University in 1971. The Vice President of Development The provost is advised by a council consisting of deans, a director, the university librarian, and the uni- The university’s other vice presidents are also versity registrar. The deans at American University appointed by the president with the approval of the who are members of the Provost’s Council are Ivy board, continue in office at the pleasure of the president, Broder, dean of Academic Affairs; David Brown, dean and have powers and duties assigned by the president. of the Washington Semester Program; Louis Vice president of development Al Checcio has served

Leadership, Governance, and Administration 43 in leadership positions in the advancement profession A higher education law specialist for more than 20 for more than 25 years, with 15 years in higher educa- years, Ms. Kennard is a member of the Pennsylvania, tion development. He has managed programs at the Rhode Island, and District of Columbia bars. She is a Cystic Fibrosis Foundation and the National Multiple noted lecturer in higher education law and is the author Sclerosis Society as well as at the Children’s Hospital of of various law journal articles on higher education law. Philadelphia. Specifically within the realm of higher The Vice President of Enrollment Services education, Mr. Checcio has overseen all aspects of the development and alumni relations business, spe- In October 2003, Cheryl Storie was appointed acting cializing in campaign management and major gifts vice president of enrollment services following the fund raising. October 1, 2003, resignation of Thomas Myers. Mr Myers had been the vice president of enrollment services Mr. Checcio became the vice president of develop- at AU since 1995. Ms. Storie has executive responsibili- ment at American University in April 2000. He is a ties for admissions, financial aid, media relations, univer- graduate of Drexel University. sity publications, marketing, information services and The Vice President of Campus Life administrative computing, the fulfillment center, and other related support operations as well as the university’s Gail Short Hanson has been vice president of campus National Public Radio station, WAMU 88.5FM. life since August 2002 and was vice president of student services from July 1997 through August 2002. Ms. Storie has 18 years experience in higher education She provides senior executive leadership for 15 areas, administration including the last 8 1/2 years at mentioned earlier in this chapter. American University. At AU, Ms. Storie has served as director of financial aid and in that capacity was Dr. Hanson has spent more than 30 years in higher awarded the American University Outstanding Staff education administration, including service as assis- Award in 1997. For the last four years, she has been tant vice president and dean of students at the George assistant vice president of enrollment services. Washington University. Prior to coming to AU, Dr. Hanson was an organizational consultant in the Office Prior to her arrival at AU, Ms. Storie held professional of Postsecondary Education at the U.S. Department of positions with Computer Technology Services (a U.S. Education. She is a past president of the National Department of Education contractor) and the National Association for Women in Education (NAWE) and Association of Student Financial Aid Administrators recipient of the association’s awards for educational (NASFAA), and served for eight years in financial aid leadership and for distinguished service. She is on the administration at the University of Delaware. board of directors of Susquehanna University and the Ms. Storie is a member of the board of directors of the educational advisory board of the National Young National Association of Student Financial Aid Leaders Conference. Dr. Hanson earned her BA from Administrators (NASFAA). She holds a BA in com- the University of Wisconsin and her MEd, MPh, and munication from the University of Delaware and an PhD degrees from the George Washington University. MEd in college counseling and student personnel Vice President and General Counsel administration also from the University of Delaware. Mary Kennard is vice president and general counsel of The Vice President of International Affairs American University. Prior to joining AU in 1995, she Dr. Robert Pastor became vice president of interna- served as the vice president and general counsel of the tional affairs and professor of international relations at University of Rhode Island for eight years, as well as AU in May 2002. In this new position, Dr. Pastor general counsel for Rhode Island College and the leads AU’s international programs and activities, Community College of Rhode Island. Ms. Kennard has reflecting the university’s commitment to become the also served as the legal representative for Howard nation’s premier global university. Last fall he estab- University, the University of Pittsburgh, and Thomas lished and now directs two centers that draw together Jefferson University. Ms. Kennard holds a BAS with teaching, research, and service on two key global honors from Boston University, a JD from Temple themes for the twenty-first century—democracy and University, and an LLM in international law from the integration: the Center for Democracy and Election George Washington University National Law Center. Management and the Center for North American Studies. In August 2003, Dr. Pastor was given respon- As general counsel, Ms. Kennard is responsible for the sibility for AU Abroad, the university’s academic-expe- representation of the university in all of its legal matters. riential programs abroad, including the World In addition to representing the university before courts Capitals Program. and agencies, Ms. Kennard and her staff of attorneys provide legal advice to university administrators on a Before coming to AU, Dr. Pastor was the Goodrich C. wide range of legal matters, including taxation, immi- White Professor of Political Science at Emory gration law, labor law, and civil rights. University. From 1985 until 1998, he was a fellow and

44 Leadership, Governance, and Administration founding director of the Carter Center’s Latin American Triennial reviews can be quite extensive, involving and Caribbean Program and the democracy and China anonymous questionnaires, personal interviews of election projects. He was the director of Latin American some staff, calls for outside commentary, and com- and Caribbean affairs on the National Security Council ments from members of councils on which the admin- from 1977 to 1981. In 1993, President Bill Clinton istrators serve. The process was established at a time nominated him to be ambassador to Panama. Dr. Pastor (1987) when a large number of administrators has been a foreign policy advisor to each of the reported to the university provost. Subsequently, with Democratic Party presidential candidates since 1976 the focusing of provost responsibilities and the institu- and has been a consultant to the U.S. government, tion of the Performance Management Program, tri- foundations, international organizations, nongovern- ennial reviews do not occupy as prominent a position mental organizations, and private businesses. at the university as they did more than 15 years ago. Dr. Pastor received his MPA from the John F. Kennedy BOARD OF TRUSTEES School of Government and his PhD in political sci- American University seeks to recruit individuals to its ence from Harvard University. A Phi Beta Kappa grad- Board of Trustees who can represent constituent and uate of Lafayette College, he served as a Peace Corps public interests and carry out the board’s fiduciary volunteer in Malaysia and in 1995 received the responsibilities. The official screening criteria for Sargent Shriver Humanitarian Service Award, the potential trustees favor nominees who understand the highest award for a returned Peace Corps volunteer. university; are willing to promote its interests; have He was the Ralph Straus Visiting Professor at Harvard local, national, or international influence; are willing University’s John F. Kennedy School of Government to make significant financial contributions to the uni- in 1998–1999. Dr. Pastor is the author or editor of 14 versity and assist in its fund-raising activities; have books and more than 200 articles on U.S. foreign pol- proven leadership ability; and are able to attend and be icy, human rights and democratization, North involved regularly in board and university activities. American integration, trade policy, immigration, Latin America, and China. Nearly 60 percent of the 27 current members of the Board of Trustees are alumni of American University, Assessment of Institutional Leadership with almost 15 percent having more than one degree Standards for reaccredidation in Characteristics of from AU. Roughly 60 percent of the trustees live in Excellence require the university to complete a “periodic the Washington, D.C., metropolitan area. More than assessment of the effectiveness of institutional leader- 70 percent of the trustees have expertise in administra- ship and governance.” Additionally, the university’s tion and management; forty percent have expertise in own Academic Regulations requires periodic evaluations finance and investment; and 30 percent have expertise “to assure faculty oversight of key administrators.” To in fund raising. In addition to their service to accomplish the first objective as part of an overall American University, the trustees serve on both local annual performance assessment program that was inau- and national boards as well known and diverse as the gurated in 2000, and now as a systematic means of Federal City Council, the John F. Kennedy Center for implementing the overall 15-point plan, the university the Performing Arts, the Corcoran Gallery of Art, the recently established a Performance Management National Rehabilitation Hospital, the Duke University Program (PMP), which is described in more detail in School of Medicine, the Pediatric AIDS Foundation, Chapter 2 and at the end of this chapter. PMP provides the Council on Foreign Relations, and the Weizmann a formal process for relating university goals to supervi- Institute of Science. sory expectations and appraising individual perform- Trustee Conflict of Interest ance against expectations. Reviews take place annually at all levels of the university. The performance of the American University trustees serve a public-interest president is assessed annually by the Board of Trustees. role and, as fiduciaries, must avoid any conflict The president in turn develops goals and performance between their personal interests and the university’s expectations with the vice presidents and reviews their interests. The university Bylaws state that “Any con- performance annually. This process extends throughout flict or appearance of conflict of private or business the university so as to involve deans, department chairs, interest by any trustee shall be disclosed to the Board directors, and other senior staff as well as other staff at and made a matter of written record.” (See Supporting the university. In addition, individual faculty perform- Document 4.2.) When elected, each trustee reads and ance is assessed yearly by their department chairs signs a trustee conflict of interest statement (See through an annual merit review. Supporting Document 4.3), which includes the following policy: In addition to the Performance Management Program, the university conducts triennial reviews of the princi- All decisions of the Board must be made solely on ple academic officers reporting to the provost (e.g., the basis of a desire to promote the best interest of school and college deans, academic deans, etc.). the university. An effective Board will not likely

Leadership, Governance, and Administration 45 consist of individuals entirely free from at least per- general oversight of the university and ensure its sol- ceived conflicts of interest. Therefore, it is crucial vency, dignity, freedom, and autonomy; (4) To elect, that the Board be fully aware of personal, family, or support, and evaluate the president of the university; business relationships that could be troublesome or (5) To define and monitor the mission and long-range embarrassing to the university due to conflicting plans of the university and approve educational pro- interests. grams consistent with them; (6) To maintain the physi- While trustees should not use their privileged posi- cal plant and preserve the assets of the university; (7) To tion to advance personal or business agendas at uni- raise funds for the university through personal financial versity expense, certain transactions between contributions to the annual fund and capital campaigns individual trustees and the university could have and by soliciting other financial support; (8) To devote benefits to both. They could be permitted so long as sufficient time and interest to be genuinely knowledge- they are fair, completely transparent, and fairly able about the university and, acting as its ambassadors, entered into. Such transactions require (a) full dis- be able to convey and interpret to the public the mis- closure to the Board of any potential conflict of sion, strengths, and needs of the university; (9) To interest between the trustee, his/her relatives or attend regularly and participate actively in board meet- business associates, and the university; (b) com- ings and committee assignments; and (10) To assist in pelling factors that suggest the transaction is in the recruiting well-qualified students for admission and in best interest of the university; (c) authorization by helping well-qualified graduates of the university to the Board or Executive Committee. The trustee enter graduate and professional schools and to obtain must be recused from Board or committee meetings employment.” (See Supporting Document 4.3) considering matters that involve his/her possible The Trusteeship Committee is responsible for develop- conflict of interest. (See Supporting Document 4.3) ing and overseeing an orientation program for new Trustee Fund-Raising and Other Development trustees. On an as-needed basis, the committee Activities arranges formal trustee orientation, which includes a packet of relevant materials, a tour of the campus, a Providing leadership in AU fund-raising activities is a meeting with the President’s Cabinet at which the critical obligation of the board. The university’s ability provost and vice presidents summarize their priorities to accomplish its mission and realize the goals of its and challenges, and a meeting with the president and strategic planning is dependent upon its success in board chairman to speak about the university’s mission raising funds. The success of the university in this and the board’s goals and responsibilities. Specific regard rests directly upon board initiative and leader- items are discussed, including the new trustee’s ship. Some board members will have a greater capac- involvement in fund-raising initiatives, specific inter- ity, interest, and skill in this area, but every trustee is ests in a particular school, college, center, or institute responsible for participating actively in fund-raising and how those interests can assist academic units, activities that benefit AU. interest or expertise with respect to board committees, Tr ustee responsibilities are set forth in the university and the expectation of active and responsible board Charter and Bylaws and in the board’s Policies. These participation. (See Supporting Document 4.3) responsibilities include, but are not limited to, the Board Assessment and Accountability following: American University was established under the aus- To raise funds for the university through personal pices of what is now known as The United Methodist financial contributions to the annual fund and capital Church (UMC). The board is self-perpetuating, and, campaigns and by soliciting other financial support. originally, trustees were elected to 12-year terms, (See Supporting Document 4.3) rather than the three-year terms trustees now serve. In Trustee Orientation its early years, the board, whose size can be no more than 50 trustees, would elect new trustees to fill vacan- The university Charter and Bylaws and the board’s cies, which often occurred through the death of a policies clarify trustee responsibilities and obligations, trustee. The Act of Incorporation chartering American enable members to understand better the role they University in 1893 provided that at least two-thirds of assume, and serve as a guide to assess their own per- the members of the board of trustees be members of formance. These responsibilities include, but are not the UMC. limited to, the following: “(1) To contribute to the enhancement of the teaching-learning environment, Over time, however, AU’s relationship to the UMC foster intellectual integrity, and ensure that informed, changed. Amendments to the university’s charter highly educated citizens are prepared to participate reduced the proportion of UMC members on the responsibly in a free and open society; (2) To uphold the board of trustees from two-thirds to three-fifths legal and fiscal responsibilities of the board as specified (1951), and in 1972, because of fears of losing federal in the university Charter and Bylaws; (3) To exercise aid because of its ties to the UMC, the university ini-

46 Leadership, Governance, and Administration tiated a process to reduce the proportion of trustees university activities; (5) use of special talents, abilities, or who were Methodist to one-fourth. In 1990, an professional relations to benefit the university; (6) finan- amendment to the Act of Incorporation eliminated the cial support; (7) assistance in fund-raising programs; requirement that three-fifths of the trustees be and (9) compliance with the Trustee Conflict of Interest Methodists and replaced it with a more general policy. (See Supporting Document 4.3.) requirement that stated, “ . . . their associates and suc- The formal process for evaluating the performance of cessors, including individuals who are members of the individual trustees takes place at least every three years United Methodist Church, including (subject to their at the conclusion of the trustee’s term. The Trusteeship acceptance) the Bishop of the Washington Episcopal Committee notifies trustees that their terms will be Area and [the] General Secretary of the General Board of concluding and asks them whether they are interested Higher Education and Ministry of the United Methodist in continuing to serve. With the criteria for trustee Church . . . ” (see Supporting Document 4.2). performance in mind, the committee reviews the suit- The 1951 amendment to the Act of Incorporation not ability of those trustees who indicate their interest in only reduced the proportion of Methodists on the being reelected and recommends for reelection those board but also clarified the relationship between AU trustees who have met the performance criteria. and the UMC, requiring (1) that all persons elected to The Trusteeship Committee also has criteria for assess- the university’s board of trustees be approved by the ing the board’s collective effectiveness, which include General Board of Higher Education and Ministry of (1) enhancement of the university’s public image; (2) the United Methodist Church (GBHEM) and (2) that progress towards accomplishing board goals; (3) active all proposed amendments to AU’s Act of support of the president; (4) significant funds con- Incorporation be first approved by the GBHEM. The tributed and raised; (5) effective oversight of resources; third condition stated, “all property, both real and per- (6) assurance of successful implementation of strategic sonal, of the corporation shall be held in perpetuity for plan; (7) promotion of the university community’s educational purposes under the auspices of the well-being; (8) participation in campus events; (9) Methodist Church and subject to the terms and provi- continual assessment of the board’s performance; (10) sions of the Discipline of the Methodist Church [the board and committee meetings that are efficient with church’s book of laws].” clear, tangible outcomes and assigned responsibility for In 1892, the UMC established its University Senate, implementing decisions; and (11) board and commit- which was one of the first accrediting bodies in the tee meetings focused on issues with genuine signifi- U.S. The senate’s accrediting process provided AU cance for the university. (See Supporting Document 4.3.) with an external assessment whose purpose was to It is usual for the Trusteeship Committee and the ascertain that AU, like other schools, colleges, and uni- board to discuss and evaluate board performance from versities related to the UMC, was “worthy of bearing time to time, using the criteria noted above. These the name of the Church, in one way or another.” The evaluations are self-assessments, rather than assess- University Senate continues to review AU and other ments by an external, independent organization. UMC-related higher education institutions (the next Board policy allows it to decide the feasibility of a University Senate review of AU is scheduled to take trustee evaluation survey and the usefulness of bring- place in fall 2004), but the Senate no longer conducts ing in periodically an outside evaluator to provide an a formal accreditation since regional accrediting bod- independent perspective to the evaluation of board ies such as the Middle States Commission on Higher operations. In light of the university’s recognition of Education now perform an assessment as part of their the increasing importance of assessment for AU’s con- own accreditation processes. Today, the University tinual renewal and of the board’s own awareness of Senate reviews “the way in which an institution is in assessment’s value for individual and organizational fact related to the Church” (see Supporting Document performance, it is recommended that the board take 4.21). By meeting the criteria the senate has devel- advantage of periodic external evaluation to have its oped, AU continues to retain its listing as an UMC- performance assessed independently. The board’s own related school. policies endorse the prospect of enlisting the services As with the institution as a whole and its schools, col- of an external evaluator “from time to time” to assess leges, offices, and departments, the university’s Board board performance. of Trustees conducts a self-assessment process. Under Participation in Governance the leadership of the Trusteeship Committee, the board has developed and maintains a process of mon- Over the years, the Faculty Senate (formerly, the itoring individual and collective improvement. Criteria University Senate), the Student Confederation, the for individual trustee effectiveness include (1) active Graduate Leadership Council (formerly the Graduate involvement in board and university activities that Student Association), the Student Bar Association, the enhance the university; (2) regular attendance and effec- Staff Council, and the Alumni Association have indi- tive participation at meetings; (3) involvement in other cated to the board and university administration their

Leadership, Governance, and Administration 47 wish for increased participation in the governance of the University Senate with a Faculty Senate, composed the university. American University’s board believes it of faculty only. should give careful attention to the views of faculty, During development of the new body, the project team students, alumni, and staff and take advantage of the met twice with President Ladner, discussing the chang- expertise, interest, and concern of these bodies ing administrative nature of the university in recent through shared information and participation in the years and his vision for the new body, which included governing process. (See Supporting Document 4.3) ways (1) to empower the academic units with greater In order to provide meaningful and active participation decision-making authority and (2) to avoid duplication. by the university community while maintaining the The project team asked for and received assurances from board’s objectivity and perspective, the board includes the administration that in order to be implemented the and engages student and faculty participation on appro- proposal would need to be ratified by the faculty. priate standing committees. Representatives appointed In April 2002, the project team submitted to the entire by and from the Faculty Senate, the Student faculty the final form of the faculty governance pro- Confederation, the Graduate Leadership Council, the posal, outlining structure and rationale. In a secret bal- Student Bar Association, the Staff Council, and the lot vote, the faculty ratified the proposal on April 29, Alumni Association serve as resource persons distrib- 2002, with 273 votes in favor of the proposal and 143 uted among the following board committees: Academic opposed. Further, the voter turnout exceeded the aver- Affairs, Campus Life, and Finance and Investment. age senate vote turnout by more than 150 percent. In addition to attending meetings of the board’s stand- The election process for Faculty Senate representatives ing committees, the chairs of the Faculty Senate and the occurred in the summer and fall of 2002. Academic Staff Council, and the presidents of the Student units held elections for service on Faculty Senate com- Confederation, Graduate Leadership Council, Student mittees; there was a faculty-wide vote for at-large Bar Association, and Alumni Association attend meet- Faculty Senate seats. In October, the first meeting of the ings of the full board also as advisory resource persons. Faculty Senate was held and new leadership organized; As with the standing committees, however, the board the new leaders assumed their roles in January 2003. In may meet in executive session for any matter considered April 2003, the Faculty Senate approved the rules of the advisable, exclusive of resource persons. (See Supporting new Faculty Senate, Academic Regulation 50.00.04. Document 4.3) The new faculty governance structure is built upon FACULTY four basic principles: (1) that a democratic and inclu- The provost is the chair of the faculty. Each school or sive faculty governance system that strengthens the college dean is the chair of that school or college fac- ability of the faculty to meet its responsibilities to the ulty and is appointed by the provost with the advice institution and our students is important; (2) that fac- and consent of the school or college faculty and with ulty time is valuable, and the demands of our primary the approval of the president and board. responsibilities for teaching and research are substantial; (3) that whenever possible, decisions should be According to the Bylaws, “Subject to the powers vested made at the school, college, and library (i.e., “academic in the Board, President, and Provost, the faculty, func- unit”) or department level by those most affected by tioning through its duly constituted entities, has primary them; and (4) that duplication of functions should be responsibility for: (a) instruction and academic stan- avoided. (See Supporting Document 4.19) dards; (b) curriculum and course approvals; (c) recommendations of faculty appointments, promotions, and To summarize, the major changes made in the struc- faculty personnel concerns; (d) recommendations for ture of the University Senate by replacing it with the the instructional budget; and (e) recommendations of Faculty Senate are as follows: policies affecting student affairs.” (See Supporting •The new body’s name, Faculty Senate, emphasizes its Document 4.2) role as the main faculty governance institution Faculty Governance on campus. Students are voting representatives on committees. The role of faculty governance at American University has undergone a dramatic transition. In fall 2001, as • The Faculty Senate consists of 23 members (instead part of his 15-point strategic plan, President Ladner of 44), has six standing committees (instead of 14), called for “a new model of governance . . . to provide and four advisory or special committees (instead of a more flexible, consultative, and efficient system of three). With its smaller size, the full Faculty Senate decision making.” (See Supporting Document 4.6) He functions as its own executive committee to identify directed the provost to assemble a special project team and discuss significant issues, set meeting agendas, (1) to develop a smaller body; (2) to focus exclusively and assume the nomination process. This avoids on academic and faculty issues; (3) to offer strategic redundancy while empowering more faculty to be faculty input on future decisions; and (4) to replace involved in key decisions.

48 Leadership, Governance, and Administration • There are fewer standing committees, and the work- Association, the chair of the Graduate Leadership load is consolidated to provide more flexibility and Council, the president of the Student Confederation, efficiency. Committees are empowered to create ad and the chair of the Staff Council. The other seven hoc task forces and/or subcommittees, as needed, to members of the council are appointed by the president keep the workload manageable. There are six stand- on recommendation from the President’s Cabinet and ing committees: (1) Joint Committee on Curriculum others. and Academic Programs; (2) Committee on Faculty STUDENTS Relations; (3) Committee on Instructional Budget and Benefits; (4) Committee on Faculty American University offers its undergraduate, gradu- Development; (5) Committee on Information ate, and professional students, as well as its faculty and Services; and (6) Committee on Student Learning staff, many opportunities to participate in governance and Academic Engagement. There are four advisory organizations, university-wide advisory groups, and and special committees: (1) Committee on Faculty leadership roles. For example, student representatives Equity and Grievance; (2) Hearing Committee; (3) from the Student Confederation, Graduate Leadership Committee on General Education; and (4) Honors Council (formerly, the Graduate Student Association), Advisory Committee. and Student Bar Association attend general sessions of meetings of the Board of Trustees and some of its •Election of the members of the Faculty Senate by standing committees. In addition, there are or recently their colleagues in the academic units links them have been university-wide committees on which stu- firmly to the processes and standards from which cur- dents sit, including the Living Wage Project Team riculum and faculty actions develop. Selecting repre- (September 2001–February 2002), NCAA sentatives at the local level, where colleagues know Reaccreditation Self-Study Steering Committee and each other well, ensures legitimacy and accountability subcommittees (September 2001–March 2003); of the Faculty Senate and its committees. Middle States Reaccreditation Self-Study Steering •Elections provide for broad-based, proportional rep- Committee and task forces (February 2002–present), resentation across campus. Ten members are elected and Workplace Conduct Advisory Group (ongoing, to the Faculty Senate by the university’s academic meets quarterly). units; four members elected at large by a campus- Students in the Faculty Senate wide vote; eight chairs of standing committees sit on the Faculty Senate, as does the immediate past chair The Faculty Senate is responsible for instruction and of the senate. By electing Faculty Senate members curriculum and guides critical decisions on the budget directly from the academic units, the importance of and student affairs. Students participate in four senate university governance is institutionalized, and there committees to provide direct input on student-related is greater legitimacy and accountability. issues. These committees are (1) the Joint Committee on Curriculum and Academic Programs, which has •Terms are for two years for the Faculty Senate and its oversight of graduate and undergraduate offerings, committees, with staggered terms. A member can including the General Education and the University serve two successive terms (four years), after which Honors Programs, with jurisdiction limited to consid- there must be a one-year term hiatus before becom- eration of new programs, major changes, and termina- ing re-eligible for election. tions that affect more than one teaching unit; (2) the • As established in the university’s Bylaws, the Faculty Committee on Instructional Budget and Benefits con- Senate serves as the authoritative voice of the entire siders all financial matters pertaining to the academic faculty on matters pertaining to the academic mis- programs and the faculty of the university, considers sion and strategy of the university. The systems of the physical plant operations and services in support of governance at American University also provide for academic programs, and represents the Senate in mat- faculty decision making through structures and ters of faculty benefits; (3) the Committee on processes in the academic units. The ratified gover- Information Services, which serves as a formal advi- nance structure more closely ties the mission of the sory committee to the university librarian and the Faculty Senate to its authorized mandate. Center for Teaching Excellence, assesses the varying library and computer needs of undergraduate stu- University Council dents, graduate students, and faculty and examines the Established in response to the 15-point plan, the adequacy of the delivery of library and computer serv- University Council serves as a university-wide advisory ices to students and faculty, in particular, facilities, group on university issues for the president. The coun- budget support, staff, and cooperation with the cil has 12 members: four faculty, four staff, and four Consortium of University Libraries and University students. Five members are ex officio members by Computing Center; and (4) the Committee on virtue of their elected positions: the chair of the Student Learning and Academic Engagement, which Faculty Senate, the president of the Student Bar serves as the Senate’s liaison to the student community

Leadership, Governance, and Administration 49 on matters that affect student learning and academic Kennedy Political Union (KPU), the Student Union engagement. These matters may include but not be Board (SUB), Homecoming, Founder’s Day, Diversity limited to academic performance and retention, aca- Action Team (DAT), Student Advocacy Center (SAC), demic integrity and student conduct, student-faculty and AU Transit Organization (AUTO). relations, experiential learning, academic support serv- The General Assembly (GA) is the legislative branch ices, financial assistance programs, co-curricular and of the student government, consisting of 40 voting extra-curricular programming, and residential life. The members, each elected to a one-year term. The GA allo- committee also addresses matters of academic policy cates student activity fee funds, enacts legislation to fur- pertaining to the university’s intercollegiate athletics ther the interests of undergraduate students, approves program. rules and regulations governing the SC, and acts as a Residential Life—Residence Hall Association forum for student concerns. The GA is composed of representatives from each class, undergraduate school or For the undergraduate student, the Residence Hall college, residence hall, and commuter students. Association provides a means to enhance life in the residence halls and advocate for a better one. Each resi- The Constitutional and Procedural Review Board dence hall has individual floor councils, which, (CPRB) is the judicial branch of the SC. This branch together, make up the seven residence hall councils. is responsible for interpreting the Constitution and the Representatives from all of the residence hall councils governing documents of the SC to ensure that the make up the Residence Hall Association General actions of the SC conform to its established rules. Council, officers of which compose the Residence Hall Student Media Association Executive Board. AU is host to six student-run media outlets, governed School Councils by the Media Board (American Literary, American Each undergraduate school and college has its own Word, ATV, Talon and WVAU) and the Eagle Board school council. The president or chair of each school of Directors (Eagle). Each governing body operates in council is a member of the Student Confederation’s accordance with its constitution and bylaws. The General Assembly (see below). boards are empowered to approve budgets and elect the leaders of the individual media organizations. Student Confederation The American University Club Council (AUCC) The undergraduate student body is represented by a university-wide student government association called The AUCC is the governing board for all recognized the Student Confederation. The mission of the organ- undergraduate and graduate clubs at AU. The council ization is to promote the common welfare of the stu- provides funding and support to facilitate the creation dents, which it does through sponsoring programs and of new clubs, as well as the continuation and advance- services and acting as the voice of the undergraduate ment of established clubs. AUCC membership con- student body. All organizations, clubs, and councils sists of one chairperson, five caucus members affiliated with the Student Confederation function in representing each of the club caucuses, and two over- accordance with their individual governing instru- sight appointments from the SC and GLC respec- ments, the Student Confederation bylaws, and the tively. The club caucuses include: Social Groups; Special Student Confederation constitution, and are eligible Interest Groups; Religious Groups; Professional/Service/ for Student Confederation funding. The Student Academic Groups; and Ethnic and Cultural Groups. Confederation is made up of three branches: The The AAUC receives 15 percent of the mandatory General Assembly (legislative), The Executive Cabinet undergraduate student activities fees and 14 percent of (executive), and the Constitutional and Procedural the mandatory graduate student activities fees and Review Board (judicial). allocates funds to each recognized student club and The Executive Branch consists of four executive offi- association. cers: the president, vice president, comptroller and sec- The Graduate Councils and the Graduate retary, and governing councils for each of the classes Leadership Council and the schools at the university: Class of 2004, Class of 2005, Class of 2006, and Class of 2007, College of To address the needs and concerns of the university’s Arts and Science Undergraduate Council, Kogod graduate students, individual school and college grad- Undergraduate Business Association, School of uate councils and a Graduate Leadership Council have Communication Undergraduate Council, School of been established. These organizations replaced the International Service Undergraduate Cabinet, and the Graduate Student Association (GSA) in January 2003. School of Public Affairs Undergraduate Cabinet. The The purpose of the new structure is to establish a uni- Executive Cabinet provides many services and oversees fied representative voice, influencing the university’s departments that offer programming in a wide range decision-making process, promoting academic excel- of areas including Artemas Ward Weekend, the lence; improving the overall academic and social expe-

50 Leadership, Governance, and Administration rience for the university community and, in particular, goal of high quality education. Towards this effort, the for the graduate and professional students, and facili- Staff Council promotes understanding and cooperation tating communication among graduate and under- by facilitating communication among campus con- graduate students at the university. All graduate stituencies and by serving as an advocate for staff issues. students in the College of Arts and Sciences, the The purpose of the Staff Council is “(1) to provide a Kogod School of Business, the School of forum for hearing and reviewing staff concerns and Communication, the School of International Service, interests; (2) to serve as a sounding board for the and the School of Public Affairs are represented by administration regarding proposed actions, programs, their respective graduate councils and presidents, who policies and procedures that will affect the staff; (3) to in turn form the Graduate Leadership Council. participate, assist, and advise in decision-making The individual school or college graduate councils processes that affect the staff’s relationship with the facilitate academic enrichment, programming, and larger university community; (4) to initiate sugges- social events for their graduate students and serve as tions to improve university staff relations, and help foci for graduate involvement and communication bring useful ideas that may originate from within the within each school or college. Each graduate council staff to the attention of the administration; (5) to rec- elects a president in accordance with its respective ommend to cabinet [i.e., the President’s Cabinet] staff bylaws. These officers are empowered to allot their members who can serve as appointees on other univer- funding to the schools’ or college’s graduate student sity or human resources committees; and (6) to act, in organizations and to legislate and address the concerns general, to help make American University’s educa- of their teaching unit, school, or college. tional community an efficient, fulfilling, and attractive environment for employment.” (See Supporting The Graduate Leadership Council is administered and Document 4.22) represented by an executive chairperson and an executive vice chairperson. The Graduate Leadership University Project Teams and Committees Council has the authority to debate and legislate in all The university involves its students, faculty, and staff areas pertaining to the university’s policies regarding in cross-divisional project teams in order to support the academic, social, and cultural well-being of gradu- effective flow of information and enhance decision ate students. It directs the executive chairperson and making. For AY2002–2003, the university maintained the executive vice chairperson to forward recommen- 21 teams whose role is defined as either: (1) func- dations and legislation enacted by the Graduate tional—to coordinate a routine event that fulfills a Leadership Council to appropriate university officials, university function; (2) process improvement—to and it dictates the official position of the graduate make recommendations for improvements in policies, population on university policy. The General procedures, and programs; or (3) compliance—to Leadership Council may enact, through legislation monitor compliance with regulatory requirements. passed by a majority vote any policy, regulation, or guideline necessary or proper to ensure effective grad- Each project team is assigned a chair and provided with uate governance at the university level. a team charter that clearly delineates responsibilities and authority. Each project team reports to the provost STAFF or a vice president, meets on a regular basis during the In addition to their role in implementing university year, and submits periodic end-of-the-academic-year policy, staff members are involved in university gover- reports on their activities and recommendations. nance in a number of ways. They participate through Nearly 160 staff members, some 40 faculty members, the Staff Council, an elected body that represents full- and 36 students were appointed to serve on project time and permanent part-time staff members, and teams for AY2002–2003. The number of teams, char- through membership on university standing commit- ters, and members is assessed each summer to deter- tees and project teams. This section addresses the role mine the need to stop, start, or continue a project of staff in university governance and the means by team and its activities into the next academic year. which the institution seeks to improve the quality and AU Staff’s Contribution to University Success motivation of staff members. It also describes the university’s Performance Management Program, which is As the academic environment becomes even more designed to provide cohesion and direction for all per- competitive, American University recognizes its sons with work-related responsibilities within the unique capabilities and resources and uses them to institution. continue raising its position in the academic world. In its 1997 strategic plan, the university identified how it Staff Council would go about strengthening and differentiating The Staff Council’s mission is to serve the interests and itself. It confirmed that a highly skilled staff would needs of the staff pertaining to their daily activities and continue, increasingly, to be critical to the university’s work conditions as they strive to support the university’s success. Further, the university considers the diversity

Leadership, Governance, and Administration 51 of its workforce one of the strengths that help define national comparative data provided by the organization AU as a unique place to work. Currently, for example, conducting the survey. The survey also revealed that 43 percent of AU staff members are minorities—an 11 university employees were slightly less committed to percent increase since 1994—and 55 percent are the university than employees in other organizations: female (see Supporting Documents 4.8 and 4.9). one in four respondents indicated that he or she would likely leave the university in the next 12 months. The Just as the university competes for students and fac- group at greatest risk for turnover appeared to be the ulty, it also competes for staff, and that process does 21–30 year olds who had fewer than five years of serv- not end with hiring. The university recognizes that to ice and were in non-supervisory positions. A number of remain competitive, AU must reward all of its qualified and diverse workforce for contributions to the these individuals cited graduation from a graduate or organization. Therefore, through its 1997 strategic- professional program as reason for leaving. planning process, the university made it a priority to After making many changes to its human resources design and implement market-competitive human programs, the university feels it is making a greater resources programs that support staff recruitment, investment in its staff. In turn, the administration retention, and performance. believes this stronger workforce will enable the univer- AU defines competitive as (1) offering pay and benefits sity to meet the challenges of implementing the uni- levels that are competitive with other area employers versity’s 15-point plan. and human resources programs that are up-to-date Staff Compensation at Market Levels and reflect best practices that support the university’s mission and goals and (2) providing opportunities for A significant amount of work was completed within employees to perform at their best and be rewarded the past seven years to establish a market-competitive appropriately for outstanding performance. pay system for university staff. Working with William M. Mercer, a leading compensation consulting firm, Following a five-year period of instability in its human and the university’s vice presidents, deans, and depart- resources function, the university appointed a new ment heads, Human Resources established a guiding executive director in summer 1999 and initiated a compensation strategy and conducted research to comprehensive review of its Human Resources (HR) determine the university’s current level of market com- systems. The review began with the development of a petitiveness and to better understand the staff’s opin- new staff compensation system and continued with ion about the existing compensation system. the implementation of a new performance management system, performance rewards system, enhance- To complete this research, the university reviewed the ments to the fringe benefits package, and job markets in which it competes for staff and con- implementation of new training programs. The pro- ducted a compensation market analysis that indicated gram overhaul was completed by fall 2001 and contin- that, as of 1999, staff pay lagged behind the market ues to be closely monitored and managed by the HR median with variations by job, that is, with some paid department. below market rates and others above. At the beginning of this process, staff turnover at the The university allocated money over a three-year university peaked at 25 percent in 1997 (see period to advance its market position in a very targeted Supporting Document 4.10). Managers reported diffi- way by improving the starting salaries and pay bands culty filling open positions because, in many cases, the of some jobs and maintaining the salary level and pay university offered noncompetitive starting salaries. bands of most of the university’s other jobs. The uni- Staff complained about low levels of communication versity did not reduce the pay of any staff member and lack of understanding of how they contributed to whose pay was identified as being above market the success of the organization. Since the implementa- norms. By September 2001, the university completed tion of the new HR programs described below, how- the last phase of its multiyear plan, and William ever, the turnover rate has dropped to 18 percent over Mercer confirmed that the university’s overall staff the last three years, a rate that is well below the compensation had reached the university’s stated goal Washington, D.C., average turnover rate of 24 per- of market median. cent. (See Supporting Document 4.20) The university The university also constructed a new salary structure, attributes this improvement, in part, to the enhance- with each staff position assigned to a band based ments made in its HR programs. on the market data or the relationship of that job to In spring 2001, the university conducted its first staff others at the university. Through this process, the satisfaction survey to determine the overall employ- university emphasized the importance of having the ment satisfaction level of AU staff (see Supporting compensation program reflect the university’s strategic Document 4.11). Some 78 percent of respondents plan so that the program supported the goals reported being satisfied with the university as a place of flexibility, collaboration, market responsiveness, to work, a figure that was 15 percent higher than the and simplicity.

52 Leadership, Governance, and Administration Performance Management Program competitor academic institutions. Beginning in January 2000, the university systematically made Following the compensation project, the university modifications to the benefits package to make it more implemented a new performance management plan market competitive. The most significant enhance- for staff to stimulate more dynamic, strategy-related, ments were increasing by 10 percent the share the uni- goal setting at the university, ensure the alignment of versity pays for medical coverage, lowering the goals with the university’s strategic plan, reinforce eligibility age for the retirement plan from 26 to 24, behaviors that support the university’s strategic direc- expanding the retirement loan program, and imple- tion, and create better communication between man- menting staff leave sharing. agers and staff. The program was implemented through a comprehensive communication, training, Training Programs for Staff and coaching strategy. Full proficiency in the use of Over the last five years, the university reinstituted a the program occurred by the end of AY2002–2003. staff training function that targets skill development in A survey conducted in spring 2002 found that the areas that support the achievement of university goals process is successful and is used across campus (see and mission. Currently there are five required training Supporting Document 4.12). The performance man- programs for managers and three for staff (see agement survey revealed that 84 percent of respon- Supporting Document 4.14). In addition, the univer- dents met with their manager to conduct sity offers nearly 40 optional technology courses, in year-in-review discussions, and 83 percent of respon- which staff may elect to participate, and numerous dents rated the overall quality of the interaction with health and safety courses. their managers as average or above average. Thirteen Additional Opportunities percent of respondents rated the interaction as below average or one of the worst discussions. Details regard- Over the next five years, the university will work to ing the performance management process are dis- fully implement the rewards program and will moni- cussed in Chapter 2. tor and manage the other changes that are described above. For example, the university sees opportunities Performance Improvement Plan to develop better methods of screening and selecting AU is committed to providing all staff with the oppor- staff for open positions, particularly for management tunity to improve their performance in order to con- and front-line customer service jobs. tinue successful employment at the university. In the The university’s staff workforce has grown four percent event a staff member does not consistently demonstrate since 1994. As of fall 2002, there were 1,223 full-time the baseline requirements established for all staff or does staff and 464 part-time full-time equivalents (FTEs) not meet performance expectations or demonstrate the (see Supporting Document 4.13). The headcount skills and functions required by his or her position, a reflects active employees only and does not account for manager may place that individual on a performance open positions; therefore, some of the difference improvement plan. This is a short-term plan that deter- between the 1994 numbers and those for 2003 is mines clear milestones for improvement of work per- attributed to the number of vacant staff positions at formance within a specified period of time. Failure to the time the data were gathered. Challenges lie ahead meet the milestones established by the performance in determining the size of the workforce that will be improvement plan and to maintain acceptable perform- needed to support the changes to the size of academic ance results in termination of employment. programs under the university’s 15-point plan. Reward Programs RECOMMENDATIONS During fall 2001, recognizing the need to retain qual- Over the past 10 years, the constituencies making up ified people, Human Resources implemented the first American University have been attentive to issues of component of a new total reward program for staff. It governance and administration. University adminis- includes performance-based salary increases, recogni- trators, for example, have involved the academic com- tion programs, and work-life strategies that are being munity in the formulation of the 15-point long-range implemented in stages over the next few years. For the plan. Working with the administration, the teaching first time in AU experience, the annual staff salary faculty has reorganized the system of faculty gover- increases that took effect in September 2001 were nance. The university as a whole has, among its activ- based on the employee’s performance. Staff perform- ities, adopted a Performance Management Program ance was measured via the Performance Management that includes performance assessment as a key ele- Program. ment. Two issues have arisen during the process of data gathering and analysis that deserve further examina- Enhancements to the Fringe Benefits Package tion: independent evaluation of board performance A review of the university’s benefits package indicated and effective communication of planning activities that it was not competitive with plans provided by and their results.

Leadership, Governance, and Administration 53 Regarding the first issue, and with regard to the Middle Supporting Documents States Commission’s statement on the fundamental ele- 4.1 American University Organizational Chart, ments of institutional leadership and governance— June 2003 “an accredited institution is characterized by . . . a procedure in place for the periodic objective assess- 4.2 American University Bylaws and Act of ment of the governing body in meeting stated govern- Incorporation, September 2003 ing body objectives”—it is recommended: 4.3 Policies, November 2003 That, in light of the university’s recognition of the 4.4 Faculty Manual increasing importance of assessment’s value for individual and organizational performance, the Board 4.5 Faculty Senate Bylaws take advantage of periodic external evaluation to 4.6 “Ideas into Action, Action into Service: have its performance assessed independently. Fulfilling the American University Paradigm” Regarding the second issue, the decentralized character 4.7 “Building a Global University: American of the university requires the institution’s leadership to University in the Next Century” develop and implement comprehensive plans and processes for communicating regularly about the goals 4.8 Data from HR showing minorities in the AU of the institution, the strategies for carrying out these workforce goals, and the institution’s progress toward reaching 4.9 Data from HR showing women in the AU them. Regular and, in particular, broad communica- workforce tion helps to coordinate the institution and move it towards its goals in ways that the institution’s decen- 4.10 Data from HR showing staff turnover rate tralized structure cannot. For example, at American 4.11 Data from HR showing staff satisfaction levels University, the 15-point plan is widely known because of the depth, breadth, and frequency of communica- 4.12 Data from HR on use of performance tion about it. Less well known are the plan’s goals and management in 2001–2002 the reasoning behind them as they provide the context 4.13 Current numbers of employees by type within which the university makes certain decisions and progresses toward its goals. It is important that the 4.14 Training programs for managers and staff university, through its central administration; school, 4.15 Student Confederation Constitution college, and department administration; faculty and student organizations; and communication media such 4.16 Graduate Leadership Council Constitution as the university’s website and university-wide publica- 4.17 American University Board of Trustees, tions, maintain regular communication about the 2003–2004 goals, the strategies and plans developed to reach them, and the university’s progress toward attaining them. 4.18 Student Bar Association Constitution To help address this issue, improving communication on 4.19 “American University Governance Proposal,” university-wide issues and activities, it is recommended: April 15, 2002 That the university (1) assess its improving communi- 4.20 2001 HRA Compensation Survey, Section 8 cation efforts, particularly as they relate to university 4.21 “Marks of a United Methodist Church-related planning and implementation activities; (2) develop, Academic Institution” where needed, measurable goals for improving communication; and (3) develop and implement a plan 4.22 Staff Council Web site,

54 Leadership, Governance, and Administration

FACULTY CHAPTER5 FACULTY

It is the faculty . . . that is the rich, irreplaceable Taken as a whole, there is an enormous breadth of resource of the university, sine qua non. It is their scholarship and creativity among the faculty. This can passionate search for truth and understanding, with be seen in part in the quantitative measures of output and for students, that is the central focus of univer- by the faculty. In 2002, 62 faculty members had sity life, whether students are eager young learners books, monographs, government or corporate reports or seasoned academic colleagues. published; 116 had book chapters or conference pro- (Ideas into Action, Action into Service, ceedings published; 122 published refereed articles; 99 point 7 of the 15-point plan) published invited articles; 24 published poems, stories, or plays, gave performances, or held exhibitions of he passionate search for truth and understanding their work; 126 served on editorial boards; 41 served takes place in classroom and laboratory, in semi- T on juries or award selection committees. Overall, 302 nar and art studio. The faculty are present in all. The members of the faculty engaged in at least one of these faculty of American University are skilled and talented activities. teachers and scholars. They interact closely with their students both inside the classroom and outside of it. External funds awarded to faculty increased from $7.4 They produce scholarship and creative works that million in FY1994 to $12.5 million in FY2002. The advance their fields. They engage in service that number of such awards also increased, from 118 in enhances both the university and their disciplines. The FY1994 to 143 in FY2002. This increase arose despite faculty’s diverse passions, talents, and efforts are at the a decrease in the number of submissions, from 241 in heart of the collective quest that is the university’s mis- FY1994 to 188 in FY2002. Though submissions were sion. As we seek to “turn ideas into action,” we turn to down in total number, they increased in the rate of our faculty to articulate those ideas. being funded. In FY1994, 49 percent of submissions This chapter addresses the faculty contribution to the were funded. In FY2002, 76 percent were. The faculty university’s mission. The answers to the following are involved in creating ideas, and this involvement questions must be found in the context of the funda- has been judged favorably by their peers. Though mental changes called for in the 15-point plan: What awards have increased, steps will need to be taken to are the implications of the 15-point plan, and how continue and accelerate this improvement. might the faculty contribute to the changes envisioned To understand fully the excellence of the faculty in and be supported in their efforts as they do so? Given scholarship, creative activity, and professional develop- that the faculty is the “rich, irreplaceable resource of ment, it is necessary to look beyond numbers. The the university,” this chapter clarifies what this resource university does this routinely as it hires and promotes is and how it might best be developed. faculty, as well as when it allocates merit-based salary. FACULTY SCHOLARSHIP, CREATIVE Taking the diversity of scholarly and creative pursuits ACTIVITY, AND PROFESSIONAL into consideration, the teaching units, which naturally DEVELOPMENT have the greatest familiarity with the field or discipline, develop their own criteria to judge the work of As the university embarks on change, it is fortunate to each faculty member. It is instructive to examine some have a faculty of immense creativity. For the university specific instances of the scholarly accomplishments of to “turn ideas into action and action into service,” our faculty. A description of the work of every faculty there must first be ideas that can be turned into action. member would be beyond the scope of this report. We In the words of the 15-point plan, “AU will stand out will focus on just two. because of our distinctive capacity and single-minded commitment to connect people in creative and chal- Caleen Jennings, professor, Department of Performing lenging ways to a superb, interactive faculty.” Arts, College of Arts and Sciences (CAS), received this Enhancing this intellectual excellence is of paramount year’s Scholar-Teacher of the Year Award. Her play importance if we are to create in students and the Inns and Outs won a $10,000 grant from the Kennedy global community a desire for interaction specifically Center Fund for New American Plays and was a 1999 with our faculty. Scholarly and creative excellence are nominee for the Charles MacArthur Award for also essential to foster an intellectual environment in Outstanding New Play. Her play Playing Juliet/Casting which all members of the university community, fac- Othello was produced at the Folger Shakespeare ulty and students alike, can learn, grow, and meet the Library in 1998 and was a nominee for the Charles challenges of an increasingly complex world. MacArthur Award that year. Professor Jennings has Faculty 55 received the Kennedy Center American College The teacher is entitled to full freedom in research Theatre Festival Meritorious Achievement Award in and in the publication of the results, subject to the Directing for productions of The Dining Room and adequate performance of his/her other academic Rashomon. She is a faculty member of the Folger duties; but research for pecuniary return should be Shakespeare Library’s Summer Teaching Shakespeare based upon an understanding with the authorities Institute. She has performed original work at the of the institution. National Air and Space Museum, the National Press In sum, the AU faculty engage in scholarship, creative Club, and Andrews Air Force Base. She has been an activity, and professional development that is impressive active member of the Association for Theatre in both in quality and in quantity. The passion and talent Higher Education and an adjudicator for the that faculty display provide the fertile ground from American College Theatre Festival and, in which grow the interactions of students with faculty and Washington, D.C., for the Helen Hayes Awards. of the AU community with the global community. Dramatic Publishing Company has published Inns and Outs, Playing Juliet/Casting Othello, Free Like Br’er FACULTY TEACHING Rabbit, and Sunday Dinner. New Plays, Inc., has pub- If AU is to stand out for its commitment “to connect lished A Lunch Line and Same But Different. people in creative and challenging ways to a superb, interactive faculty” then it is imperative, not only that David Rosenbloom, distinguished professor of public the faculty be superb, but that interactions with faculty administration, School of Public Affairs (SPA), is a be superb as well. Foremost among these interactions member of the National Academy of Public are those that arise through teaching. By every measure, Administration and the recipient of numerous awards, the AU faculty offer outstanding teaching, and there is including the 2001 American Political Science evidence that already favorable student evaluations of Association’s John Gaus Award for Exemplary teaching are becoming even more favorable. Scholarship in the Joint Tradition of Political Science and Public Administration, the American Society for In assessing faculty teaching, the Faculty Manual Public Administration’s 1999 Dwight Waldo Award instructs that multiple measures be used: “Student eval- for Outstanding Contributions to the Literature and uations of teaching effectiveness will be important tools Leadership of Public Administration, the 1993 in ascertaining teaching effectiveness and will be used Charles H. Levine Award for Excellence in Public in evaluation and review of faculty members at all lev- Administration, the 1992 Distinguished Research els. In making faculty personnel decisions, however, Award, and the American University School of Public these evaluations will not be the sole evidence for Affairs’ Outstanding Scholarship and Service Awards teaching effectiveness.” Other indices of teaching (1994, 1999, and 2000). His Building a Legislative- include syllabi and course materials, peer evaluations, Centered Public Administration: Congress and the videotaping, teaching portfolios in which faculty members discuss their philosophy of teaching and how that Administrative State, 1946–1999 received the National philosophy is exhibited in their teaching, student sur- Academy of Public Administration’s 2001 Louis veys, and periodic reviews such as that recently per- Brownlow Book Award. Professor Rosenbloom’s formed of the General Education Program. Though research focuses on public administration and effective teaching often receives favorable student eval- democratic-constitutionalism. He was editor in chief uations, the two are not identical. Reliance on materi- of Public Administration Review (1991–1996) and cur- als other than student evaluations is important because rently serves on the editorial boards of about a dozen excessive dependence on student opinion might lead to leading public administration journals. Professor the neglect of richer forms of assessment of teaching Rosenbloom frequently guest lectures at universities effectiveness. and public service organizations in the United States and abroad. In 1992, he was appointed to the Clinton- As part of an effort to ensure effective teaching, the Gore Presidential Transition Team with responsibilities Faculty Senate decided in April 2003 to examine grade for the Office of Personnel Management. inflation. If faculty believe that giving favorable grades will ensure favorable teaching evaluations, there is a Cutting-edge scholarship, creative activity, and profes- danger that they will inflate grades at the expense of sional development are possible only in an atmosphere challenging students. A previous university examina- in which there is freedom to explore ideas that chal- tion of grade inflation made average grades for each lenge conventional wisdom. Therefore, the university class accessible to teaching unit chairs and other is committed to academic freedom in research, as administrators to alert them to potential grade inflation stated in the first chapter of the Faculty Manual, drawn within their teaching units. The relation of grade distri- from the Statement of Principles on Academic butions to course evaluations can now be used in fac- Freedom and Tenure issued jointly in 1940 by the ulty reviews and assessments. The Faculty Senate will American Association of University Professors and the likely make additional recommendations on grade Association of American Colleges: inflation after its review.

56 Faculty The effectiveness of faculty teaching is also reflected in Graduate Courses the numerous awards won by our students (described Fall Instructor Evaluation Course elsewhere in this Self-Study Report) and our faculty. For Sem. Rating* Fair** Demanding** instance, Mary Gray, professor of mathematics and sta- 1994 4.88/6 4.16/5 4.13/5 tistics (CAS), received a United States Presidential Award 1995 4.88/6 4.14/5 4.17/5 for Excellence in Science, Mathematics, and Engineering 1996 4.94/6 4.18/5 4.18/5 Mentoring. Victor Selman, associate professor of man- 1997 4.95/6 4.22/5 4.17/5 agement, Kogod School of Business (Kogod), won the 1998 4.96/6 4.22/5 4.19/5 Academy of Educational Leadership’s Distinguished 1999 4.97/6 4.22/5 4.18/5 Teacher Award for Innovative and Creative Teaching. 2000 4.97/6 4.24/5 4.22/5 Earlier in this chapter, we described some of the awards 2001 5.08/6 4.29/5 4.24/5 and other recognition that have been received by Caleen 2002 5.05/6 4.30/5 4.24/5 Jennings, professor of performing arts, and David *On a scale of 1 to 6: 1 = poor; 2 = fair; 3 = satisfactory; Rosenbloom, distinguished professor of public adminis- 4 = good; 5 = very good; 6 = superior tration. All these faculty members are a small number **On a scale of 1 to 5: 1 = strongly disagree; 2 = disagree; 3 = neither agree nor disagree; 4 = agree; 5 = strongly agree of the AU faculty who have been, and continue to be, recognized by their peers. To what can we attribute the improvements in course Since nonstandardized factors used in evaluating teach- evaluations over time? Figure 5.2 presents student eval- ing effectiveness vary over time and across courses, it is uation information for adjunct faculty, temporary full- difficult to describe general trends. Student evaluations time faculty, tenured faculty, and tenure-track faculty of teaching are the most readily available measure of for each fall semester from 2000 to 2002. Instructor teaching effectiveness for a wide variety of courses taught ratings for tenured faculty have remained fairly con- over the past several years. They include both qualitative stant. Instructor ratings for temporary full-time faculty feedback, given only to the faculty member teaching the have improved somewhat, as have instructor ratings for course, and quantitative feedback, available publicly and adjunct faculty. This last point is particularly note- used widely in evaluating faculty. This report will focus worthy. As the number of adjuncts has been reduced, on the latter. A faculty panel is being assembled to exam- teaching evaluations for adjuncts have improved. As a ine possible revisions to the current evaluation form to result, the overall gap in instructor ratings between enhance the assessment of faculty teaching. tenured and tenure-track faculty and adjunct faculty has diminished. We will return to this point shortly. Generally, students judge AU faculty to be very effective teachers. Figure 5.1 presents data from the evaluations Figure 5.2 for fall semesters 1994 to 2002. For both undergraduate Student Evaluations of Teaching and graduate courses, ratings of instructors, which were Results by Faculty Type already good, have improved over time. Average instruc- (average scores against highest possible scores) tor ratings for undergraduate courses rose from 4.78 in Fall Fall Fall 1994 to 4.96 in 2002. For graduate courses, the average 2000 2001 2002 rating improved from 4.88 to 5.05. As the table shows, this pattern of improvement was consistent across ques- Instructor Rating* tions, such as the fairness of evaluation and the degree of Tenured 4.98/6 4.99/6 5.00/6 demand placed on students by the course. Tenure track 5.15/6 5.01/6 5.08/6 Temporary 4.81/6 4.95/6 5.02/6 Figure 5.1 Adjunct 4.78/6 4.86/6 4.90/6 Student Evaluations of Teaching Course Rating* (average scores against highest possible scores) Tenured 4.75/6 4.78/6 4.74/6 Undergraduate Courses Tenure track 4.91/6 4.75/6 4.76/6 Fall Instructor Evaluation Course Temporary 4.55/6 4.68/6 4.71/6 Sem. Rating* Fair** Demanding** Adjunct 4.55/6 4.65/6 4.67/6 1994 4.78/6 4.08/5 4.02/5 Course Demanding** 1995 4.84/6 4.13/5 4.02/5 Tenured 4.18/5 4.20/5 4.20/5 1996 4.84/6 4.14/5 4.06/5 Tenure track 4.25/5 4.24/5 4.17/5 1997 4.78/6 4.13/5 4.04/5 Temporary 4.02/5 4.04/5 4.07/5 1998 4.80/6 4.11/5 4.03/5 Adjunct 3.95/5 4.01/5 4.00/5 1999 4.86/6 4.18/5 4.05/5 *On a scale of 1 to 6: 1 = poor; 2 = fair; 3 = satisfactory; 2000 4.84/6 4.17/5 4.01/5 4 = good; 5 = very good; 6 = superior 2001 4.90/6 4.18/5 4.06/5 2002 4.96/6 4.21/5 4.07/5 **On a scale of 1 to 5: 1 = strongly disagree; 2 = disagree; 3 = neither agree nor disagree; 4 = agree; 5 = strongly agree Faculty 57 Ratings of how demanding courses are show less who are engaged in scholarship or creative and profes- change over time. Courses taught by tenured and sional activities, and faculty provide customized instruc- tenure-track faculty are consistently judged more tion and guidance for individual students. In fall 2002, demanding than courses taught by temporary or 176 undergraduate students and 158 graduate students adjunct faculty. It is possible that this difference is due were enrolled in independent study sections. Another to the nature of the courses that the different groups of 335 graduate students were enrolled in sections with faculty teach. More detailed analyses should be con- substantial research papers, thesis supervision, or disser- ducted to explore this possibility. tation supervision. These figures do not include Directed Research and Independent Reading courses or student As described elsewhere in this report, General Education volunteer work outside the context of formal course reg- courses taught by adjunct faculty have largely been less istration. The emphasis on linking teaching and scholar- well received than those taught by full-time faculty. ship is also reflected in the highest university award for More full-time faculty are being hired, in large part, to faculty, the Scholar-Teacher of the Year. reduce the number of adjuncts teaching General Education courses, and this seems very likely to bolster Effective teaching is also linked to a solid curriculum the overall quality of teaching at American University. that is designed and updated by qualified faculty and However, it must be recognized that AU’s location in other professionals. The Academic Regulations require Washington allows us to attract many talented adjunct curricular revisions to originate at the department level faculty, many of whom are distinguished specialists or and be reviewed at different levels of the university practitioners whose expertise is vital to the teaching mis- (described in Chapter 8, Graduate and Professional sion of the university. Our students have the opportunity Education). Changes in the Academic Regulations must to learn from professionals from such organizations as be approved by the Faculty Senate. the World Bank, National Institutes of Health, The university is committed to academic freedom in Associated Press, National Endowment for the Arts, teaching. The Faculty Manual, drawing upon the John F. Kennedy Center for the Performing Arts, and Statement of Principles on Academic Freedom and National Aeronautics and Space Administration, as well Tenure issued jointly in 1940 by the American as private industry. These adjunct faculty allow the uni- Association of University Professors and the Association versity to teach a wider variety of classes by complement- of American Colleges, consistently affirms this freedom. ing the expertise of full-time faculty. This variety is particularly important for enhancing the depth of AU faculty are excellent teachers. Taken as a whole, majors. Our adjunct faculty also provide many linkages student evaluations of teaching have been very good throughout the region that mark AU as a university and have been improving over time. Teaching is highly committed to engagement. Improving teaching by interactive and will become more so as the 15-point reducing the number of adjunct faculty will need to be plan is implemented. balanced by the continued, selected use of adjunct fac- FACULTY SERVICE ulty who contribute to the quality and diversity of our academic community. The passionate engagement of the faculty leads to service in several forms, at the department level, on Teaching at its best occurs both inside and outside the behalf of a school or college, or for the university as a classroom. Some of our finest faculty members teach whole. Other forms of service strengthen professional graduate students about becoming faculty members communities or share faculty expertise with local and through the Greenberg Seminar series. In 1994, 74.5 global communities. percent of undergraduates completing student evaluations of teaching had contact with the faculty member The centrality of service is recognized in the Faculty outside of class. This number dropped slightly to 72 Manual: “A member of the faculty should actively con- percent in 2002. Similarly, 76 percent of graduate stu- tribute to the general development of the University. dents had contact with faculty outside of class in 1994, Participation in faculty meetings and committees and in with this figure increasing to 79 percent in 2002. That student organizations and activities constitutes such con- such a large percentage of students had contact with tribution. Use of the faculty member’s professional skills their instructors outside the classroom speaks to AU’s and training in public service to local communities, pro- emphasis on teaching and to the engagement of fac- fessional and scholarly communities, and society at large ulty with students. is also evidence of contribution to the University.” Many members of the faculty are active in a variety of ways on The faculty is comprised of scholar-teachers actively campus, professionally, and in the community involved in research and creative activities and who give (described in Chapter 9, Engagement). students the tools and methods of scholarship while sharing their own passion for learning that is at the heart One of the primary ways that faculty contribute to the of academic inquiry. This link between teaching and university is through participation on committees. As scholarship is clearly present in courses faculty teach in stated in the university Bylaws (Article X, Section 3), the their areas of expertise. Many students also assist faculty faculty have primary responsibility for:

58 Faculty •instruction and academic standards large.” Indeed, such service is central to the effort to turn “ideas into action, and action into service.” • determination of curricula and approval of courses Although many of our faculty make this type of con- •recommendations of faculty appointments, promo- tribution, it cannot be easily summarized or docu- tions, and other faculty personnel concerns mented. A few examples of recent service indicate the variety of contributions made by individual faculty •recommendations for the instructional budget (more are provided in Chapter 9, Engagement). •recommendations of policies affecting student affairs •Members of the School of Education helped to train These goals are largely accomplished through an effective teachers, provide technical support, and set up a Web committee structure. Prior to 2002, the University site at a local Washington, D.C., elementary school. Senate, with its 14 standing committees and three advisory committees, had seats for 174 faculty members. In •Professor and filmmaker Randall Blair (School of order to streamline decision making while maintaining Communication) helped the Lab School of the commitment to faculty governance, this number Washington, D.C., produce a series of videotapes to was reduced dramatically, to 121, via a faculty referen- train teachers to teach disabled students. In 2001, dum held in AY2001–2002. The new Faculty Senate he and his students produced an award-winning structure includes the following entities: Joint series that PBS distributes. Committee on Curriculum and Academic Programs, •Immediately after the September 11 terrorist Committee on Information Services, Committee on attacks, several School of International Service pro- Instructional Budget and Benefits, Committee fessors provided guidance and information to stu- on Faculty Development, Committee on Student dents and the society at large. Akbar Ahmed, Learning and Academic Engagement, Committee on professor of international service and Ibn Khaldun Faculty Relations, Committee on Faculty Equity Chair of Islamic Studies, spent many hours on local and Grievances, Hearing Panel, General Education and national news shows explaining Islam to the Committee, and Honors Advisory Committee. American public. Abdul Aziz Said, professor of This list of university committees is not exhaustive. international service and Mohammed Said Farsi For instance, 40 faculty members were appointed to Chair of International Peace, and Robert Pastor, vice serve on project teams for AY2002–2003. In addition president of international affairs and professor of to the faculty committee structure, faculty members international relations, led a teach-in that began a are involved with many university-wide student activ- week-long series of discussions about terrorism. ities on campus. For example, many student clubs •Faculty members from the Washington College of have at least one faculty advisor. Law (WCL) are engaged in such local activities as Each college and department also has several committee the D.C. voting rights movement and attorney positions that must be filled by faculty. For example, in ethics committees; in national affairs, by vetting leg- the College of Arts and Sciences (CAS), the Educational islation on tort reform and medicines for senior cit- Policy Committee has 25 faculty members. Seven faculty izens, writing bar examination questions and members serve on the Steering Committee, seven on the participating in continuing education activities for Curriculum Committee, five on the Budget Committee, federal judges; and in international activities, such five on the Interdisciplinary Committee, and five on the as conducting war crimes research, assisting former Technology Committee. Each individual CAS depart- Communist countries in drafting constitutions, and ment has a Rank and Tenure Committee, Curriculum working in the Balkans with governmental and non- Committee, Student Grievance Committee, and governmental groups. Personnel Committee. The number of committees and •Faculty contribute to the university through profes- the number of faculty serving on these committees varies sional activities, such as service on editorial boards, from department to department. juries, and award selection committees. Such service As described in the Faculty Manual, contribution to not only meets the needs of the profession but also the university can also take the form of “use of the fac- makes the university visible in the broader scholarly ulty member’s professional skills and training in pub- community. It helps keep faculty abreast of develop- lic service to local communities . . . and society at ments in their field. This, in turn, facilitates research

Figure 5.3 Number of Faculty Serving on Editorial Boards, Juries, or Award Selection Committees Calendar year 1997 1998 1999 2000 2001 2002 Service on editorial boards 73 78 71 112 126 126 Service on juries or award selection committees 38 46 31 45 36 41

Faculty 59 and teaching. Figure 5.3 lists the number of faculty Figure 5.4 members engaged in these types of activities over the Full-Time Faculty by Faculty Status past six years. Faculty Status Fall 1994 Fall 2002 The quality of the faculty’s professional service is best Teaching* 460 476 illustrated with some examples. In 2002: Administrative 24 19 • Ajay Adhikari, associate professor of accounting, Research 15 4 was president of the International Accounting In residence 2 29 Section of the American Accounting Association. Subtotal 501 528 Librarians 30 27 • Richard Breitman, professor of history, edited the Other** 1 11 journal Holocaust and Genocide Studies. Total 532 566 •David Haaga, professor of psychology, edited the *Includes visiting teaching faculty journal Behavior Therapy. **Includes sabbatical replacement for 1994; one semester • Karen O’Connor, professor of government, edited only and leave without pay for 2002. the journal Women and Politics and received the Midwest Women’s Caucus for Political Science teaching faculty at AU in 2002, 96.2 percent had the Award for Outstanding Service. highest degree in their field. As can be seen from Figure 5.5, this percentage has increased since fall • Louise Shelley, professor of justice, law, and society, 1994, when it was 91.8 percent. The change seems was North American editor of International Annals largely attributable to changes in the instructor rank. of Criminology. In 1994, only nine of 27 instructors held the highest •Vivian Vasquez, assistant professor of education, rank in their field. By 2002, this number increased to received the National Council of Teachers of 16 of 26. In recent years, standards for hiring, retain- English Awards for Service and Commitment to the ing, and promoting faculty have been raised. As part of NCTE Executive Committee and for Excellence in this process, it has become less common for new fac- Service to the Teaching Profession and to the ulty to be hired prior to completion of their disserta- Discipline of English. tions. In addition, in 2000, new regulations were implemented which allowed instructors who are not •Jon Wisman, professor of economics, was elected tenured or tenure-track faculty and whose primary president of the Association for Social Economics. teaching responsibility is college writing or foreign lan- •WCL faculty and students publish the official law guage instruction to receive renewable five-year full- review of the American Bar Association’s Section on time appointments. The quality of instruction in those Administrative Law. programs, which had formerly relied more heavily on part-time instructors, has improved. The faculty of American University are actively engaged in providing service to students, academic departments, Figure 5.5 schools and colleges, the university as a whole, and the Full-Time Teaching Faculty with Highest Degree wider communities, both local and global. These service efforts represent an enormous commitment of faculty #Highest % Highest AY94–95 Total Degree Degree time and talent to the tasks of maintaining academic Professor 170 166 97.6% standards, ensuring the effectiveness of the curriculum, Associate professor 118 113 95.8% fostering student development outside the classroom, Assistant professor 134 124 92.5% enhancing faculty members’ fields of specialty, and pro- Instructor 27 9 33.3% moting citizenship. The 15-point plan promises to Total 449 412 91.8% increase this service, particularly to students. Faculty Composition #Highest % Highest Thus far, we have discussed faculty scholarship, teach- AY02-03 Total Degree Degree ing, and service. For the university to maintain excel- Professor 159 157 98.7% lence in these areas, and to expand upon its history of Associate professor 137 137 100% accomplishments, it is important that the faculty be Assistant professor 154 148 96.1% well qualified and sufficiently large. This section will Instructor 26 16 61.5% discuss both faculty qualifications and trends in fac- Total 476 458 96.2% ulty size. Figure 5.4 presents an overview of the faculty. The faculty are well qualified to fulfill the mission of In order for the faculty to fulfill their roles, it is impor- the university. One example of faculty quality is having tant not only that they be well qualified but also that the highest degree in one’s field. Of the 476 full-time they be sufficiently numerous. Sufficiency in number

60 Faculty Figure 5.6 Full-Time Tenured and Tenure-Track Teaching Faculty AY94–95 AY95–96 AY96–97 AY97–98 AY98–99 AY99–00 AY00–01 AY01–02 AY02–03 CAS 187 185 182 181 174 172 169 173 171 Kogod 51 46 41 39 40 39 42 41 47 SOC 21 22 23 23 23 24 23 27 26 SIS 33 33 34 37 36 38 39 43 40 SPA 44 42 46 41 4240434440 WCL 33 37 38 44 4349485048 Wash. Sem. 0 0 0 0 0 0 0 0 1 Total 369 365 364 365 358 362 364 378 373 is difficult to define and must be considered in the ment is instruction (including released time for context of the institutional mission. In this report, we research)—regardless of whether they are formally des- will present trends in three areas: number of faculty, ignated as faculty. Excluded are administrative officers student-faculty ratios, and average class size. with faculty rank, faculty on leave without pay, faculty on disability, research faculty, library faculty, and fac- Number of Faculty ulty not paid by the university. Overall, the number of tenured and tenure-track The percentage of full-time teaching faculty holding teaching faculty varied little in recent years, rising tenure declined slightly from 1994 (62.8 percent) to from 369 in 1994 to 373 in 2002. There was some 2002 (57.8 percent). This is due, in part, to a large shift in tenured and tenure-track faculty within number of retirements and the hiring of tenure track schools and colleges, as can be seen in Figure 5.6. The faculty to replace them. The FY2004 budget, approved Washington College of Law (WCL), the School of February 28, 2003, includes funds earmarked to create Communication (SOC), and the School of new faculty lines, and so it is likely that the recent International Service (SIS) experienced increases in increase in the number of tenure-track teaching faculty tenured and tenure-track faculty, while the School of will continue in the near future. Half the increase in Public Affairs (SPA), Kogod School of Business (KSB), temporary faculty occurred in WCL, which experi- and College of Arts and Sciences (CAS) experienced enced rapid enrollments (see Figure 5.7). Overall, mild declines in tenured and tenure-track teaching fac- then, full-time teaching faculty increased from 449 in ulty. In 2002, SPA had more tenured and tenure-track 1994 to 476 in 2002. faculty than in 1992 or 1993, and so this decline from 1994 is likely a statistical anomaly. The decrease in the In addition to full-time faculty, American has a large size of KSB’s tenured and tenure-track faculty was cadre of adjunct faculty. The 15-point plan calls for a planned in the light of changing enrollment patterns. reduction in the number of adjunct faculty (point 8), Some of the CAS decline was the transfer of four fac- which had increased from 498 in AY1995–1996 to ulty and two other tenure lines to KSB in 2002, some 593 in AY2000–2001. In the last two years, there has was due to searches for tenure lines that had not yet been a substantial decrease to 526 adjunct faculty in been filled, and some was likely attributable to faculty AY2002–2003, including a decrease from 498 to 395 on the newly created junior faculty course reduction outside of WCL. In the context of increasing enroll- program. For purposes of this analysis, only AAUP ments, WCL adjuncts have increased from 95 to 131 faculty are included. AAUP faculty include all instruc- from AY2000–2001 to AY2002–2003. These figures tional faculty, defined as all those members of the include all academics in full-time staff positions, such instructional-research staff who are employed full time as Clovis Maksoud, former Arab ambassador to the and whose major (at least 50 percent) regular assign- UN and director of American University’s Center for

Figure 5.7 Temporary Full-Time Teaching Faculty AY94–95 AY95–96 AY96–97 AY97–98 AY98–99 AY99–00 AY00–01 AY01–02 AY02–03 CAS 38 30 40 37 49 51 52 53 41 Kogod 6 7 10 18 13 14 7 10 9 SOC 7 10 7 6 8 9 7 7 7 SIS 7 8 10 10 8 12 10 11 11 SPA 9 6 5 5 11 12 5 4 11 WCL 0 0 0 0 0 2 0 6 10 Wash. Sem. 13 15 16 15 11 13 22 18 14 Total 80 76 88 91 100 113 103 109 103

Faculty 61 the Global South. When one looks at the total num- were underrepresented minorities. Both of these fig- ber of adjunct faculty who teach courses, excluding ures were virtually unchanged from fall 2000, the earli- those in other positions at the university, the total is 475. est date for which reliable data are available. Consistent with this decrease in the number of Figure 5.9 adjuncts, the percentage of courses taught by full-time Race and Gender of Adjunct or Part-Time Faculty faculty has increased and is expected to continue to AY02–03 increase. In AY2000–2001 the percentage of courses taught by full-time faculty reported to U.S. News and Race or Ethnicity Women Men Total World Report was 70.3 percent. This percentage Nonresident Alien increased to 73.6 percent in AY2001–2002 and 75.1 (international) 2 4 6 percent in AY2002–2003. American Indian or Native Alaskan 0 0 0 American University values faculty diversity. The per- African American 19 12 31 centage of teaching faculty who are women or minority Asian or Pacific has increased in recent years. In 1994, 33.4 percent (150 Islander 10 10 20 of 449) of full-time teaching faculty were women. This Hispanic 7 4 11 number increased to 40.8 percent (194 of 476) in 2002. White 172 229 401 From 1994 to 2001, AU hired 145 tenured and tenure- Unknown 1 5 6 track faculty. Seventy-six (52.4 percent) were women, 69 Total 211 264 475 (47.6 percent) were men. Direct statistical comparisons of racial or ethnic groups for 1994 and 2002 are not Student-Faculty Ratios available. Figure 5.8 provides a breakdown of full-time faculty by race or ethnicity and by gender for 2002. Another way of determining whether the faculty is suf- From 1994 to 2001, 40 of the tenured or tenure-track ficiently large is to examine student-faculty ratios. This hires (27.6 percent of the total) were minority members, ratio has varied within a fairly narrow range since whereas 105 (72.4 percent) were nonminority. Since AY1994–1995, from a low of 14.2:1 in AY1999–2000 only 16.2 percent of full-time faculty in 2002 were to a high of 15.8:1 in AY2002–2003. Though the lat- minority, the percentage of tenured and tenure-track est ratio is higher than that of recent years, it is lower minority faculty is increasing. To encourage diversity in than in AY1991–1994, when it ranged from 16.2:1 to hiring, in recent years, search committees have been 17.8:1. It should be noted that there has been a shift required to report on the percentage of their applicant in the student body in recent years. Undergraduate, pools who were women and minority members before degree-seeking FTEs have increased from 4,460 in being allowed to proceed with interviews, and many 1994 to 5,500 in 2002. By contrast, non-WCL grad- searches have included members or observers from the uate degree-seeking FTEs have decreased in this same University Diversity Committee (recently replaced by time period from 2,619 in 1994 to 2,312 in 2002. the Multicultural Issues Project Team). Thus, ratios of undergraduate students to faculty have likely increased, whereas ratios of graduate students to Figure 5.8 faculty have likely decreased in recent years. The 15- Race and Gender of Full-Time Teaching point plan calls for AU to emphasize undergraduate and Administrative Faculty education. This emphasis occurs in a context in which AY02–03 the student body has become more heavily undergraduate over the course of several years. Race or ethnicity Women Men Total Nonresident Alien Average Class Size (international) 1 3 4 Average class sizes have also varied within narrow American Indian or ranges, though they now tend to be at the upper end Native Alaskan 0 2 2 of the recent ranges, except in the Washington College Asian or Pacific Islander 10 19 29 of Law (WCL). Average class size in 000-200–level African American 15 16 31 classes was slightly higher in 2001-2002 (27.1) than in Hispanic 10 8 18 1994-1995, when it was 26.3. Part of this increase is White 162 249 411 due to a decline in English Language Institute (ELI) Total 198 297 495 courses, which tend to be much smaller than others. Note: Table includes 19 administrative faculty (1 Hispanic The ELI program was discontinued at the close of male, 4 white females, 14 white males). AY2002–2003. Average class size for 300-400–level classes also was slightly higher in 2001-2002 (22.1) Women and minority members are also represented than 1994-1995 (21.5). Average class size for non- amongst adjunct faculty, as shown in Figure 5.9. In fall WCL 500-level classes in 2001-2002 was 18.2, the 2002, 44.4 percent of adjunct and part-time faculty same as it was in 1994-1995. WCL 500-level classes were women and 55.6 percent were men; 13.1 percent declined in size to 37.6 in 2001 from 43.7 in 1994.

62 Faculty Average class size for non-WCL 600-700–level classes performance, and other professional activity that stood at 18.4 in 2001-2002, toward the middle of the demonstrates concern for advancing the faculty mem- 1994 to 2000 range (17.8 to 19.8). WCL average class ber’s discipline or interdisciplinary work.” size for 600-800–level classes in 2001-2002 (24.9) was Criteria for faculty appointments and promotion are also in the middle of the range for prior years, 22.3 to also described in relation to qualifications, teaching, 29.2, but down significantly from peak. In general, creative, scholarly, and professional development, and faculty are sufficiently numerous that average class size contribution to the university. has not seen significant increases, though there are some upwards pressures for courses below the 600- Full-time faculty are evaluated annually as part of a level outside WCL. merit pay review process. Faculty submit annual reports of their activities to committees in their teach- Given the increase in undergraduate students relative ing units. Recommendations for pay increases come to graduate students, there has been a shift in the from these committees through the administration to number of course sections of different levels taught on the Board of Trustees. Faculty performance is assessed campus by the faculty. Without this shift, average class every year, with implications for faculty salaries. size likely would have risen, particularly at the 000- 200–level. The number of non-ELI 000-200–level Faculty also undergo evaluations as part of tenure and class sections rose from 994 in 1994-1995 to 1,195 in promotion procedures. These typically occur during 2001-2002, a 20.2 percent increase. In contrast, the reappointment after an initial two-year contract, reap- number of 300-400–level sections has remained fairly pointment to a fifth and sixth year, reappointment to constant, increasing 2.2 percent from 621 in 1994- a seventh (tenure) year, and when a full review is 1995 to 635 in 2001. The number of non-WCL 500- requested by the teaching unit head. The faculty mem- level sections has increased 11.8 percent, from 296 in ber is evaluated by several different parties, including a 1994-1995 to 331 in 2001-2002. In contrast, the committee from the teaching unit, the dean, the uni- number of 600-700–level classes has remained fairly versity-wide Committee on Faculty Relations, and the constant, dropping 1.7 percent from 605 to 595. dean of academic affairs, and for promotion or tenure, WCL has increased the number of both 500-level (93 by the provost and the president. Procedures for these to 124, 33 percent) and 600-800–level (212 to 270, reviews are available at . When Middle States last visited numbers indicate that faculty teaching efforts have American, tenure-track faculty received a full review shifted towards 000-200–level classes in recent years. every year when they sought reappointment after their initial two-year contract. Making reviews somewhat In sum, AU faculty are well qualified for their posi- less frequent has allowed them to be both more mean- tions. The 15-point plan envisions enlargement of “the ingful and less burdensome. scope and impact of teaching both within and outside classroom settings.” It emphasizes service “through Adjunct faculty must go through a review process sim- sustained, formal and informal contacts that go ilar to the appointment process for full-time faculty. beyond and augment the classroom experience.” These The department chair, school or college dean, and dean additional responsibilities will need to be considered of academic affairs must approve the appointment. in light of the size of both the full-time and adjunct Appointments are for three years, although a faculty faculties. There are some upward pressures on class size member may not necessarily teach every semester dur- from reducing the size of the adjunct faculty. In this ing that period. All teaching evaluations are reviewed context, the university has made a commitment to before an adjunct faculty member is reappointed. increase the number of full-time faculty, in part to pro- In 1998, revisions were made to the criteria for vide the enhancements proposed in the 15-point plan. appointment or promotion to the ranks of assistant, ROLES, RESPONSIBILITY, STANDARDS, AND associate, and full professor. The impact of these HIRING PROCEDURES FOR FACULTY changes was to raise standards and make more explicit the role of service to the university and to students. For the faculty to be productive, it is essential that their The old and new criteria for appointment to the rank responsibilities be clearly defined. The Faculty Manual of associate professor are described below. spells out faculty roles and responsibilities in detail. It describes the criteria for determining whether faculty Old Criteria: Associate Professor: An appointee to this are engaged in high-quality scholarship, creative activ- rank must hold a doctorate, if customary in the disci- ity, and professional development: “Evidence of devel- pline. He/she must have demonstrated ability as a opment, scholarship, and creativity includes the teacher, must have demonstrated capability for schol- publication of significant scholarly contributions, arly achievement and professional growth, and must publication of teaching methodology and materials, have had at least four years full-time teaching experi- public lectures, participation in responsible positions ence in a college or university in the rank of Assistant in professional organizations, creative production and or Associate Professor, or at least five years full-time Faculty 63 Figure 5.10 Faculty Salaries Rank AY94–95 AY95–96 AY96–97 AY97–98 AY98–99 AY99–00 AY00–01 AY01–02 AY02–03 Full $78,028 $80,283 $83,511 $85,481 $87,719 $91,447 $97,335 $103,435 $108,295 AAUP level 2 2 2 2 2 2 1 1 1 Associate $52,994 $52,384 $54,914 $58,553 $59,439 $61,762 $67,007 $71,982 $74,793 AAUP level 2 3 2 2 2 2 2 2 1 Assistant $41,667 $41,864 $43,454 $46,036 $48,116 $50,631 $52,430 $56,238 $58,770 AAUP level 3 4 3 3 3 3 3 2 2 Instructor $26,439 $27,858 $31,642 $33,716 $32,524 $29,742 $35,324 $41,069 $43,283 AAUP level 4 3 4 3 4 5 4 3 3

teaching experience in a college or university, counting nity coincides with increased expectations for faculty for this purpose not more than three years at the rank scholarship. The junior faculty course release is of Instructor. expected to promote scholarship as newer faculty progress toward tenure. The first four such leaves were New Criteria: Associate Professor: An appointee to awarded in AY2000–2001, with 13 given in this rank must hold a doctorate, or the highest degree AY2002–2003. Support for associate professors as they customary in the discipline. The faculty member must move towards becoming full professors is being dis- have demonstrated high quality as a teacher, shown cussed or implemented. A newly established Bender engagement with students in and outside the class- Prize is now awarded annually to an associate professor room, must have demonstrated significant scholarly or to recognize important scholarly or creative work. creative accomplishments appropriate to the faculty These initiatives help facilitate recruitment and reten- member’s discipline, show potential for becoming a tion of faculty. scholar or artist of distinction, and have demonstrated professional recognition and growth. The faculty One of the challenges in recruiting and retaining fac- member must have had at least four years of full-time ulty in 1994 was low faculty salaries, set against the teaching experience in a college or university in the high cost of living in the Washington area. The univer- rank of Assistant or Associate Professor, or at least five sity made a concerted effort to increase salaries for full- years of full-time teaching experience in a college or time faculty (see Figure 5.10). From 1994 to 2002, university, counting for this purpose not more than average salary for full professors increased 38.8 per- three years at the rank of Instructor. cent, from $78,028 to $108,295. Average salaries for associate professors increased 41.1 percent, from These changes in criteria have been one part of univer- $52,994 to $74,793. Average salaries for assistant pro- sity efforts to enhance an already strong faculty. As fessors increased 41.0 percent, from $41,667 to part of these efforts, two procedural changes that facil- $58,770. Since 1994, salaries for associate professors itate effective hiring have occurred since the last visit and professors have risen from AAUP 2 level to AAUP of Middle States. First, the cycle for authorizing new 1 level. Those for assistant professors have risen from hires begins more than a year before the faculty line is AAUP 3 level to AAUP 2 level. Those for instructors scheduled to be filled. Typically, calls for new positions have risen from AAUP 4 to AAUP 3 level. are made in May or June with decisions about whether to search for those positions being made in June or Adjunct faculty salaries have increased in recent years, July. This timing permits search committees to target from an average of $2,781 per course in 2000 to candidates more quickly than had often been the case $2,998 per course in 2002. Adjunct salaries vary across before. Second, teaching units are allowed to carry discipline and experience, so it is difficult to make gen- over a search to a second year if they decide that there eralizations about them. However, there is concern is no candidate whom they wish to hire in the first that in some cases salaries are too low to attract strong year. This freedom has served to encourage units to be candidates. As AU moves to increase the quality of its more selective in their decisions. adjunct faculty, it is likely that adjunct salaries will be increased. In addition, various incentives have been added to help attract new faculty. For instance, first-year tenure- High standards for faculty reflect the mission of the track faculty receive a reduced teaching load to facili- university. Central to the general criteria for the evalu- tate their transition to the university. Perhaps foremost ation of faculty members is the balanced role that among the new incentives is the junior faculty course effective teaching and creative, scholarly, and profes- release program. New faculty members may apply for sional development play in the lives of our faculty. one semester without teaching responsibility, to be This is reflected in two key points in our mission state- taken during their third year. This generous opportu- ment, the Statement of Common Purpose:

64 Faculty The university distinguishes itself through a broad Post-award administration, including sponsor negotia- array of undergraduate and graduate programs that tions, contractual and regulatory compliance, budget stem from these primary commitments: . . . modification, and project close-out • interactive teaching providing personalized edu- Compliance with federal, state, local, and university cational experiences for students, in and out of policies and regulations affecting research involving the classroom human and animal subjects, radioactive and hazardous materials, and patent licensing. •research and creative endeavors consistent with its distinctive mission, generating new knowl- In addition, OSP helps to identify individual award edge beneficial to society . . . . opportunities (Guggenheim, Fulbright, etc.) and hosts a variety of seminars designed to augment faculty As stated in the Faculty Manual, teaching is “a primary knowledge of the individual awards and sponsored consideration” in our standards. Together with evi- program opportunities. OSP maintains a library in dence of professional development, scholarship, and order to assist both the OSP staff and the AU faculty creativity that demonstrate “concern for advancing the in the sponsored research process. faculty member’s discipline or interdisciplinary work,” we offer our “enduring commitment to uncompromis- Several other mechanisms exist to support faculty ing quality in the education of [our] students.” scholarship and teaching. The Faculty Senate holds an annual competition for research awards for summer FACULTY SUPPORT support. For AY2003–2004, 18 awards, worth For faculty to execute their duties, they need institu- $103,778, were distributed. In AY2002–2003, 14 cur- tional support for their teaching, scholarship, creative riculum development awards, worth $26,208, were activity, professional development, and service. We distributed. For AY2003–2004, 18 awards, worth will describe some of the means by which faculty $11,028, were distributed to faculty in a Faculty efforts are supported and the results of a survey of fac- Software Award competition. ulty perceptions of support. Faculty support can come via recognition of their good The mission of the Center for Teaching Excellence is to work. American annually distributes a variety of awards celebrate, facilitate, and strengthen excellent teaching. It to honor faculty accomplishments. They include: the operates under the premise that assisting with technolog- Scholar-Teacher of the Year; the University Faculty ical innovation in teaching and strengthening teaching- Award for Outstanding Scholarship, Research, and research linkages are complementary goals. Established Other Professional Contributions; the University in 1998, the center embodies AU’s commitment that Faculty Award for Outstanding Contributions to superb teaching, within and outside the classroom be Academic Development; the University Faculty Award paramount. The center conducts a wide variety of activ- for Outstanding Teaching; the University Award for ities that assist faculty in developing their teaching skills Outstanding Teaching in General Education; the and in using computer and internet technologies appro- University Faculty Award for Outstanding Teaching priately. Many faculty take advantage of the center’s (Adjunct); the University Faculty-Administrator Award programs. The center offers faculty small sums of for Outstanding Service to the University Community; money to support teaching activities. It organizes the the Bender Prize, and the University Faculty Award for annual Ann Ferren Conference on teaching, which this Innovative Use of Technology in Teaching. year drew 152 faculty members on the Saturday before Faculty can apply for sabbaticals every seven years. They the first week of classes in January. The center aggres- may apply for a one-semester sabbatical at full pay or a sively promotes the use of Blackboard technology in full-year sabbatical at half pay. The sabbatical program instruction and offers faculty individualized tutorials. is widely used. Forty faculty were on sabbatical in From spring 2002 to spring 2003, the number of course AY2002–2003. sections using Blackboard increased from 454 (27 percent) to 708 (42 percent). The number of students in It is important for faculty members to have their own course sections using Blackboard increased from 10,484 offices for their own work and for confidential meet- (32 percent) to 15,520 (49 percent). ings with students. Since the last visit of Middle States, AU has acquired additional space and redesigned As the Center for Teaching Excellence was created to buildings to greatly increase the number of single fac- assist faculty in their teaching, the Office for ulty offices for tenured and tenure-track faculty. As new Sponsored Programs (OSP) serves to promote faculty faculty lines are added, one challenge will be to provide research. OSP serves three primary functions: new faculty members with their own unshared offices. Pre-award support including identification of poten- Faculty Survey tial sponsors, budget development, assuring compliance with sponsors’ application requirements, proposal To gauge research, teaching, and service support, the production, and support activities faculty were surveyed in February 2003 (see Faculty 65 Supporting Document 5.4) as part of this self-study. for Teaching Excellence and its programs were cited by The survey was short so as to increase the response 35 faculty. The importance of the center to the univer- rate, which was 36.9 percent. However, the brevity sity has been demonstrated through heavy participation precluded the detailed follow-up questions that would in the center’s activities. Having talented and supportive have assisted in better understanding faculty responses. colleagues, the second factor, was cited by 33 faculty. That colleagues are seen as one of the most important Surveys were anonymous. Faculty identified only their factors in supporting teaching, research, and service primary school or college and their rank. Faculty were emphasizes the importance of making good faculty asked to indicate their agreement or disagreement with appointment and retention decisions. It also speaks to six statements about the degree to which their department, their school or college, and AU support their the atmosphere of collegiality that exists among faculty research and teaching, and with two statements about at the university. Various forms of tangible research and their overall experience of support and satisfaction at teaching support (such as course releases, internal AU. They answered three open-ended questions about grants, and junior faculty course releases) were cited by factors that support and hinder their teaching, research, 32 faculty. We will return to this third factor when we and service at American, as well as what might be discuss obstacles to faculty development. changed to support their teaching, research, and service. The open-ended questions were quite broadly worded Most faculty (59 percent) who responded to the survey and so faculty are likely to have construed facilitating either agreed or strongly agreed with the statement that factors in multiple ways. Many factors other than the they were satisfied with their experience at American. A three described above also were cited. For instance, much smaller proportion (19 percent) disagreed or some faculty listed support of interdisciplinary collab- strongly disagreed. Furthermore, faculty were far more orations, the merit review process, academic freedom, likely to agree than disagree that their department, their library resources, and other factors. That these factors school or college, and the university support their teach- were cited less should not be taken as a sign that they ing. For instance, 67 percent agreed or strongly agreed are less important. Nor should the factors mentioned that the university supported their teaching. Only 16 by various faculty be considered an exhaustive list of percent disagreed or strongly disagreed. what they feel helps them with their work. In contrast, respondents were relatively more likely to Responses to questions about what hinders faculty disagree or strongly disagree (35 percent) with the efforts and what improvements might be made reveal statement that the university supports their research. several broad themes. Only 40 percent agreed or strongly agreed with this The factor that drew the greatest response was the statement. Faculty were somewhat more likely to indi- teaching load. AU faculty carry, on average, a five- cate that their department and their school or college course load. Overall, 123 faculty members provided support their research. Dissatisfaction with research written responses to at least one of the three open- support was more likely at the associate and full pro- ended questions. Just over half of them (63) listed fessor ranks (38 percent) than for assistant professors course loads as either a hindrance, something that (20 percent). Dissatisfaction with research support was could be changed to facilitate their work, or both. also somewhat higher in the College of Arts and Given a five-course load, engaging in teaching, Sciences (43 percent) than in the rest of the schools research, and service is difficult without compromising and colleges (27 percent). the quality of one of these areas. Meeting this chal- Further open-ended questions probed at what factors lenge—indeed, improving faculty efforts as called for helped or hindered teaching, research, and service and in the 15-point plan—would be helped greatly by asked for suggestions about what steps could be under- reducing the course load. taken to foster faculty development. One of the most The teaching load, though on average five, varies notable results of this exercise was the variety of issues across the faculty. To some extent this reflects the het- that faculty members raised. Different teaching units erogeneity of faculty interests. Some prefer a mix of and different faculty have different needs. Increased teaching, research, and service that has a greater pro- help with faculty teaching, research, and service is portion of classroom teaching. Having some faculty most likely to occur by considering what each individ- teaching more than five courses allows others to teach ual needs to foster his or her development, in addition fewer than five, while maintaining the average. to more centralized, uniform support. Treating every- Encouraging some faculty to teach six courses so that one the same may not be the most productive others might teach fewer than five will need to be done approach for the university. with care. Heavier teaching loads for faculty who do Overall, 105 faculty listed various factors in response to not volunteer could be seen as punitive and serve to the question of what facilitated their teaching, research, demoralize faculty. Also, heavier teaching loads for and scholarship. They were allowed to list multiple some might shift the mix of faculty in the classroom, items. Three factors emerged most often. The Center with less presence by our most productive scholars.

66 Faculty The second factor was material support for research, SUMMARY AND RECOMMENDATIONS teaching, and service. A wide variety of examples was AU faculty are well qualified to engage in teaching, raised, each by a relatively small number of faculty. research, and service. Indeed, the faculty are highly They include travel awards, research support, library engaged in all three, and to good effect. There are resources, returning more overhead on grants, improv- promising trends in teaching evaluations in recent ing classroom equipment and computer resources, and years. Progress in scholarship, creative activity, and pro- acquiring more space. The university has been taking fessional development is more difficult to measure, but steps to improve funding for faculty support. For it is clear that the faculty are productive in this area. instance, the 15-point plan commits $500,000 “to establish a fund for Presidential Research Fellowships The 15-point plan presents the campus with profound for individual faculty to increase their scholarly activi- change. It calls for a reduction in the percentage of ties.” Though the future holds greater promise, current courses taught by adjuncts (point 8), a reduction in limited funding is perceived as restricting the develop- teaching loads for productive scholars (point 9), and ment of faculty talents. the addition of resources and meaning to teaching, The third factor was faculty concern about administra- research, and service (point 7), while simultaneously tive centralization of authority. Several faculty men- calling for a reduction in the size of the university tioned over-attention to details and arbitrary rules from (point 2), a reduction in the number of graduate pro- central administration as a hindrance. Others encour- grams (point 4), and a focus on making the under- aged more discretionary authority for deans, depart- graduate experience central to the mission of the ment chairs, and faculty, along with respect for faculty university (point 3). The interplay of these actions, as expertise. Decentralization permits people to be more well as their consequences, will need close examination creative, feel in control, and make decisions at the level as the plan is implemented. For instance, some courses where the issues are best understood. A spirit of mutual can be taught just as effectively with slightly larger concern, respect, trust, partnering, and operating in class enrollments; others cannot. Reducing the num- good faith is necessary for a productive university com- ber of course sections might restrict the variety of munity. Indeed, this spirit can provide one of the most courses teaching units can offer their majors. Though important lessons that students can learn from our fac- the number of 300-400–level course sections has ulty and administration. Examination of the obstacles increased slightly since 1994, it is down 19 percent and incentives present in faculty life is not new. Indeed, from peak levels in 1989. Great care will need to be in 1999–2000, a provost-senate working group exam- taken to retain the diversity of course offerings charac- ined “factors that facilitate or hinder faculty participa- teristic of an excellent university. tion in intellectual, programmatic, and community life The 15-point plan indicates that “we will need to at American University.” Steps that can be taken to fos- enlarge the scope and impact of teaching both within ter the partnership of administration and faculty, and and outside classroom settings.” If faculty are more to further recognize the perspectives of those “in the engaged with students outside the classroom, this will trenches,” within the context of the broad institutional draw time away from performing their other func- mission, will be helpful. tions. Already, faculty note that time pressures limit Finally, some faculty expressed concern about the their ability simultaneously to teach; engage in schol- effect of cutting graduate programs. Graduate students arship, creativity, and professional development; and are key to fostering faculty research both by serving as perform service as effectively as they would like. research assistants and by growing into junior col- The recently passed FY2004–2005 academic budget leagues and collaborators. The loss of graduate pro- allocates funds to hire more full-time faculty. This allo- grams, discussed in the chapter on graduate education, cation should improve teaching by reducing the role of is likely to render more difficult the recruitment of fac- adjuncts in General Education while assisting in the ulty who are drawn to the benefits of engaging in preservation of diversity of course offerings for majors. scholarship with and teaching graduate students. It As faculty become more engaged with students outside will also make research more difficult for faculty who the classroom, having more full-time faculty will spread lose their graduate programs. It will be important to this task, making it more likely that this additional con- find new avenues for faculty members who have suf- tact will present itself as an opportunity, not a burden. fered from these cuts. Decreasing the size of the student body would reduce In sum, the university supports faculty through vari- pressures on class size but would simultaneously ous means. Faculty most frequently report the Center reduce revenue. Increased fund raising (point 1 of the for Teaching Excellence, their colleagues, and various 15-point plan) would help to retain or increase faculty funding sources as supportive. They also express con- size in the face of reduced student numbers. cerns about certain factors, especially teaching load, lack of funding, administrative centralization, and loss There will be additional complexities relevant to fac- of graduate support. ulty in the implementation of the 15-point plan. For Faculty 67 instance, reducing the number of graduate programs Supporting Documents reduces opportunities in some fields to engage in 5.1 Faculty Manual research with graduate students. The implications for faculty, in meeting the 15 points, will need to be 5.2 Academic Regulations examined carefully as the plan is implemented. We 5.3 Faculty Publications, Professional Service, make the following recommendations. Grants, and Awards, 2002 •Reduce Teaching Load. The overarching theme of 5.4 2003 Faculty Survey Results the 15-point plan is to “mobilize our strengths and transform American University into an academically distinctive, intensely engaged community.” The additional time created by reducing the course load would help faculty to interact with students outside the classroom; prepare even more effectively for work inside the classroom; perform the research, creative activity, and professional development at the heart of the academic endeavor; and engage in service to university, profession, and community. To the question, What could be changed that would help their teaching, research, and service? the faculty’s most prevalent answer was far and away a reduced teaching load. The provost has also cited course load as the most difficult problem American University faces in recruiting faculty. Course load reduction would free faculty to utilize their particular strengths to the betterment of the university community as a whole. •Facilitate Faculty Participation. The AU faculty are an invaluable resource that can provide perspective into the means by which goals can best be met and the energy and effort to accomplish those means. Its work and enthusiasm are essential to successful implementation of the 15-point plan. Remaining obstacles to faculty efforts, across the range of research, teaching, service, should be eliminated whenever possible and incentives and resources for such efforts should be made available.

68 Faculty

LEARNING RESOURCES AND CAMPUS LIFE CHAPTER6 LEARNING RESOURCES AND CAMPUS LIFE

OVERVIEW ACADEMIC SUPPORT SERVICES American University Library is one of eight members of t American University a broad range of resources Libraries the Washington Research and services support students in their academic A The university library, , Library Consortium (WRLC), endeavors and in their personal lives. The services, a consortium of university synchronizes its priorities with the 15-point plan. The offered through all divisions of the university, address libraries in the Washington, library has focused in particular on the first five points, Standard 9 of the Characteristics of Excellence, which D.C., region founded in beginning with a major fund-raising program in 1998 states, “Within the scope of the institutional mission, 1988. WRLC members share (point 1), becoming a smaller but higher-quality uni- student services can reinforce and extend the college’s resources and contain costs versity (point 2), enriching the undergraduate experi- through direct borrowing, influence beyond the classroom. These services promote ence through information literacy (point 3), assessing preferred interlibrary loan the comprehensive development of the student, and the strength of the collections to support graduate service, a daily courier, an they become an integral part of the educational process, study (point 4), and continuously seeking ways to on-line library system helping to strengthen learning outcomes.” These pro- increase its operational efficiency (point 5). (ALADIN), and an off-site grams contribute to the university’s ethos of engage- high-density storage facility. ment as they help students develop the knowledge, Overview and Description of Services skills, and self-assuredness to become global citizens. A library is judged by three criteria: the quality and Academic support services include library instruction breadth of service it provides to students and faculty, and services, a rich array of electronic information the quality of its on-line resources and collections, and resources, growing book and journal collections, high- the adequacy of its physical plant. The university end technology with wireless options, the services of the library has succeeded in meeting goals for improve- registrar, professional academic advisors across the disci- ment for all three criteria as verified by data and plines, alumni services, career counselors, and special- through student satisfaction expressed in the Campus ized centers offering individualized support for study, Climate Surveys over the past five years. writing, language, and quantitative skill development. The first criterion by which a library is judged is the Student support services that meet the needs of all stu- quality and breadth of service it provides to users. The dents include such programs as counseling, health care AU library has a long-standing reputation for its posi- and education, and judicial services. Other programs tive customer service. As library faculty and staff work meet the needs of specific populations, such as multi- to maintain that standard, they have created a number cultural students; international students; gay, lesbian, of ways in which students can become more informa- bisexual, and transgender students; and students with tion literate and can pursue their information needs disabilities. Through consultation and outreach, these independently. programs educate the campus community about Teaching students to become independent searchers health and wellness issues, behavioral norms and and to be able to verify the authenticity and suitability expectations, and the richness of diversity that charac- of the information they locate is one of the most terizes AU community life. important services offered by the library. Most library Student life encompasses a broad array of services and faculty participate in the library instruction program, programs that affect the quality of the overall student which provides numerous instructional sessions in the experience. These include orientation programs, library and in campus classrooms. In 2001–2002 which welcome new members of the community; library faculty offered 246 instruction sessions, reach- housing and dining programs, which meet both basic ing 4,416 students and introducing them to the and developmental needs; leadership and personal library and to specific resources for their disciplines. growth experiences offered through the University Coordinated by the library instruction team, the Center, Student Activities, and the Kay Spiritual Life library promotes information literacy, or “the ability to Center; community service opportunities both here locate, evaluate, and use information in order to and abroad; a comprehensive athletics and recreation become independent learners.” The instruction team program that emphasizes physical and mental well- developed the publication Information Literacy at being as well as athletic achievement; and the pro- American University: Recommended Learning Outcomes grams and services of Public Safety, which create a safe and widely circulated it on campus beginning in 2000 environment that the community needs to thrive. (see Supporting Document 6.1). Responding to the

Learning Resources and Campus Life 69 General Education review, the team defined the 1. The library has markedly expanded its offerings of library’s role in supporting the new information liter- electronic resources. The development of informa- acy goal that is part of the General Education tion technology, the amount of information avail- Program. Additionally, in 2001–2002 the team held able electronically, and the phenomenal capacity of open forums for faculty regarding incorporating infor- on-line searching tools have provided a rich array of mation literacy skill development into their courses resources that were not available 10 years ago and sponsored round table discussions on plagiarism through print materials alone. and academic integrity. 2. The library materials budget has nearly doubled The team designed Information Literacy: A Proposal, over the past 10 years, enabling the print collection which summarizes the state of information literacy at to grow at a faster rate. The collection does not, AU and provides recommendations for ways in which however, meet the standards established by the it can be incorporated across the curriculum (see Association of College and Research Libraries for Supporting Document 6.2). In implementing these universities the size and character of American proposals during 2002–2003, the team designed an University. (Volume count at end of FY2003: on-line, Web-based tutorial that introduces students to 777,000. Goal for collection size according to latest basic information literacy skills; the tutorial will be standards available: 1.2 million volumes. The piloted during fall 2003. Other components of library has been reducing the gap by approximately Information Literacy: A Proposal are being addressed 20,000 volumes per year.) through library representation on the project to design a 3. The library is able to target collection development University College for undergraduate students. Another more closely to program needs after the completion phase will move the efforts to all university majors. in 2001 of a major collection assessment. Using the Library faculty work with Center for Teaching WLN Conspectus software, the project defined Excellence staff to introduce faculty to the Blackboard desired goal levels and present collection levels in course management system. The library migrated its 2,400 subject areas. As resources permit, the library electronic reserves operation to Blackboard in August is continuing to work to close the gap between col- 2001 and helped to design “linkmaker” software that lection levels and goals. faculty use to link to their e-reserve materials. In fall 4. The library launched a fund-raising program in 2001, of the 258 reserve lists, 65 included electronic 1999, which has increased the funds available for materials on Blackboard. A year later, in fall 2002, of the purchase and preservation of library materials. the 340 reserve lists, 111 were electronic. During FY2003, just four years later, that effort had Reference librarians provide research assistance via the attracted more than 1,100 donors and $269,800 reference desk; telephone; e-mail (since 1996); virtual Whether students find the information they need via reference, also called on-line chat (2002); individual the Web, through licensed on-line databases, or in the consulting appointments; and open “office hours” ses- expanding print collection, they are urged to begin sions (2001). In FY2002, people asked more than their research through the library Web site. The Web 39,000 questions at the reference desk and 4,700 ques- site was completely redesigned in 2001 using state-of- tions at media services. the-art architecture with interactive and expandable Many other efforts have been made to move library capability. It provides access to the ALADIN system, users to more independence. For example, which includes a catalog of print and electronic hold- is a feature of the library’s on-line sys- ings of eight libraries, and on- and off-campus direct tem that allows borrowers access to their records to access to e-books and licensed databases. It offers check due dates and fines, to renew materials electron- information about the library, an e-mail reference serv- ically, to download articles requested through interli- ice, subject guides to resources in the library and on brary loan, and to customize a menu of preferred the Web, forms for requesting services, and informa- databases. In 2002, forms for requesting interlibrary tion targeting distance users. Print resources continue loans from outside WRLC and for requesting that cer- to be heavily used by students, who consistently call tain books be purchased became available on the for more books in the collection. (See Chapter 3, library Web site. In spring 2000, a self-checkout Institutional Resources, for more details regarding the machine was installed, enabling borrowers to check print collection.) out their own library books without going to the circu- The third criterion of evaluation is the adequacy of the lation desk. Self-checkout transactions in 2001–2002 physical plant. AU library facilities, varied in quality numbered 13,452. and size, are in four locations: the Jack I. and Dorothy With regard to the second criterion by which libraries are G. Bender Library and Learning Resources Center, the evaluated, on-line resources and collections, the library is Anderson Computing Complex, and the Music able to meet more information needs now than ever Library on the main campus and the Washington before in its history. This is possible for four reasons: College of Law (WLC) Library. The Bender Library

70 Learning Resources and Campus Life opened in January 1979 and was even at that time to 59 percent. For graduate students, library services one-half the size called for by the library building pro- were the next-most improved after collections. Library gram. Hence, the building has been outgrown by the services were rated excellent or good by 72 percent of print collection (of which 12 percent is relocated to graduate students in 1999 and by 78 percent in 2001, the off-site WRLC Center), by new technology, and an increase of 6 percentage points. by expanded user and staff activities. It is in need of Technology and Learning renovation in the short term and expansion in the foreseeable future. State-of-the-art technology is a basic underpinning for the changes articulated in the 15-point plan. In the The Anderson Computing Complex, the largest com- earlier (1997) strategic plan several goals addressed the puter lab and computer-based training center on cam- need for high-end computing support, and those goals pus, became administratively part of the library in were met by the (then) Office of Information June 2002. This reorganization provides an opportu- Technology, the library, and numerous other units on nity for library services to be expanded to the new campus. The technological advances made through location and for computer services to be strengthened the 1990s position the university to support learning in several locations. The Music Library will be relo- in the twenty-first century. The programs of the cated in 2005 when the arts programs move to the Center for Teaching Excellence, since 2002 responsi- Katzen Arts Center. Its future location is unknown at ble for significant aspects of technology that support this time. academic pursuits, help to fulfill points 7 and 9 of the The Law Library, which reports administratively to the president’s 15 points. dean of the law school, moved to its new site in 1996, Publicly available computers are provided, primarily thereby markedly expanding its space. Its collections for students, in numerous locations throughout cam- primarily serve the curricular needs of the law school pus. Except for the computer clusters located in the and it is open to the university community. residence halls, each lab has technical staff to assist stu- Assessment dents in efficiently using software programs. Training sessions on various software packages and the use of Surveys of students concerning the quality of the on-line information resources are offered by the library indicate a mixed and somewhat inconsistent Center for Teaching Excellence, e-operations, the evaluation. In general, the Campus Climate Survey library, and faculty as needed in certain courses. This suggests a growing degree of satisfaction and improve- training strengthens students’ technical acumen, leads ment over the last five years. A second survey instru- to improvements in their learning and performance, ment, LibQUAL+, and focus group results suggest a and builds their information literacy skills. lesser degree of satisfaction, particularly with print collections and the quality of the facilities. The university The Center for Teaching Excellence , provides LibQUAL+ survey in 2001 and will use the revised technical support and training to faculty and staff, and updated survey in 2003 to further assess student enabling them to offer resources for students. The cen- satisfaction (see Supporting Document 6.3). ter is charged to facilitate and strengthen effective teaching by faculty and to reinforce relationships Student response as tracked by the Campus Climate between teaching, scholarship, creative activities, and Survey shows that over the past five years the area of professional practice. It assists faculty and doctoral stu- most increased satisfaction according to both under- dents in using technology in teaching and in expand- graduate and graduate students is library collections. ing their pedagogical methods. The center works to However, the current level of satisfaction regarding the increase faculty presence in aspects of student life collections is still below where it should be for an insti- beyond classes and office hours through faculty resi- tution that aspires to attract and retain academically dent advisors, Saturday brunch with faculty, and other successful students. In 1997, 13 percent of undergrad- cocurricular activities. uate students rated the collections excellent or good. By 2001, 38 percent of the respondents rated the collec- The Center for Teaching Excellence has also been piv- tion as excellent or good, which is an increase of 25 per- otal in the adoption of Blackboard courseware by fac- centage points. Since 1999, when the survey was first ulty over the past four years. Through the center’s given to graduate students, ratings of excellent and strategic action, the use of Blackboard courseware by good for library collections have risen 9 percentage faculty across all disciplines has increased dramatically points, from 41 percent in 1999 to 50 percent in 2001. since 2001. (See Figure 6.1) Library facilities are second to library collections in The Washington College of Law incorporates new improvement for undergraduates according to the technologies into its legal education, and its facility Campus Climate Survey. Excellent or good ratings was designed with that goal in mind. It offers state-of- went up 20 points over the five years, from 39 percent the-art network and audiovisual capabilities with more

Learning Resources and Campus Life 71 Figure 6.1 Blackboard Use, Fall 2001–Spring 2003 Fall Spring Fall Spring Blackboard Use 2001 2002 2002 2003 Number of sections using Blackboard 358 454 656 708 Percent of sections using Blackboard 21% 27% 40% 42% Number of enrollments in sections using Blackboard 8,708 10,484 15,988 15,520 Percent of enrollments in sections using Blackboard 25% 32% 44% 49%

than 2,000 network ports, numerous smart class- • keeping records and reporting data, including rooms, an advanced course management system, in- responding to reports from the registrar’s office house curriculum development and training support, about potential student problems and evaluating and well-staffed, responsive technical support. academic records for awards or academic warnings The university provides services to meet the needs of Academic advising staff include expert professionals, students with learning and physical disabilities. administrative support staff, and well-trained student Adaptive technology is available in two private rooms assistants. Faculty contribute significantly to advising, in the library and in the Anderson Computing particularly for upper-division majors and graduate Complex. The technology includes software and hard- students. Although responsibility for advising resides ware. In the library a disabilities services coordinator in specific college and school offices, there is synergy provides support and training on the equipment as among academic advisors and the registrar’s office, the needed. Students with disabilities continue to become Career Center, offices of admissions and financial aid, aware of adaptive technology and use it increasingly. and offices in Campus Life. For example, in FY1999, 17 students used the library’s Systematic assessment mechanisms have provided special services rooms for 675 hours. In FY2002, 40 valuable information regarding student satisfaction students used the rooms for more than 1,000 hours. with academic advising. The most consistent instru- Academic Advising ment is the university Campus Climate Survey. The spring 2001 survey showed the lowest recorded satis- AU provides comprehensive academic advising for all faction level with academic advising. Across college degree-seeking, certificate, and nondegree students and schools, only 60 percent of the students strongly taking undergraduate and graduate courses. Though agreed or agreed that they were satisfied with advising. the principal focus is on advising current students, Based on those results, academic advisors set a collec- staff provide academic advice throughout the student tive goal to increase student satisfaction They created lifecycle, from prospective applicants through alumni. an action plan: procedural changes were made, out- Academic advising is directly linked to President reach to students was increased, and advisors focused Ladner’s 15 points through point 10, which focuses on on providing the best possible service. Frequent train- its singular importance. ing sessions for all advisors improved their knowledge and skills. The 2002 survey results showed improve- Academic advice is given by professional staff located ment, with a 72 percent student satisfaction rate. in the college and schools who work closely with other campus offices. Academic advising includes contact The School of Communication (SOC) is one example with students in the following ways: of changing procedures to increase student satisfaction. In 2000, the Campus Climate Survey indicated that 66 •individual and group advising on undergraduate percent of students were satisfied with the advising in and graduate programs and relevant progress toward SOC. It went down to 62.8 percent in 2001. Preceding degrees, administrative requirements, course that survey, SOC had changed procedures, eliminating sequencing, internships, graduation, other campus walk-in consultations and seeing students on an student resources, faculty research interests and appointment-only basis during the registration period. expertise, and specific information on research As a result of the lower satisfaction rating, SOC advi- options and further study sors changed their policy again to accommodate stu- •recruiting, open houses, orientations, and workshops dents on a walk-in basis, and their satisfaction with the service went up to 79.9 percent in 2002. •providing guidelines, worksheets, and other written Some units use surveys and focus groups to supple- materials on program requirements ment the results of the Campus Climate Survey. Deans, • communicating with faculty and administration on faculty, student leaders, and advisors conduct individ- individual student concerns, scheduling, and enroll- ual and group point-of-service assessments and solicit ment management student feedback on an ongoing basis. For example, as

72 Learning Resources and Campus Life a result of a focus group several years ago, CAS fresh- • determination of student eligibility for graduation men are more closely identified with one academic • maintenance of the integrity of student academic counselor and are encouraged to see that advisor for all records the help they need. Registration workshops are organized to make that identification possible, and advisors • student enrollment and discrepancy reports and ad are encouraged to reach out to students through e-mail. hoc reports for deans Assessment reports are also incorporated into various • data management and clean-up, including user discipline-specific self-studies conducted in recent years training for Colleague and the Web for program accreditation. For example, the Kogod • liaison with academic and administrative offices to School of Business annually assesses its effectiveness address individual student concerns through Educational Benchmarking, Inc. (EBI), an independently administered exit survey of student sat- During the past two years, the Office of the Registrar, isfaction used by many AACSB-accredited undergrad- e-operations, and e-administration have worked to uate programs. The School of Education conducts ensure that the needs of clients are being met in the student surveys at the conclusion of its programs and most efficient manner possible. For example, with surveys alumni in accordance with the requirements of spring 2002 priority registration in October 2001, NCATE, the national accrediting agency for education. Web registration and add-drop were made available to all returning students through their student portal, Procedures for pursuing a resolution to a complaint or . What had been accomplished filing a grievance are part of the university’s Academic through mass mailing became an e-mail exchange. Regulations, which are available on the registrar’s Web site. Information specific to each college and school is In spring 2002, faculty were introduced to electronic available through its Web site and the student hand- versions of their enrollment verification and early book. Most schools and colleges have a committee of warning rosters, which provide faculty real-time infor- faculty and students that hears formal grievances and mation about their course section enrollments and recommends resolutions to the associate dean or dean. attendance. Electronic submission of final grades followed in April 2002. Once an instructor has entered Office of the Registrar the final grades and submits the roster, students have The Office of the Registrar, , provides the academic community, portal. Deans can oversee the submission of final and students in particular, with many services and grades, as well as access several other reports. resources. Its mission is shaped by President Ladner’s Compliance is high, at 96 percent (internships, coops, 15 points, specifically point 2, which calls for a smaller and independent student courses make up 4 percent). university with fewer programs and staff, and point 5, In 2001, the university upgraded the degree audit sys- which calls for a reduction in operation costs and an tem to the newest version of DARS, called DARwin. increase in operational efficiency. With the development of the portal and Advising Services provided by the Office of the Registrar include: Wizard, advisors and faculty gained immediate on-line access to DARS reports. Now undergraduates can track • publication of the university catalog their progress in real time from the time of their initial • publication of the Schedule of Classes, including registration through graduation. More graduate pro- up-to-date information on the Web grams are scheduled to use DARS in the near future. In 2001, the Office of the Registrar also implemented • student registration and add-drop activities available Colleague’s communications management feature with on the Web, with walk-ins welcome the goal of providing better communication with appli- • enrollment verification and early warning rosters cants for graduation. accessible to faculty via the Web A newly developed Web-based application that supports the transcript process was implemented in spring 2003. • grade rosters accessible to faculty for electronic This new transcript application, accessible through the submission; grade monitor access for deans portal, cuts manual labor practically in half for staff and • official and unofficial transcripts to students with significantly reduces processing time. The automated their authorization transcript system includes a transcript monitor, which keeps track of mailing addresses and when transcripts are • written letters of certification per student authorization printed and mailed. • management of the student evaluation of teaching The 2002 Campus Climate Survey revealed that process undergraduate and graduate students agree that the • degree audit reports and unofficial transcripts, via Office of the Registrar has shown marked improve- the Web, for students and advisors ment since 1999. Responses about “efficiency of the

Learning Resources and Campus Life 73 registration process” from undergraduates show an ers, and join center staff on employer visits. Cross- improvement of 45.2 percent since 1999, and from functional teams also operate regularly or on an ad hoc graduate students an improvement rate of 32.5 per- basis in order to focus on specialized areas, such as cent. Responses about “courtesy and helpfulness” from employer workshops on the Americans with undergraduates showed an improvement of 13.9 per- Disabilities Act and hiring international students. cent since 1999 and from graduates an improvement In recent years the Career Center has increased its serv- rate of 10.6 percent. Remarks contributed through the ices to first- and second-year undergraduate students. registrar’s suggestion box have been positive and very A career decision-making workshop guides freshmen useful for initiating enhancements to processes and and sophomores who are unclear about a career path procedures. or academic major through a highly structured decision- Career Centers making process. Self-assessment tools are available to assist students in this effort. Additionally, through peer AU Career Center advisor and staff presentations and workshops in resi- The Career Center, , dence halls, classrooms, and around campus, the center serves undergraduate and graduate students and provides numerous opportunities for students to assess alumni, excluding law and graduate business students. their interests, skills, and values in relation to their Its services relate directly to university success in meet- career goals and academic experience. ing President Ladner’s 15-point plan, particularly The Office of Merit Awards, housed in the center, points 3 and 6. Reporting to the dean of academic helps attract and retain students of high academic affairs in the Office of the Provost, the center is a cen- achievement and promise. It serves primarily under- tralized unit offering a full range of career develop- graduate students in search of nationally competitive ment services. Its major units are internships, career internships, graduate school fellowships, and such development, employer outreach and marketing, and awards as the Truman, Marshall, Fulbright, Boren, the Office of Merit Awards. Twenty-four full-time Goldwater, and Udall scholarships. The volume and staff, four part-time staff, and 20 part-time student quality of service provided to students has greatly staff keep the center open 46 hours per week through- increased over the past five years. Working collabora- out the calendar year. tively with the University Honors Program and faculty, In 2002–2003, 6,300 students met individually with the director identifies students eager to pursue nationally career center advisors, more than 11,400 students competitive awards and engages AU faculty to mentor attended Career Center programs, including more students over many months of application preparation. than 2,000 students who attended the two job fairs. In 2003, this office and the faculty it recruited mentored Of the more than 1,100 students who registered for five Truman Scholarship finalists, more than any other academic internships, half visited the internship advi- university in the United States. Graduate student appli- sors for help throughout the process. In general, 75 cants also work with this office, especially those pursuing percent of AU undergraduates report that they have Fulbright and Boren fellowships. completed at least one internship or co-op by the time Alumni have access to the Career Center for their own they graduate, and these experiences are among the personal and professional improvement. Alumni net- most visible manifestations of students’ engagement working events and the AU alumni on-line commu- outside of the university. The greater Washington, nity allow students to “meet” alumni and explore how D.C., community is aware of AU’s strong internship to translate their academic studies into careers. In programs, and the Career Center receives thousands of addition, student-alumni receptions and alumni career internship and job listings a year from employers wish- advising help to cultivate alumni for the development ing to recruit AU students. In 2002–2003, 6,500 campaign. A large percentage of employers of AU internships and 7,800 full-time positions were posted interns are AU alumni. for AU students on the Career Center Web site. Finally, the center manages the off-campus federal work- The Career Center is organized into teams to serve the study program for the university, arranging for students specific needs of students in each school or college. to use financial aid awards to work in community serv- Advisors are knowledgeable in core academic content, ice sites and to tutor throughout the D.C. metropolitan field application (internships and jobs), and career and area. Students working off campus earn between 10 per- internship advising. In collaboration with these units cent and 12 percent of the university’s annual federal and the AU Abroad Program, the center works to work-study award (seven percent is mandated). expand experiential learning opportunities in Washington and beyond and to reward appropriately In terms of assessment, students complete an on-line, the faculty who supervise for-credit, experiential anonymous questionnaire after each advising appoint- options. Faculty moderate panels, mentor national ment and evaluations after each workshop, job fair, or merit award applicants, serve on award review com- panel presentation. Satisfaction with services is 99 per- mittees, supervise interns and meet with their employ- cent positive in point-of-service evaluations; “excellent

74 Learning Resources and Campus Life and good” responses in the Campus Climate Surveys tice, government and alumni counseling. OCS coordi- are in the 61 percent range. The center uses open- nates two formal recruitment programs per year. Law ended comments from the Campus Climate Survey to firms, government agencies, public interest organiza- better understand student concerns and improve serv- tions, trade associations, corporations, and other organi- ices. For example, after reviewing survey results the zations are invited to interview students on campus or to School of Communication and Career Center dis- receive student resumes for review. In addition, employ- cussed changing the way career services were delivered ers regularly list employment and internship opportuni- to students. Led by the complete cooperation of the ties with the office. OCS also participates in numerous dean, the Career Center increased the staffing devoted minority and public interest job fairs, and intellectual to that school and partnered intensely with SOC fac- property recruiting conferences. ulty and staff throughout the year. AU’s Campus Climate Survey results provide evidence that the part- OCS has made impressive strides since the last self- nership is on the right track. Satisfaction with career study. Specifically, the number of employers coming advice for undergraduates went from 50% in 2002 to on campus to recruit WCL students has increased over 66% in 2003 and for graduate students satisfaction 100% (from approximately 60 in 1995 to 121 in went from 8.3% to 50%. Similar improvements 2002), and the 9-month post-graduation employment occurred in the areas of “internship listings and rate for our graduates during this period has dramati- advice” and “links with alumni”. cally increased from 77% to 86% in 2002. The Career Center also uses the AACSB 1. Recruitment Initiatives Undergraduate Business Student Exit Survey to better The fall recruitment program is organized into three understand KSB students’ needs and concerns. While separate methods for recruiting law students: (1) some of the results are positive, the survey shows dis- employers receive resumes from interested students and satisfaction in relation to comparison schools on two then spend a day interviewing students on-campus; (2) key indicators for business rankings: the quality and employers receive resumes from interested students, the quantity of employers recruiting Kogod under- but contact students directly for interviews at their graduate students on campus. The KSB Assistant offices; (3) students individually apply to employers Dean for Undergraduate Programs is working with the who have indicated an interest in receiving WCL stu- center’s assigned KSB staff to improve employer out- dent resumes. In 2002, a total of 371 students were reach and to communicate the center’s programs and recruited through one of these methods. In Spring services to students and faculty. 2002, OCS invited 3,000 local and national employers KSB Graduate Student Career Services to interview WCL students. These included public interest organizations, trade associations, consulting In the Fall of 1996, responsibility for Graduate Career firms, corporations, and small firms. The effort resulted Planning and Placement for students in the Kogod in 258 employers requesting resumes of WCL students. School of Business graduate programs was shifted to the school. This transfer supported ongoing KSB 2. Outreach to Employers efforts to become more student-centered in providing Over the past eight years, OCS has undertaken several services to its graduate students – especially MBAs. major initiatives aimed at raising the visibility of the law This also reflected an increasing trend for the top school and its students among both the local and MBA programs to bring career planning and place- national legal communities. The goal of this campaign is ment into the business school. It is well appreciated by to inform the legal community about the many exciting the Kogod School and AU leadership that MBA place- changes that have positively affected the school and the ment statistics are a critical component of most of the student body, and to entice legal employers to recruit major MBA quality rankings. In fact, the Wall Street and hire WCL students. This campaign has included the Journal Ranking of Global MBA programs uses a survey publication of numerous brochures that highlight the of Corporate Recruiters to rank the quality of business strengths of WCL students to potential employers. schools. As a testament to career services success, in its latest survey the Kogod MBA program was ranked In addition, OCS has engaged in traditional and new 42nd in the world in terms of quality and was the only media outreach. For example, WCL launched a radio DC area private University to make the top 50. campaign designed to bring major regional exposure to WCL’s programs, scholarship, and graduates. We know Washington College of Law Career Services of no other law school in the country to address its audi- The Washington College of Law Office of Career ence through this medium, and feedback from legal Services (OCS) counsels students and alumni regarding employers and alumni alike has been uniformly positive. career planning and job search strategies. There are one 3. Outreach to Students part-time and six full-time career advisors, all of whom formerly practiced law. Areas of specialized counseling Throughout the year, OCS receives numerous job include judicial clerkships, public interest, private prac- announcements for experienced attorneys, part-time law

Learning Resources and Campus Life 75 clerks, unpaid interns in public interest organizations, particular years since graduation. In 2002, Homecoming and clerks for local judges. The office maintains a search- (traditionally a student-sponsored weekend) was com- able web-based job listing database that enable users to bined with Reunion Weekend in order to promote inter- gain access to daily information on these job listings, action between students and alumni. Additionally, internships, and related announcements. The following alumni are involved in the admissions process and play a statistics reflect the number of employment announce- vital role in their work with prospective and newly ments received by the OCS during calendar year 2002. accepted students. Last year, alumni hosted more than 15 send-off receptions for newly admitted students in Type Number of various regions of the country. of Listing individual employers The growth in the size of the senior gift is one indica- Paid student positions 360 tion of success in cultivating new alumni. In 1998, Attorney $9,083 was raised by the senior class for the gift (lamp (0+ years experience) 989 posts), with 193 seniors contributing. In 2001, $49,823 Volunteer Internships 190 was raised with 259 students participating (cyber café). Federal Judicial Clerkships 8 In 2002, $40,622 was donated by 112 students (memorial plaque). The goal is to assist the students in choos- State Judicial Clerkships 32 ing a gift that appeals broadly to the student body and Fellowships 115 to work with them in the fund-raising process to In response to OCS outreach, we now have over 500 increase the amount raised for the gift each year. WCL alumni in our Alumni Mentor Network, a pro- The number of alumni who volunteer to assist students gram designed to offer advice to students and alumni. with career advice and internship opportunities and to The office created a mentor database divided by geo- serve as role models also continues to grow. For exam- graphic and practice areas. Hard-copy binders, con- ple, in FY 2000, 145 alumni participated in three taining mentor information, are available to students career-networking receptions held for students on cam- in the OCS. Mentors are also available through e-mail. pus. So far in FY2003, 250 alumni have participated in 4. Employment Statistics five such career-networking receptions. The alumni on- line community, to which students have access, has WCL’s OCS has improved employment statistics gath- more than 12,000 registered alumni members, of which ering over the past eight years. Statistics for employment a total of 1,794 have offered to speak on panels, offer nine months out and at graduation continue to show a career advice, hire interns, recruit at job fairs, and more. noticeable improvement in the number of students employed. For example, approximately 84% of the class The alumni participation rate in annual giving; the of 2002 were employed at graduation compared to extent to which alumni, particularly recent graduates, approximately 65% of the class of 1998. become involved in alumni chapter activities; and the success of the senior class gift are all measures of the Alumni Services success of services offered to students. As students Loyal alumni are the most fruitful source of financial interact with alumni earlier in their AU career, in some support through charitable giving to the university. cases even as they are in the process of making the deci- Efforts to engage alumni in student experiences and in sion to attend AU, the university hopes to strengthen life-long university activities are helping to fulfill point 1 the lifelong relationship it has with alumni. The alumni of President Ladner’s 15-point plan, which states that participation rate has grown from 10 percent of alumni the university “will undertake and complete the largest giving in 1998 (about 7,400 alumni) to 17 percent of and most successful fund-raising campaign in AU’s his- alumni giving in 2003 (about 12,100 alumni). tory.” Generally, outreach activity to alumni is coordi- Additional Academic Support Services nated by three full-time staff in the alumni programs office, , in the Office of Academic Support Center Development. The Career Center and the college and In order to facilitate academic inquiry, the Academic schools also engage alumni in the academic mission of Support Center (ASC), , the university by including alumni speakers in class- part of the Office of Campus Life, provides individual rooms and connecting students to alumni who offer academic skills counseling, workshops, referral to peer internships, advice, and mentoring. tutors, supplemental instruction for high-risk classes, During the past five years, opportunities for students to writing assistance, services for students with learning interact with alumni have increased, including senior disabilities and attention deficit disorder (approxi- class gift activities, career networking events with stu- mately 300 per year), services for student-athletes (an dents and alumni in conjunction with career services, ASC counselor is based in the Department of and a student-alumni association. Reunion Weekend Athletics), consultation and outreach to the university each fall focuses on alumni, particularly those marking community, and related materials and Web resources.

76 Learning Resources and Campus Life The ASC is housed in space newly renovated for its , supports AU’s mission as purposes in 2002 and is in a high-traffic area, a location a global university by complementing language study. which facilitates students’ awareness of its services. The It enhances students’ ability to increase their language ASC serves all students at the university, and the demo- proficiency and cultural awareness through pedagogi- graphics of the users approximate the university’s stu- cal support to faculty for technology-enhanced dent profile in terms of racial and ethnic diversity. In instruction and through programs and services offered AY2001–2002, 763 students were seen by a counselor by the LRC itself. These include the use of advanced on an individual basis (4,073 sessions). There were technologies in audio, video, film, computer, and 6,040 contacts with ASC staff in other services, such as satellite communications. For example, the LRC offers workshops and supplemental instruction sessions. continuous foreign language news, popular programming in a number of languages, and satellite down- The ASC sends an evaluation form each April to stu- links to residence halls, Bender Library, and other dents who have seen a counselor or requested a tutor; locations via campus-wide cable. In addition to hold- 99 percent rated the overall service as good to excellent ings, both print and electronic, that support classroom on the 2001–2002 survey. On the Campus Climate study in nine languages, the LRC offers tutoring in Survey, administered to students each spring, 78 per- these languages. It also administers language place- cent of undergraduate respondents rated services as ment exams and the tool-of-research examinations for good to excellent on the AY2001–2002 survey. In master’s and PhD candidates to demonstrate foreign terms of retention, 43 percent of respondents to the language proficiency. ASC survey said that the ASC helped them to stay in school. Of those, 92 percent said that the services were The LRC is staffed by one full-time director, 13 part- important or essential in their retention. Grievances time students, and 11 language tutors. This staffing from students with disabilities are referred to the pattern creates a challenge in implementing projects 504/ADA compliance coordinator, and complaints that require continuity, but it does allow for extended from other students are handled through administra- hours of service, including nights and weekends. In tive remedies. the future, facilities need to be upgraded and functional spaces need to be enlarged and reconfigured. Writing Center Students are encouraged to use a comment and sugges- Managed by the Department of Literature in the tion box to provide point-of-service feedback; faculty College of Arts and Sciences, the Writing Center is work closely with LRC personnel to recommend closely aligned with the academic mission of the univer- changes or improvements; and weekly staff meetings sity. It provides high-quality, collaborative coaching in provide a forum for discussion of these recommenda- writing to all AU students, both graduate and under- tions and for planning implementation. graduate. In AY2001–2002, the Writing Center pro- Mathematics and Statistics Tutoring Lab vided 1,699 sessions for 607 students. More than half of these sessions were with international students. It offers The Mathematics and Statistics Tutoring Lab supports 96 tutor-hours a week, and its staff is composed of 16 high-quality mathematics and statistics undergraduate student tutor-consultants and a full-time staff associate offerings and provides limited support for graduate director. Tutor-consultants receive extensive training offerings. It makes it possible for students with a vari- and support; they meet weekly in the fall semester and ety of backgrounds to succeed in mastering quantita- bi-weekly in the spring for training and supervision ses- tive concepts. Services include equivalency and sions. In 2001, the Writing Center moved into newly placement testing, tutoring, and sessions to introduce renovated space and is conveniently located in the new students to statistical software. home of the College of Arts and Sciences. About 1,500 students a semester use the lab, with The Writing Center assesses its services through surveys fewer students using it during summer sessions. All administered to all users a few weeks before the end of incoming freshmen and transfer students who do not the semester, and results are used to improve services complete placement testing during orientation are tested in the lab once the semester begins. About 100 where indicated. Tutor-consultants also fill out evalua- students a year take an equivalency exam. Lab staff tions of center operations, which lead to improvements advise students about the courses they should take and in training staff. The center adheres to the university’s how to deal with difficulties they encounter. Staff academic grievance procedures, and promulgation of work closely with academic advisors to be sure stu- the university’s Academic Integrity Code is inherent in dents are placed in appropriate classes. its work. The associate director fields complaints that are appropriate for administrative remedy. More qualified tutors and more space for the lab as well as more computers in the lab itself are goals to Language Resource Center improve service. Complaints about service are rare, Housed in the Department of Language and Foreign however. There are about 10 a year, typically handled Studies, the Language Resource Center (LRC), by the director of the lab, who can often make adjust-

Learning Resources and Campus Life 77 ments in service to address the students’ concerns. Counseling Center When students have difficulty in courses, the staff look The counseling and consultation-training services of at the extent to which students have used lab services the Counseling Center, , support students’ academic and personal They also look at the success rate of students who fol- development and retention at the university. Services low staff advice about appropriate placement com- offered include counseling services for students; train- pared to those who do not as a way of assessing the ing and consultation services to students, staff, advi- effectiveness of placement procedures. sors, and faculty; clinical supervision and training to STUDENT SUPPORT SERVICES graduate students; and limited psychiatric services. The center serves all students in the university com- Office of the Dean of Students munity, although ongoing counseling is limited to Supporting the university’s mission as a values-based full-time students. The demographics of users approx- institution and a caring community, the Office of the imate the demographics of the AU student population Dean of Students, , offers in terms of racial and ethnic diversity. As is true of programs and services that foster students’ growth and counseling centers nationally, the center serves a some- development, communicate the values and standards of what disproportionate number of undergraduates and the AU community, and advocate for students’ interests. women. The center is located in newly renovated space The office also provides weekly communications to par- close to the hub of student activity but removed ents of freshmen, a newsletter for parents, and programs enough to ensure confidentiality. In AY2001–2002, for parents attending special events. Programs and serv- 850 students participated in individual counseling, ices include a comprehensive Greek life program (see and 1,150 students, staff, and faculty participated in Campus Life, below); advisement of two honor soci- groups and workshops. Twenty-six graduate students eties; support services for new transfer students; and participated in clinical training, including interns who joint programming with other units to address issues were the first cohort in the process of establishing an such as alcohol and drug use and sexual assault. internship program approved by the American The dean’s office is frequently involved in addressing Psychological Association (approval expected in student concerns and managing crises. In AY2003–2004). AY2001–2002, there were 245 significant student Consistent with national trends, the Counseling issues brought to the dean’s office for resolution. These Center has seen a dramatic increase in the demand for cases often involve multiple offices and may fall into services (a 40 percent increase between AY1997–1998 several categories of concern, such as financial matters, and AY2001–2002). Additionally, there is an increase counseling issues, health-related problems, and neigh- in the complexity of issues students present, often borhood concerns. Crises may include suicide attempts resulting in more emergency interventions (a 93 per- and high-profile judicial cases. When students are cent increase between AY1997–1998 and transported to the hospital for possible alcohol or drug AY2001–2002). Part of the increase in demand may use, each of them meets with the associate dean for dis- also be attributable to a change in service delivery cussion, referral, and parental notification. As assistant which began in 1998. The center has greatly increased vice president in the Office of Campus Life, the dean its consultation and outreach activities and thus its vis- of students also supervises the seven units composing ibility. Evaluations of the center reflect these trends. the Student Learning and Development Cluster. The The center surveys all users and typically receives pos- missions of these units are closely aligned with that of itive ratings for the quality of services (average ratings the Office of the Dean of Students; this synergy con- for quality of care are in the good to excellent range) tributes to a seamless experience for students. and its impact on retention (58 percent of respondents Assessment occurs through point-of-service surveys for report that counseling helped them to stay in school). specific programs and through feedback from students However, ratings about the quantity of service are less and families who bring issues to the office for resolu- positive; 31 percent of the respondents rate the quan- tion. To address alcohol and drug issues on campus, the tity as poor to insufficient. (Quantity refers to ongoing office administered the Core Alcohol and Drug Survey counseling and specialized services since all other serv- for the first time in the spring of 2002. Widely used ices are readily available.) This concern about the nationally, this survey provides valuable information quantity of service may depress student satisfaction as about students’ actual use, perceptions of use, and atti- reflected in the undergraduate Campus Climate tudes about some aspects of campus life. The results are Survey for AY2001–2002; a global measure of satisfac- informing the work of a university-wide task force tion on this survey indicates that 63 percent of respon- which the dean has convened to address policy impli- dents rate the services as good to excellent. To cations of the data, enhanced programming, increased compensate for the limited availability of ongoing involvement of faculty in these issues, and improved counseling and specialized services on campus, the methods of communicating information to students. Counseling Center staff has developed a referral process

78 Learning Resources and Campus Life for extensive off-campus resources and facilitates a stu- provide for such highly desired services as expanded dent’s connection with these services. Students with hours and increased physician coverage. The expecta- grievances may seek assistance from the director of the tion is that the Student Health Center will be relo- center or the relevant professional organizations of the cated and redesigned by fall 2004. counselors. All clinical training programs have specific Judicial Affairs and Mediation Services grievance procedures for participating trainees. Judicial Affairs and Mediation Services (JAMS), Student Health Center , emphasizes develop- The Student Health Center (SHC), , supports students’ academic university’s mission as a “values-based institution” pursuits by ensuring that they have access to quality (point 11). In 1999, the Student Conduct Code was medical care and live in a university environment that entirely revised to better achieve these objectives and encourages healthy lifestyles. Its activities are particu- to streamline its procedures. Experience since is that larly relevant to point 15 of the president’s 15-point the new code, developed with university-wide consul- plan, “We should take seriously our responsibility to tation, is succeeding. Minor cases are heard in discipli- encourage physical fitness throughout our commu- nary conferences with one hearing officer; cases in nity.” The coordinator of health education at the SHC which student status is at stake are heard by the serves as the cochair of the Wellness Project Team, Conduct Council, a community review board consist- which reports directly to the vice president of campus ing of faculty, staff, and students. In AY2001–2002, life and is charged with implementing this point. there were 940 cases adjudicated, and about two-thirds Achievements to date include an assessment of physical of the charges resulted in findings of responsibility. activity among entering students (data which can serve After completing discipline procedures, students fill as benchmarks for measuring future progress) and the out an evaluation form. Evaluations are typically posi- development of a plan to expand intramural sports. tive, especially in relation to the fairness of the process. The health center provides acute medical care, gyne- As is true on campuses nationally, AU struggles with cological and reproductive health care, minor emer- alcohol and drug use among its students. In fact, 63 gency treatment, immunizations, allergy injections, percent of the cases heard by JAMS in AY2001–2002 and health education. It is also responsible for the uni- were alcohol or drug related. The JAMS staff has insti- versity’s mandatory health insurance program and for tuted a number of measures to address these issues compliance with District of Columbia immunization among those who violate the Student Conduct Code. requirements. There is an organized community net- Minor violations result in mandatory participation in work of providers and hospitals that supplements its an on-line alcohol education program, more major work. In AY2001–2002, the center had 12,768 con- violations result in mandatory attendance at a 7 1/2- tacts with students who came for services such as office hour alcohol and drug education class with a trained visits with providers, referral to specialists, and routine counselor as the instructor, and repeat violations result injections. Evaluations of services among users are pos- in a mandatory assessment off campus with the itive; on an internal survey, 95 percent of respondents requirement that students complete all recommended said that they were satisfied or very satisfied with their treatment. A pilot program, made possible through overall experience at the health center. These results are grant funding, has been instituted to provide one-on- markedly discrepant from the results typically obtained one intervention at an earlier stage. Initial results are on the Campus Climate Survey (in the same year, 32 promising in preventing repeat violations. Over time, percent of the undergraduate respondents rated the given staffing constraints and the mission of JAMS, health center’s services as excellent or good). Grievances these programs need to move to the health education are typically handled by the center’s director, with program in the Student Health Center once it is relo- involvement of the dean of students when necessary. cated and its services redesigned. The discrepancy in these ratings speaks to long-standing International Student Services problems with the center that the university has begun All of the activities of the International Student Services to address. It is located in an older building on the (ISS) office, , support the edge of campus, has inadequate space, and is funded university’s mission as a global university. In particular, through allocation funding in an era when students the staff ensure that international students are in com- and families expect services that exceed what is possi- pliance with INS regulations and are acculturated to the ble with this funding model. Consequently, students university and the U.S. educational system. The office in general are intensely negative about the center works closely with faculty, staff, and students to educate because of its location and limited hours and services. them about the needs of international students and to The university has identified space on the main cam- increase cultural awareness. It achieves its goals through pus that will more appropriately house the Student such programs and services as orientation, immigration Health Center and is examining funding options to advising, intercultural programs, and cross-cultural

Learning Resources and Campus Life 79 training. In AY2001–2002, ISS issued documents for tainly welcome, the office has less space than it did in 734 newly enrolled international students, and there its prior location and there is less room for students to were 9,925 walk-in visits to the office for a variety of congregate. Staff also survey students in all of the pro- services. There is a point person in the office designated grams to determine their level of satisfaction; in the to hear student complaints, and students are guaran- same reporting year, students’ overall satisfaction was teed a response within 24 hours. The office conducts 4.4 on a 5-point scale, with 5 being very satisfied. focus groups and uses surveys to assess student satisfac- Retention rates for students enrolled in programs tion. Responses are used for service improvement sponsored by the office are typically higher than reten- where necessary. tion rates among the general population. The office is supported by an advisory board consisting of faculty, The university has experienced a decline in its interna- staff, and students. Students with grievances typically tional enrollment in recent years. Part of the decline is seek redress from the director of the office or the attributable to the increased competition for interna- supervising assistant vice president. tional students among peer institutions and community colleges. ISS expects to support the enhanced Gay, Lesbian, Bisexual, Transgender, and Ally recruitment efforts that other divisions in the univer- Resource Center (GLBTA) sity are undertaking. The university enrolls a signifi- The GLBTA Resource Center, , supports the university’s mission as a values- may be experiencing a drop-off in enrollment attribut- based institution, emphasizing values such as human able to 9/11. Post-9/11, ISS was universally lauded rights and dignity, social justice, diversity, and individ- both on and off campus, with extensive media cover- ual freedom (point 11 of the 15-point plan). It age, for its efforts to support international students. In enhances the student experience through outreach to winter 2003, ISS also received extensive media cover- prospective students; programming for all members of age for its implementation of the new INS tracking the campus community; co-programming with other system, SEVIS; the ISS program, given its student offices; and advocating for students’ interests. It pro- friendly approach and its accessibility, has become a vides celebratory events to recognize students’ achieve- model for other campuses nationally. ments while they are enrolled and reaches out to Multicultural Affairs alumni once students graduate. In AY2001–2002, there were approximately 50 visits per week by stu- Multicultural Affairs, , dents, faculty, and staff; 11,350 hits to the Web site; supports the university’s mission by advocating for approximately 10 peer education programs; 25 pro- equity and equal access. It provides programs and serv- grams open to the university community; Safe Space ices that promote a campus community which training programs for a variety of audiences; 347 items embraces multiculturalism, celebrates diversity, and checked out from the library of more than 1,100 fosters positive interaction among all students. sources; and more than 300 people on the office listserv. Specifically, it provides welcoming and nurturing opportunities for African, Asian, Hispanic-Latino, and Staffed by one full-time coordinator and nine stu- Native American students (together comprising dents, the center occupies newly renovated space that approximately 17 percent of the AU student body) and provides private office space, workspace, and lounge- engages them in the life of the campus and the commu- library space. It is in need of administrative support nity. Programs include STEP, an intensive summer pro- and a larger operating budget in the future. The coor- gram for multicultural students (approximately 35 a dinator evaluates center services through utilizations year); HI/SCIP, for D.C. high school students who statistics, program evaluations, participation rates at wish to take college courses; the Frederick Douglass events, and occasional surveys on pressing topics. Scholars program, which provides scholarships and Grievances are handled on a case-by-case basis, and academic support to high-achieving multicultural stu- students are referred to appropriate offices to resolve dents (approximately 30 per year); a mentoring pro- grievances that are violations of university policy. gram for newly enrolled students; and significant Disability Support Services cocurricular activity including theme months, such as Disability Support Services (DSS), , works with individuals who have per- Awards recognize students’ academic achievement and manent or temporary physical, medical, or psycholog- leadership in the university community. ical disabilities to promote their full participation in Multicultural Affairs tabulates office visits as one indi- academic programs and campus activities. The univer- cator of its utility to students; there were 2,882 visits sity’s values of equity, equal access, and fostering diver- in AY2001–2002, a 42 percent increase over the previ- sity are embodied in its work. It achieves its mission ous year. This increase was partially attributable to a through the provision of accommodations for stu- move into newly renovated space in a high-traffic area dents, staff, and faculty; training for all members of and to additions to staff. While the new location is cer- the university community; awareness programming;

80 Learning Resources and Campus Life and consultation and referral, where necessary. graduate orientation it once offered, New Student Approximately 100 individuals with disabilities are Programs has developed a Web site to provide basic served every year by this office, which is staffed by a information to graduate students and has assisted full-time director, a full-time administrative assistant, schools and colleges in developing their own orienta- and a part-time assistant. The office is located in newly tions for this population. renovated space in close proximity to the Counseling Evaluations are done at the conclusion of each orien- Center and the Academic Support Center, with which tation, and results are used to make adjustments in the it has highly collaborative relationships. future. Students and parents give orientation high DSS evaluates its services through an annual user sur- marks. Survey instruments have remained constant in vey and uses this information to adjust services accord- the past few years so that staff can monitor trends over ingly. A university-wide Disability Compliance Project time and adjust programs accordingly. While complaints Team monitors services to individuals with disabilities are rare, problems are handled by the director and her and provides suggestions to DSS, among other com- student staff, who are well trained in customer service. pliance responsibilities. The office also has a student advisory board. Students with grievances are referred Housing and Dining Programs to the university’s Section 504/ADA coordinator (a Much of the activity that occurs in the residence halls service provided by the director of Judicial Affairs and supports the university’s commitment “to the develop- Mediation Services), although many grievances are ment of thoughtful, responsible human beings in the handled informally as the director of the office works context of a challenging yet supportive academic com- with faculty, staff, and students to determine effective munity” (Statement of Common Purpose). and reasonable accommodations. Approximately 3,500 students are housed in 10 resi- CAMPUS LIFE dence halls. The halls provide an environment con- ducive to study, opportunities for faculty-student While all the programs and services described thus far interaction outside of the classroom, co-curricular pro- promote the engagement of students in campus life and gramming through resident assistant floor program- beyond, those that follow are particularly important in ming, and relationships with residential life staff that achieving this goal. From the time of orientation, stu- foster open communication and referral to appropriate dents are encouraged to seek out opportunities for lead- campus services when necessary. Dining programs ership development and community service, whether build community and offer students healthy choices as as undergraduates or graduate students. The campus well as a variety of food options tailored to AU’s and the community are rich with opportunities for diverse student body. Financial services, such as involvement and making a difference. AU students are EagleBuck$ (a one-card program), and a variety of known for both of these commitments. housing options, including apartment-style living, New Student Programs prepare students for responsible living after they graduate. Off-Campus Housing provides students with a New Student Programs, , supports the mission of the university tion about such topics as tenant-landlord relationships through introducing new students, particularly under- and the housing search process. Several special-interest graduates, to its values and traditions. Academic advis- housing options exist, including a community service ing and exposure to faculty in each of the schools and floor, honors floors, and a hall for students interested in colleges are key components of its programming. international-intercultural experiences. A pilot faculty- Families are included in these efforts through such in-residence experiment is currently under way in activities as parent orientation and Family Weekend, Anderson Hall. which typically registers about 1,200 participants. During the summer of 2002, 1,034 freshmen (approx- Residential Life and Housing Services became imately 80 percent of the class) and 950 parents went Housing and Dining Programs, , in June of 2002 when the Office of student orientation coordinators and leaders are the Student Services became the Office of Campus Life backbone of staffing for the program under the leader- (point 12 of the 15-point plan). This was not just a ship of a full-time director and a full-time program name change—this new entity represented the out- assistant. About 800 students participated in Welcome come of an assessment of how services were being pro- Week, a program of experiential learning and social vided to students in some fundamental areas (point 5). opportunities. This week also includes a brief orienta- There was a bifurcation in service delivery that was tion for freshmen who were unable to attend the sum- sometimes confusing to students and inefficient mer sessions, an orientation for transfer students, and administratively. A task force developed recommenda- a joint orientation with International Student Services tions that, once approved, resulted in Housing and to integrate international and domestic students from Dining Programs assuming responsibility for all stu- the outset of their college experience. In place of the dent housing; aspects of dining services, including

Learning Resources and Campus Life 81 marketing and contracting of student meal plans; Eagle campus newspaper and ATV television help stu- shared responsibility for management of the overall dents apply the skills they learn through the study of program; and management of the one-card program, communication. Undergraduate Student Confederation EagleBuck$, and laundry services. All these programs members learn campaign management and other and services are evaluated through voluntary customer political skills. Students are also represented on nearly feedback forms, an annual evaluation of the room every university-wide governance group, where they selection process, evaluation forms available at floor gain understanding of the functions of a complex events, and the Campus Climate Survey. These results organization. are used to improve services when necessary. For exam- Graduate students are represented among these pro- ple, the Campus Climate Survey has pinpointed cus- grams as well as undergraduates. The Graduate Student tomer service problems in some areas that are being Association became the Graduate Leadership Council addressed through intensive training. The executive (GLC) in spring 2003, a reorganization which gave director is available to help students solve grievances more resources to Graduate Councils in each of the and complaints. While some students believe that the schools and colleges while maintaining campus-wide process is cumbersome, there is a formal process for functions for the GLC itself. These functions include grieving provisions of contracts and leases. awarding grants for research projects, planning social University Center and Student Activities events, cosponsoring events with other organizations, and advocating for graduate student interests. Another key element in achieving point 12 and point 5 of the 15-point plan is developing the University The university has historically dedicated few general Center concept. The University Center, , like Housing and Dining Programs, has leadership development through Student Activities, “consolidated campus services designed to enhance relying on the student activities fees administered by campus life generally for students, faculty, and staff” the graduate and undergraduate student governments in order to provide “more effective and efficient services to address student interests and needs in these areas. As to students in particular.” The center has acquired all the university’s extracurricular program becomes more event scheduling on campus; it has developed a student- sophisticated and expectations increase for programs centered event service team; and it is leading a project that complement the curriculum, more resources are team dedicated to cross-functional, consensus decision needed to fund staff-initiated programs carried out in making. In AY2001–2002, 947 room requests in Mary collaboration with students. Graydon Center were filled, and more than 50 major The University Center concept is still evolving to events, such as those involving guest speakers or artists, include the three-building footprint of the Mary were staged. Graydon Center, Butler Pavilion, and Bender Arena. Student Activities, , While staff have been added to manage campus-wide contributes a good deal to the university’s mission as a scheduling, there is still a need to improve the funding values-based institution that fosters diversity. Student for event support since many events have set-up and activities fees are distributed through a student-run, technical needs that cannot be met efficiently. There is democratic process that serves as a crucible for stu- also not enough programming space on campus to dents debating both the politics and the merits of meet the high demand, thus necessitating the use of resource allocations to various initiatives. The range of classrooms and arenas for events that would more student organizations along multiple vectors—race or appropriately be housed elsewhere. Future renovations ethnicity, sexual orientation, politics, religion, social need to include this type of space. issues—is wide and participation is deep. In The University Center collects space use and space AY2001–2002, there were 122 recognized student needs data that guide policy and procedure decisions. organizations advised by Student Activities, and a van The Student Activities staff provide an annual profile service run by students made 969 trips in that year in of student fee distribution and use which informs stu- support of student projects and activities. Leadership dent leaders for the next round of budget allocations. programs and training opportunities help students All freshmen at the orientations during summer 2001 develop the skills they need to achieve the goals of their received a Student Expectations for Life on Campus organizations and help to prepare leaders for the future. Web survey, which has been used as the basis for pro- Many student organizations also help students to gain gramming decisions. practical experience in their field of study. The Greek Life Kennedy Political Union, one of the oldest and most respected student-run speakers bureaus in the country, In 2001, the Greek Life program, , was moved from Student Coretta Scott King; receptions with these individuals Activities to the Office of the Dean of Students to give allow for discussion and debate. Media such as the it more visibility and to further develop its link to

82 Learning Resources and Campus Life achieving the goals of the institution. The Greek com- depending on the program, receive academic credit. As munity fulfills traditional functions as a vital force in one of the few spaces on campus able to accommodate campus-wide programming and as a strong contribu- up to 250 people for an event, Kay hosts a large num- tor to school spirit, but it also engages in extensive ber of events that may not be directly related to its philanthropic activity that supports the university’s mission but play a significant role in achieving the uni- commitment to service. AU recognizes 10 fraternities versity’s educational objectives. In AY2001–2002, and 13 sororities with a total membership of about 1,505 events took place in Kay, including worship 800 students. There are no Greek houses, but some services, center-sponsored programs, academic and chapters have chapter rooms in the residence halls. A nonacademic events, and community events. new program, the Greek Achievement Plan, awards The Kay Center underwent renovation in 2002 to points for significant achievements. Another initiative improve the lighting and general appearance. However, is Greek 101, a mandatory orientation for all new its space is too limited for the scope of activities it cur- pledges. Increasingly, AU’s chapters receive awards at rently houses, and expansion is indicated when funding regional and national conferences. They are also recog- becomes available. While the center does not conduct nized at an awards ceremony each year for their con- formal assessment of its activities, the growth of its pro- tributions to the AU community. grams speaks to its strengths in meeting the spiritual In the past two years, two fraternities have lost univer- and programming needs of the campus. sity recognition because of disciplinary infractions and Community Service Center failure to manifest the values and standards of the AU community. The Interfraternity Council has been sup- The Community Service Center, , is the embodiment of AU’s com- to embody the positive characteristics of Greek life and mitment to “turn ideas into action and action into serv- distance itself from behaviors that compromise its mis- ice.” One of its most notable achievements is the sion. As Greek life is increasingly aligned with commu- Freshman Service Experience (FSE), a program for nity values, steps such as these should not be necessary. entering freshmen, which typically brings more than half of the freshman class to campus to engage in serv- Kay Spiritual Life Center ice before classes start. These students, along with a Inaugurated on October 4, 1965, Kay Spiritual Life cadre of upperclass leaders (often former FSE partici- Center, , is home to pants), go to more than 60 sites throughout the city to Catholic, Protestant (various denominations), Jewish, give service over the course of three days. The office Evangelical, Muslim, Baha’i, Unitarian Universalist, also offers DC Reads, in which more than 130 students Latter Day Saints, Buddhist, and Hindu faith tradi- a semester volunteer to tutor students in the D.C. pub- tions. This diversity and the vibrancy of spiritual life at lic schools in reading. The Volunteer Clearinghouse Kay are in keeping with the university’s commitment lists service activities at more than 500 organizations, to being a values-based institution and a community and there are service learning projects, coordinated that is welcoming and inclusive. Sometimes tensions with faculty members, that send students out to do erupt as the campus mirrors conflicts occurring course-related service which typically includes an aca- nationally and internationally. Kay Center staff work demic component. The director of the center also diligently in these times to keep the lines of communi- advises several student organizations that have service cation open and to foster dialogue and learning. as their primary mission. Each year, approximately 2,000 undergraduates (36 percent of the population) In addition to worship services, Kay offers programs to volunteer in some capacity through these activities. strengthen its commitment to instilling values such as human rights and dignity and social justice. The Great Located on the second floor of Mary Graydon Center in Advocate Series brings speakers to campus who are newly renovated space, the Community Service Center internationally known human rights defenders. The has two full-time professionals but is seriously lacking Campus Dialogue on Race, cosponsored with the administrative support it needs to deal with the com- Multicultural Affairs, brings together groups of complexity of programs it offers. There are plans to address munity members who, with a trained facilitator, this need in the coming budget cycle. The center also has process their own reactions to race. A recently estab- its own van to use for community service projects but lished endowment funds the Poynter Lecture each year grapples regularly with the transportation needs of its in which a noted speaker is brought to campus. Table volunteers and must rely on van services offered by the Talk roundtable discussions bring together practition- Student Confederation. In terms of assessment, FSE sat- ers and scholars to consider the moral dimension asso- isfaction surveys over the years have yielded consistently ciated with a variety of topical issues. International positive results. Student staff and participants in other alternative spring breaks to places such as Honduras, programs often provide informal feedback that is used to Cuba, and Mexico provide opportunities for students make program adjustments. Web activity is tracked to to immerse themselves in another culture and, determine the information that visitors find most useful.

Learning Resources and Campus Life 83 Department of Athletics and Recreation to the student-athlete. Another such tool is the Senior Student-Athlete Exit Questionnaire and Exit Interview, The Department of Athletics and Recreation, , is a Division I member of the National Collegiate Athletic Association (NCAA). There are 19 Another important component of the Department of intercollegiate varsity sports, including 10 women’s Athletics and Recreation is intramural sports and club teams and nine men’s teams. In AY2002–2003, 249 sports, which provide a variety of recreational activities student-athletes (137 women and 112 men) partici- for the university community and support AU’s com- pated in these teams. Formerly a member of the mitment to physical fitness (point 15). The depart- Colonial Athletic Association, the university became a ment has an intramural handbook as well as a link on member of the Patriot League in 2001. This change, the American University Web site to advertise and while somewhat controversial at the time, has proven solicit involvement and clearly outline policies, proce- to be very successful as it has aligned AU with institu- dures, eligibility rules, participation entry forms, and tions that are more comparable academically and ath- the code of conduct. Evaluations are solicited from letically (American University, Army, Bucknell participants to ensure that services provided are exem- University, Colgate University, Holy Cross College, plary and that as many students’ interests are being Lafayette College, Lehigh University, and Navy). As an addressed as facilities will allow. The goal is to con- institution that historically has placed a high value on tinue to grow intramurals and to increase sports offer- integrity, principles, and fairness, the university’s ings in order to increase participation rates. During objectives for its athletics program reflect those ideals. the fall 2002 semester, four sports were offered: flag The department also feels strongly that integration football, singles tennis, outdoor soccer, and a holiday into the university community is an extremely impor- basketball tournament, with a total of 1,225 partici- tant component of its mission. pants in all activities. The department offers academic support, including The Department of Athletics and Recreation also offers individual academic counseling, guided study for an extensive club sports program. Originally housed in selected students, individual tutoring, early registra- the Office of Campus Life in Student Activities, club tion, faculty advisors, and a freshman orientation pro- sports moved in 2002 with the understanding that stu- gram called TALONS (Thinking and Learning dents would be better served with a direct connection Opportunities for New Student-Athletes). This is a to the athletics department, the more appropriate place mandatory workshop series covering such topics as for the program. There are currently 250 students who campus resources, nutrition and eating disorders, jug- are involved in the club sports. There are 14 teams gling the rigors of academics and athletics, and time including ballroom dance, fencing, field hockey, men’s management. The program staff (a staff member from and women’s ice hockey, roller hockey, crew, men’s and the Academic Support Center and a graduate student) women’s rugby, sailing, softball, men’s and women’s work closely with many offices in the university. The Ultimate Frisbee, and cycling. Depending upon stu- approach works and the results are reflected in a stellar dent interest, the roster of teams as well as the number record of academic and athletic achievement. Average of participants could grow. GPAs are typically above 3.0, and AU’s student-athletes NCAA requires all colleges and universities with often win league and NCAA awards for their academic Division I athletics programs to undergo an extensive prowess. In AY2002–2003, three student-athletes self-study and certification process. American earned the Patriot League Scholar-Athlete of the Year University conducted its first self-study in 1995–1996, award, three were National Academic All-Americans, with certification received in 1996. Its second self- and one was selected as the Patriot League’s National study occurred in AY2002–2003. It included respond- Academic Player of the Year, a first-ever achievement. ing to the NCAA and institutional recommendations To facilitate communication between the department from the last self-study as well as engaging in a current and the student-athlete, a student handbook is given evaluation of the program in four areas—governance to each student-athlete during the first week of classes. and commitment to rules compliance; academic This handbook clearly outlines NCAA eligibility integrity; fiscal integrity; and equity, welfare, and guidelines, Patriot League policy and guidelines, and sportsmanship. This self-study culminated in a peer numerous other departmental policies and procedures review team visit in February 2003. At the conclusion relative to student-athlete responsibilities. The depart- of the visit by the peer review team (February 23–26, ment has a Student-Athlete Advisory Board composed 2003), the chair provided a positive verbal report to of one student-athlete from each team. This group the president, which was followed by the team’s writ- meets monthly and discusses issues related to team ten report and evaluation in March. Both assessments involvement in the university, competitions, academ- suggested that AU is substantially in conformity with ics, community service initiatives, and services that are NCAA operating principles and is fulfilling its athlet- provided by the department. The department uses the ics mission in the four areas. In addition, all required advisory group to help evaluate the services provided actions from the previous self-study (1996) have been

84 Learning Resources and Campus Life completed. As part of the process, the NCAA plan for officers for the next year. Subsequent surveys requested minor clarifications for a small number of indicated improved satisfaction in this area. In addi- items, to which the university responded in April. All tion, officers who are liaisons to the residence halls fre- materials have now been forwarded to the NCAA quently field and resolve student complaints. The Committee on Athletics Certification, and we await director investigates student grievances not resolved the final notification from that committee regarding through informal means. AU’s certification. OTHER CAMPUS SERVICES Public Safety In addition to the services provided by AU, the cam- Public Safety, , sup- pus includes a number of shops and restaurants run by ports the university’s commitment to being a “student- outside venders. These services include: Chevy Chase centered” university. Living in a safe environment is Bank, Eagle’s Nest (a convenience store that includes a fundamental to students’ ability to pursue their aca- Subway sandwich shop), the UPS Store, Hair City, demic and cocurricular activities. Public Safety offers STA Travel, Megabytes (a fast food restaurant and ice numerous services to create this environment. Police cream shop), Wagshal’s American Café, and McDonalds. services include 33 uniformed officers with The Campus Store, where students go to buy textbooks Metropolitan D.C. police, special police, or guard and school supplies, is also run by an outside vender. licensing and specialized in-service training. Working The store offers a wide variety of gift, specialty items and with a community policing model as their framework, AU apparel to the university community. These services they conduct patrols, respond to calls for emergencies are overseen by Auxiliary Services. The office assesses and public service duties, assist victims, prepare student satisfaction with the services and seeks student reports, distribute a daily crime log as well as crime input when space opens for new venders. alerts and reports, and serve as liaison with local, state, ASSESSMENT OF LEARNING RESOURCES and federal law enforcement agencies. Over the last AND CAMPUS LIFE five years, Public Safety has received three Department of Justice COPS grants, which added 15 additional Organizational Assessment officers and community service technician positions to One of the hallmarks of the university’s approach to the unit. service delivery in the past five years has been its efforts Public Safety is also responsible for alarm and video to streamline, coordinate, and consolidate services to camera systems, emergency systems and emergency provide a more seamless experience for students and response, ID card services (more than 10,000 ID cards greater administrative efficiency. The importance of a year), and publications such as the Annual Security these efforts is highlighted in point 5 of the 15-point Report and an emergency procedure guide. plan (“we will . . . increase operational efficiency”). Transportation services (1.3 million passenger trips a Some of the gains in this area have come about year) include 11 transit buses that operate four shuttle through the formation of university-wide project routes serving university facilities on and off campus. teams that cut across divisional lines to address shared Parking enforcement for the campus and neighbor- functional areas. For example, the University hood includes permit management (2,350 parking Orientation Project Team, cochaired by a staff mem- spaces and 2,100 parking permits) and parking ticket ber from the Office of Campus Life and one from the adjudication. Educational activities include a rape Office of the Provost, has membership from all divi- aggression defense program, CPR and first aid training, sions in the university and has made great strides in and other crime prevention programs on topics such as coordinating all aspects of orientation programming. safety in the city, drug awareness, and date violence. The Administrative Operations Project Team, again with membership from all divisions, meets regularly to Service improvements are often arrived at through the share information about projects, such as renovations benefits of membership in the International Associa- and major events that may affect campus life and tion of Campus Law Enforcement Administrators, require adjustments in programming for students. The where industry standards and best practices are dis- Learning Resources Project Team brought together seminated and technical assistance is available. The staff and faculty responsible for academic support serv- office has a close working relationship with the Public ices; its work led to a Web site where students can Safety Director’s group among consortium universities access information in one place. A by-product of these through which mutual concerns and solutions can be efforts has been the formation of closer working rela- shared. Public Safety also sends a satisfaction survey to tionships across divisions that help solve problems each customer contacted by the patrol unit officers. more quickly and efficiently when they arise. These surveys determine areas for improvement. For example, response time to calls was identified as a con- Some of these efforts have been more structural in cern during one reporting year. Improving response nature. For example, point 12 of the 15-point plan time was then included in a performance management calls for the formation of the Office of Campus Life,

Learning Resources and Campus Life 85 to “provide more effective and efficient services to stu- in meeting the changing needs of students, using tech- dents in particular.” This goal was achieved in June nology and information formats; continuing to pro- 2002 when the Office of Student Services became the vide outstanding service at a high level of productivity; Office of Campus Life. A prior reorganization in and developing ways to assess effectiveness and service. AY1997–1998 had already consolidated services to A traditional hierarchical organization was flattened, best meet the needs of students as traditionally defined former departments were trained to operate as func- in a student affairs division. That reorganization, with tion teams, and cross-function teams became a mech- minor modifications in the five years since, produced anism for addressing ongoing activities and short-term the student learning and development cluster (com- projects that cut across function lines. All full-time posed of the Counseling Center, the Academic library employees participated in training to develop Support Center, the Student Health Center, Disability skills for effective team operation and for facilitating Support Services, New Student Programs, Judicial more efficient meetings. Affairs and Mediation Services, and the Community Decentralization of some functions has improved Service Center) and the intercultural cluster (com- operational efficiencies. For example, during the posed of International Student Services, Multicultural 1990s, technology for learning was the purview of Affairs, the GLBTA Resource Center, University Academic Computing, an administrative unit of the Center, Student Activities, and the Kay Spiritual Life Computing Center (later named the Office of Center). The student learning and development clus- Information Technology); the library; the Center for ter reports to an assistant vice president and dean of Teaching Excellence; and the college and schools. In students, and the intercultural cluster reports to an 2000 e-academics became the responsibility of the assistant vice president, with Housing and Dining provost. Two years later in June 2000, e-academics was Programs reporting directly to the vice president. This dissolved and technology responsibility was decentral- streamlined reporting structure, the commonalities ized even further. At that time, the Center for Teaching among the missions of the units in each of the clusters, Excellence, the library, and the college and schools and the coordination of services across the division became responsible for various components of infor- laid the foundation for the formation of the Office of mation delivery and training in the use of technology. Campus Life. This context of ongoing evaluation and improvement of This reorganization came after a year of discussion the framework within which services are provided to stu- among staff who were charged with looking for addi- dents manifests the university’s commitment to being a tional ways to streamline services for students and student-centered university. From the student perspec- group services that were functionally related. tive, categories of services are somewhat artificial; for Significant changes included the formation of them, the more transparent the “framework” the better. Housing and Dining Programs (formerly Residential However, the broad categories of academic support serv- Life and Housing Services), which assumed responsi- ices, student support services, and student life capture bility for all student housing; aspects of dining serv- the themes of student services on this campus. ices, including marketing and contracting of student meal plans and shared responsibility for management Tools of Assessment of the overall program; and the management of the While tools of assessment vary across units, there are one-card program, EagleBuck$, and laundry services. some commonalities. Many programs use point-of- The Office of the Dean of Students assumed responsi- service surveys to determine student satisfaction. bility for programming for parents of students. The Results of these surveys are often combined with the University Center now handles event scheduling, and results of campus-wide surveys which can provide a new University Center project team was formed to benchmark data and assess trends over time. One such provide advice and guidance on matters related to the survey is the Campus Climate Survey referenced use and development of the three-building footprint throughout this chapter. While it does not assess all that makes up the University Center (Mary Graydon services, some key services, such as financial aid and Center, Butler Pavilion, and Bender Arena). New areas public safety, are represented. Other, more global, sur- of collaboration were identified between the Office of veys, such as the graduation census, and data such as Campus Life and Public Safety. Further changes to the retention rates complement the assessments of specific office are anticipated over time as the needs of the services. National surveys, such as the freshman census campus evolve. and the National Survey of Student Engagement (NSSE), allow the university to benchmark itself Reorganizations to improve the quality of service to against other institutions on a number of important students and increase efficiency have occurred in other institutional characteristics. areas of the university as well. For example, in 1999 staff and faculty in the university library began a tran- Assessment information helps to shape divisional pri- sition to a team environment. The goals of the reor- orities related to service provision and program devel- ganization included enabling the library to be flexible opment. For example, the Office of Campus Life uses

86 Learning Resources and Campus Life freshman census data to understand the characteristics Accounts office during times of peak demand. of entering students and their developmental and pro- Technological advances have made on-line informa- grammatic needs. Campus Climate Survey data have tion more readily available so that staffs in all of these led to new customer service initiatives in offices such offices can respond to students’ questions without as Housing and Dining Programs and have substanti- referral to another office. ated the need for revamping health services. While The university has also trained selected staff from university benchmarks on the NSSE have exceeded offices across campus in process improvement. The national benchmarks in most categories, a below-average president has appointed a university project team, led score in the “supportive campus environment” category by the acting vice president of enrollment services, to in the first year of the survey led to redoubled efforts study the processes that cut across these offices as well not just in the Office of Campus Life but all across as academic advising. After study and analysis, the campus. The result was an improved score in the sec- team will make recommendations to further enhance ond survey administration. The graduation census services in these areas. does not ask about campus services specifically; however, the Office of Campus Life staff monitors Efforts such as these have become more common univer- responses carefully to assess students’ more global levels sity wide. As students expect a seamless experience in of satisfaction with the AU experience. In addition to terms of service delivery, boundaries between offices have shaping divisional priorities, all of these data are broken down in an effort to meet those expectations. reported to the Campus Life Committee of the Board While some of the solutions are technological in nature, of Trustees to assist them in making policy decisions many require a highly “networked” environment among and setting priorities. service providers themselves. American University has made great progress in creating such an environment. The library provides another example of using tools of assessment to improve service. Because of the mixed RECOMMENDATIONS reviews that students have given the library historically, As the 15-point plan states, there are three integrated library faculty and staff undertook a systematic assess- priorities for AU if it is to fulfill its mission as a dis- ment of collections and of user satisfaction. The library tinctive national and international university: the chose the nationally recognized WLN Conspectus soft- quality of academic inquiry, the quality of student ware and launched the Collection Assessment Project experience, and the quality of extensive engagement in in1998 to assess the adequacy of information resources Washington and global affairs. Learning resources and (i.e., books, journals, electronic resources, videos, and student life play a critical role in achieving these prior- sound recordings) as measured against the academic ities. While considerable progress has been made in curriculum. The results of the assessment, compiled in developing these areas, further improvement is neces- 2001, now guide the selection of materials and expen- sary to provide the high-quality, student-centered ditures of the materials budget. To measure user satis- learning experience that the plan outlines. These rec- faction, the library named an assessment team in 1999 ommendations support the achievement of this goal: which undertook the following projects: • Continue to invest significant financial resources in • LibQUAL+: administered this Web-based survey improving the library. Expand the print collection during its national pilot phase in spring 2001 and and add electronic databases, thereby increasing sup- again in spring 2003 port for the core undergraduate curriculum and the •Campus Climate Survey: analyzed the Campus research agendas of the newly defined graduate pro- Climate Survey responses across a five-year spectrum, grams. Update and expand library facilities and col- 1998–2002 lections. Begin fund raising to expand library space. •Focus groups: hosted three focus groups of under- •Address the space and facilities issues that confine graduate students, fall 2002 programmatic development and undermine a high- quality experience for students. Examples include Assessment: A Shared Responsibility improvements to the Kay Spiritual Life Center, Some assessment and concomitant service improve- which is home to many programs that complement ment issues cut across divisional lines. For example, the classroom experience; the University Center, the interface among the Office of the Registrar, which lacks space to support the large communal Financial Aid, and Student Accounts is an important gatherings important to strengthening student’s one for students. Historically, however, students have engagement with campus life; and the Student expressed dissatisfaction with these relationships. Health Center. To improve service delivery among these offices, sev- While space on campus is finite and resources and cre- eral initiatives have been undertaken. Financial Aid ativity are required to maximize what is available, there staff are now cross-trained with Student Accounts are notable examples in renovations to date of the differ- staff, and some of them relocate to the Student ence these projects can make in the student experience.

Learning Resources and Campus Life 87 The renovation of the first and second floors of Mary Graydon Center is one such example. Giving high priority to projects such as these in terms of fund raising and the renovation and construction schedule will advance the 15-point plan significantly. Supporting Documents 6.1 Information Literacy at American University: Recommended Learning Outcomes 6.2 Information Literacy: A Proposal 6.3 Report on the LibQUAL+ and Campus Climate Surveys, Library Assessment Team, May 1, 2002 6.4 Bender Library Web site, www.american.edu/library 6.5 Office of Campus Life Web site, www.american.edu/ocl 6.6 Student Handbook, www.american.edu/handbook 6.7 2002 Campus Climate Survey

88 Learning Resources and Campus Life

UNDERGRADUATE EDUCATION CHAPTER7 UNDERGRADUATE EDUCATION

STUDENT PROFILE Our undergraduate students pursue activist careers and engage deeply and energetically in social and political Who Are American University’s issues. One of 10 respondents seek legal careers, com- Undergraduate Students? pared to less than one in 14 at other private universi- merican University’s 6,283 undergraduate students ties. Nearly one in seven students anticipate careers in A(see Supporting Document 7.1) comprise a com- foreign service and more than 1 in 10 consider govern- munity notable for its commitment to learning, ment service or policy making as a career objective (see inquiry, and service in the broadest terms. AU’s loca- Supporting Document 7.2). Similarly significant indi- tion in the national capital looms large in attracting cators come from the National Survey of Student students to the university and, once matriculated, to Engagement (NSSE). A historical comparison of those the particular courses of study they pursue. According data indicates that American continues to evolve, in to the 2002 CIRP freshman census, nearly 56 percent President Ladner’s words, as a “private university with a of AU’s first-year students report that American public responsibility.” University was their first choice of college and more Our student retention rate is also high. Students enter- than 79 percent say that its location in Washington, ing as freshmen from 1994 to 1997 were, on average, D.C., was a very important reason in their selection. 85 percent certain of remaining after a year and more Location-related educational opportunities, both in than 70 percent certain of remaining until graduation. and out of Washington, D.C., are an important factor These figures vary little by race and ethnicity. for students, since approximately 70 percent of Incoming Student Qualifications respondents cite the opportunity to intern in Washington, D.C., as very important and 59 percent American University has become an increasingly selec- identify study abroad as a very important reason for tive university, based upon lower admissions rates and choosing AU. Forty-two percent of AU freshman cen- rising high school GPAs. Entering SAT scores have sus respondents plan to major in the social sciences, remained near the 1200 composite mark (allowing for compared to 13 percent at the other 716 private uni- the re-centering of SAT scores in fall 1996), reaching versities participating. Likewise, almost 13 percent of 1226 in 2003. Significantly, AU’s average SAT profile students list communication and journalism as proba- has been from 19 to 26 percent higher than the ble majors, compared to only 5 percent of students at national average. the other private universities (see Supporting Document More importantly, as Figure 7.1 illustrates, incoming 7.2). These indicators imply that the public sector is a high school GPAs, after some flattening out, show a major interest of incoming students. recent significant upward trend. In fall 2003, nearly 80 Evidence of the cosmopolitan nature of AU students percent of incoming students presented GPAs in abounds. Roughly 12 percent of students overall and excess of 3.00, as compared to only 68 percent in 9 percent of degree-seeking undergraduates are interna- 1995. The number of entering students in the top 20 tional students from 146 countries. Almost 18 percent percent of their high school class has remained stable. of degree-seeking undergraduates and 22 percent of Admissions Rates and Selectivity students overall are a U.S. minority, and 61 percent are women (see Supporting Document 7.1). In fact, AU Admissions rates also reflect increasing selectivity. In the historically has been a leader in the education of young past decade, the admissions rate has dropped 17 per- women. (AU has traditionally appointed significant centage points while the applicant pool has grown and, numbers of women faculty members as well). with it, the quality of admitted students. This statistic

Figure 7.1—Admitted and Enrolled SAT and GPA Data 1994* 1995* 1996 1997 1998 1999 2000 2001 2002 2003 Admit Enroll A E A E A E A E A E A E A E A E A E SAT 1220 1220 1210 1200 1200 1182 1205 1183 1211 1191 1208 1186 1209 1194 1223 1210 1229 1214 1242 1226 (mean) GPA 3.21 3.18 3.23 3.22 3.22 3.17 3.23 3.16 3.23 3.18 3.27 3.19 3.28 3.21 3.30 3.23 3.36 3.32 3.39 3.40 (mean) A=admitted, E=enrolled Source: Table 21, Academic Data Reference Books *The College Entrance Examination Board recentered its calculation of Scholastic Aptitude Test scores in fall 1995. Data for 1994 in this table have been adjusted to the recentering per www.collegeboard.com/research/html/rs05.pdf, tables 1 and 2.

Undergraduate Education 89 speaks well of the recruitment work of the undergrad- •Syracuse University, New York University, Boston uate admissions staff and the growing attractiveness of College, and the University of Maryland are consis- AU to the more able students. (See Figure 7.2) tently in competition with AU and tend to be chosen in roughly equal numbers. Freshman Service Experience •Honors students consistently include Georgetown Few things typify entering AU students better than the University in the same pool as American University enthusiasm with which incoming freshmen have and tend to choose AU. embraced the Freshman Service Experience (FSE). Since 1991, FSE has asked students to begin their life OVERVIEW OF UNDERGRADUATE at the university through a service project. On average, EDUCATION 600 entering freshmen participate in FSE, working to Five of AU’s six schools and colleges offer undergradu- turn “ideas into action and action into service” (see ate degrees: the College of Arts and Sciences, the School Supporting Document 7.4). of International Service, the School of Public Affairs, FSE lasts four days and focuses on community service, the Kogod School of Business, and the School of leadership development, building community among Communication. Only the Washington College of Law freshmen, and orientation to the university and does not teach undergraduates. Not counting associate Washington. Student-led volunteer groups work at degrees and certificates, the university supports 56 more than 60 nonprofit sites throughout the city and undergraduate major degree programs and 47 minors. participants meet with faculty, alumni, deans, commu- Educational Offerings as Congruent with Mission nity leaders, and policy makers to discuss how their community work relates to academic issues. AU’s primary goal for the next century is to build a distinctive, global university identified by its extraordinary Competitor Schools connections to Washington, D.C., and marked by the Another indicator of AU student quality comes from highest levels of academic excellence and creativity. The statistics concerning the institutions that undergradu- university’s 1994 Statement of Common Purpose asserted that “the place of American University among ate students choose to attend if they do not enroll at major universities with first-rate faculties and academic AU. Figure 7.3 lists these institutions for the past 10 programs grounded in the arts and sciences is secured years, but several trends are obvious: by its enduring commitment to uncompromising qual- •Among all applicants, George Washington ity in the education of its students. But its distinctive University and Boston University are the two insti- feature, unique in higher education, is its capacity as a tutions most selected over American University. national and international university to turn ideas into

Figure 7.2—Full-time Undergraduate Admissions Rates 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 Applied 4,829 5,652 5,707 5,883 6,542 7,790 8,454 10,355 9,883 10,254 Admitted 3,724 4,385 4,484 4,673 4,936 5,619 6,061 7,056 6,265 6,131 Admit % 77% 77.6% 78.6% 79.4% 75.5% 72.1% 71.7% 68.1% 63.4% 59.8% Enrolled 1,003 1,274 1,171 1,171 1,280 1,204 1,300 1,419 1,312 1,237 Source: Academic Data Reference Books

Figure 7.3—Freshman Competitor Data

1994 1995 1996 1997 1998 1999 2000 2001 2002 1George George George George N/A George George George George Washington Washington Washington Washington Washington Washington Washington Washington University University University University University University University University 2 Boston Boston Boston Boston N/A Boston Boston Boston Boston University University University University University University University University 3Syracuse New York Georgetown Syracuse N/A University of Syracuse Syracuse New York University University University University Maryland University University University College Park 4University of Syracuse Syracuse Boston N/A New York New York New York Syracuse Maryland University University College University University University University College Park 5 Boston Georgetown New York New York N/A Syracuse University of Georgetown University of College University University University University Maryland University Maryland College College Park Park

90 Undergraduate Education Figure 7.4—Undergraduate Majors Undergraduate Majors:

American Studies (BA) International Studies (BA) Anthropology (BA) Jewish Studies (BA) Art History (BA) Justice (BA) Audio Production (BA) Language and Area Studies: Audio Technology (BS) French/Europe (BA) Biochemistry (BS) German/Europe (BA) Biology (BS) Russian/Area Studies (BA) Business Administration (BS, BA) Spanish/Latin America (BA) Chemistry (BS) Law and Society (BA) Communication: Journalism (BA) Liberal Studies (BA) Communication: Public Communication (BA) Literature (BA) Communication: Visual Media (BA) Marine Science (BS) Communication Studies (BA) Mathematics (BS) Computer Information Systems (BS) Mathematics, Applied (BS) Computer Science (BS) Multimedia Design and Development (BS) Economics (BA, BS) Music (BA) Elementary Education (BA) Performing Arts: Music Theatre (BA) Environmental Science (BA) Performing Arts: Theatre (BA) Fine Arts (BFA) Philosophy (BA) Foreign Language and Communication Media Physics (BS) (BA) Political Science (BA) French Studies (BA) Psychology (BA) German Studies (BA) Russian Studies (BA) Graphic Design (BA) Secondary Education (second major only) Health Promotion (BS) Sociology (BA) History (BA) Spanish Studies (BA) Interdisciplinary Studies (BA, BS) Statistics (BS) Interdisciplinary Studies: Communication, Legal Studio Art (BA) Institutions, Economics, and Government (BA) Women’s and Gender Studies (BA) action and action into service by emphasizing the arts to 72 credit hours, some of the difference resulting from and sciences, then connecting them to the issues of specific undergraduate program accreditations. contemporary public affairs writ large, notably in the Classroom teaching takes advantage of the location areas of government, communication, business, law, and character of the university as well as the interactiv- and international service.” ity of the classroom. Despite faculty commitment to a The range of undergraduate programs encompasses wide range of duties and programs and the desire to comprehensive study in the arts, the humanities, busi- use fewer adjuncts in the classroom, average under- ness, communication, international studies, the social graduate class sizes remain low enough to foster inter- sciences, and the natural sciences. Each major has suf- activity and community. From 1996 to 2001, ficient content and breadth to allow students to spe- undergraduate average class size hovered around the cialize in a field of study as well as to obtain a breadth 24-student mark (see Supporting Document 7.14). of liberal education. The General Education require- Although the General Education program has seen ments and elective courses assure that range of experi- some increase in average class size, the undergraduate ence. Almost all major programs require a minimum program as a whole has not. This static average class- course grade of C or better. size number seems benign, but actually is related to several larger issues. The university requires 120 credits for its undergraduate degrees, typically taken in four years. For the entering The use of adjunct professors has been a major issue. class of 1997, the four-year graduation rate was 64.8% President Ladner, in his Ideas into Action, Action into and the six-year graduation rate was 71.6%. Credit-hour Service, specifies in point 8 that “the number of requirements in the different major areas range from 36 adjunct faculty will be reduced sharply, with no more Undergraduate Education 91 Figure 7.5—Undergraduate Major Program Changes 1994–2002 Program Action Effective Date College of Arts and Sciences: BA in Music and Technology Terminated Fall 1994 Secondary Education New (second major only) Fall 1995 BA in Women’s and Gender Studies New Fall 1995 Bachelor of Music Terminated Fall 1995 BA in Literature: Cinema Studies Terminated Fall 1995 BA in Religion Terminated Fall 1995 BS in Health Promotion New Fall 1997 BA in Arts and Cultural Management New Fall 1998 BS in Biochemistry New Fall 2000 BA in Audio Production New Fall 2002 BA in Arts and Cultural Management Terminated Fall 2002 BA in Economic Theory Terminated Fall 2003 BS in Economics New Fall 2003 BA in Marine Science New Fall 2003 Kogod School of Business: BS in Accountancy New Fall 1995 BS in Accountancy Terminated Fall 2002 School of Communication: BA in Communication Studies New Fall 2002 College of Arts and Sciences and School of Communication (joint): BS in Multimedia Design and Development New Fall 1999

than 10 percent of undergraduate courses taught by committed to smaller enrollment and will add 17 new adjuncts.” This call mirrors an ongoing concern about faculty over the next two years. Maintaining a stable using adjuncts in the General Education Program, where average class size could bring two curricular shifts: the rate has been limited since the inception of the pro- • some class sections would absorb additional students gram to 30 percent. The actual data for fall 2003 dis- (as in the case of several new large General Education closes a 20.2 percent adjunct utilization rate in General sections in economics, politics, and communication) Education, a number surpassing the program’s target. • other sections would decrease in number, presum- Reducing the rates at which adjuncts are used without ably upper-level major courses, graduate courses, an increase in full-time teachers would result in fewer and honors courses (honors sections increased by 20 course sections unless enrollment falls or average from 1999 to 2002, in part driven by the strategic teaching load increases. The university, however, is plan’s mandate for growth).

Figure 7.6—Undergraduate Programs with Individual Professional Accreditation Program or School Accrediting Body Department of Chemistry, College of Arts American Chemical Society and Sciences School of Communication Accrediting Council on Education in Journalism and Mass Communication School of Education, College of Arts National Council for Accreditation of and Sciences Teacher Education and National Association of State Directors of Teacher Education and Certification Kogod School of Business Association to Advance Collegiate Schools of Business Music Program, College of Arts and Sciences National Association of Schools of Music

92 Undergraduate Education Coherent Learning Experience and academic integrity that they deem unintentional, may Synthesis of Learning discuss these informally with the student. Curricular coherency at AU denotes more than con- If academic integrity infractions are found to be inten- nections of knowledge and learning between courses tional, college deans’ offices must adjudicate them. in a given discipline or even across disciplines. Sanctions may range from resubmission or lowered Coherency as a curricular concept requires that all grades on the work in question, to failures in the courses of instruction, no matter their form of inquiry course, to notations on the student’s permanent or discipline, take into account, thoughtfully and record, to dismissal from the university. Cases may also deliberately, fundamental assumptions, principles, and be brought to code conduct panels and some sanctions purposes endemic to AU. (those involving notations on the student’s permanent record) may be appealed to the Provost. The General Education Program assures coherent learning through the values common to its courses overall as Cases of academic integrity violations and numbers of well as through specific objectives within its five curric- sanctions imposed have risen over the past years, with ular areas. Secondly, all students are required to com- a near doubling of both charges and sanctions within plete college writing and mathematics requirements, a the past three years. Between AY 1999–2000 and nine-credit or equivalent experience contributing to 2002–2003, charges brought by faculty, students, or coherent learning at the outset. Increasingly, academic staff increased from 55 to 95. In the same period, sanc- units have begun adopting gateway courses as a tool for tions imposed increased from 45 to 72. A large per- coherency. The Kogod School of Business instituted a centage of these cases involve plagiarism with an required course titled Business 1.0, in which majors are increasing number specifically involving the Internet. given a broad overview of the business profession as well Evidence also suggests that good practices of academic as Kogod’s mission and approach to training students. integrity are deliberately learned, or at least gained The School of Public Affairs offers a Leadership through experience. The largest number of charges in AY Training Program, for which students apply for accept- 2002–2003 were brought against freshmen, the smallest, ance. The School of International Service offers a graduate students. About 75 percent of the penalties in required Leadership Gateway for its majors. The School AY 2002–2003 resulted in a failing grade for the course. of Communication’s popular gateway course, Understanding Mass Media, offers a comprehensive As a result of these statistical observations and toward overview of the history, values, practice, and future of the ends of academic betterment, the Office of the print, broadcast, and film media. The school’s Writing Provost has begun a specific campaign to bring aca- for Mass Communication requires extensive work in demic integrity issues before the community. It main- basic writing techniques. tains an academic integrity Web site focusing not only on process, but also on developing academic excellence. A University College, currently under design, will fur- (www.american.edu/academics/integrity>). Other uni- ther the synthesis not only of learning, but living and versity offices contribute significantly to the effort to learning. The University College will focus on the first improve the culture of academic integrity. two years of the student experience and develop common university themes and priorities that will be The General Education Program publishes the aca- reflected in service, action, research, and documentation. demic integrity code booklet and collects the annual statistics on charges and sanctions. The program has Academic Integrity added information literacy as a learning objective, and At the heart of scholarship is integrity. American the nascent University College also expects to feature it University takes ethical standards as applied to learn- as a focus of its first-year seminars. Professors are ing, teaching, research, and writing very seriously and expected to make statements about academic integrity expects both faculty and students to respect the in course syllabi (indeed, this is a required element in responsibilities of scholarly life and conduct their General Education syllabi), engage in conversation activities accordingly. about elements of academic integrity such as citation, plagiarism, inappropriate collaboration, and copyright AU has developed an Academic Integrity Code and, law, and otherwise promote the awareness and skills upon their arrival at the university, disseminates this needed to promote a healthy, honest, academic culture. code to all of its students. The code specifies expectations of academic conduct, explains the specific nature ENROLLMENT MANAGEMENT AND of various behaviors, and outlines specific procedures FINANCIAL AID for handling any charges brought to light concerning Policies and Procedures violations of the code. Any member of the university community—students, staff, or faculty—may bring In support of the university’s mission, the Admissions charges to the appropriate dean’s office through the office seeks students who are academically distinctive faculty member. Faculty who discover violations of and intensely engaged and who add to the diversity Undergraduate Education 93 Examples of Internship that contributes to AU’s global mission. Toward that • middle 50 percent SAT scores of students in the Sites for American end, Admissions takes a holistic approach in its freshman class University Students: review of applicants. This means that the definitions of • percentage of students admitted with a GPA of 3.0 Internships offer experiences academically distinctive and intensely engaged reveal or higher ranging from Washington- themselves in more than numbers. There is no single area museums and galleries formula for admission. The evaluation process empha- • percentage of international and domestic multicul- to the John F. Kennedy sizes a variety of indicators to assess a student’s “fit” at tural students. Center for the Performing the university. Indicators include: Arts, the World Bank, the In addition to these printed materials, members of the National Institutes of Health, •review of the candidate’s transcript, GPA, and SAT Admissions staff, in the course of conducting group the Brookings Institution, the scores information sessions or personal interviews, provide U.S. Department of State, the prospective students, their families, and guidance • the strength of a student’s high school curriculum White House, scores of counselors with profiles of the freshman and transfer Congressional offices, and and seriousness of purpose populations and address questions related to the embassies. School of • contribution to the school and community as evi- Communication students admission evaluation process. University Marketing, intern at a variety of major denced by involvement in extracurricular activities Admissions, and other Enrollment Services staff, along news operations, including • personal qualities as described in the applicant’s with others across campus as appropriate, review ABC News, Bloomberg essay or personal statement and by letters of printed admissions materials annually. The News, CNN, C-Span, recommendation. Admissions office updates its Web site as needed. Dateline NBC, Discovery Communications, Fox News AU values diversity within its campus community and Advanced Placement Channel, the Montgomery strives to ensure a class that is diverse in all aspects. We Undergraduates may gain up to 30 credit hours from (Md.) Journal, National believe that all members of the AU community benefit one or a combination of Advanced Placement (AP), Public Radio, the when different voices are heard and different perspec- Washington Business International Baccalaureate, and College Level tives are expressed. Diversity enhances academic dis- Journal, the Washington Examination Program (CLEP) subject examinations. bureau of Tokyo-based course and improves mutual understanding. To The appropriate teaching unit recommends the Yomiuri Shimbun, WAMU- maintain our profile as a diverse and global university, advanced standing or course waiver based on these 88.5FM, WETA public additional admission factors are considered. While these credits. Each unit reviews the status of these exams and television, WJLA Channel 7, have no specific numeric or quantitative value, they are makes recommendations for acceptance of credit WTTG Channel 5, and WRC important as indicators that a student would enhance as hours through the council or educational policy com- Channel 4. well as value the AU experience. These factors include: mittee within that unit’s school or college. While the • status as a first-generation college student structure of each curriculum oversight group varies from school to school, each one includes faculty and • geographic representation student representation and has oversight of curricular • racial or ethnic background changes that include the monitoring of these acceler- ated programs. For example, when the AP exam for • circumstances a student has overcome that would statistics became available, the Department of predict his or her ability to succeed. Mathematics and Statistics reviewed the exam, set a In the past few years, AU has encouraged applicants standard for AP credit, and then recommended its to have a personal interview with Admissions staff incorporation into the existing set of exams to the members. The number who do so have increased dra- College of Arts and Sciences Educational Policy matically, with obvious benefits both to the student Committee. and the university. Financial Aid The University Catalog, the undergraduate application Admissions application materials (a viewbook and a (included in the Admissions viewbook), and the booklet titled Investing in Your Future) include detailed Admissions Web site outline admission requirements, financial aid information, application forms, and including course distribution and standardized testing important dates, deadlines, and procedures. Students requirements for prospective freshmen. Prospective typically learn of their financial aid status at the time transfer students receive similar information. of their admission to the university. In addition to the Publications external to the university (e.g., The College award notice, the information packet includes infor- Handbook, published by the College Board; Peterson’s mation about financial aid regulations, requirements Profiles) also offer a statistical outline of the incoming for renewal of awards, and students’ rights and respon- freshman class that includes the following data: sibilities. Students may also request these documents prior to award notification by contacting the Financial • application deadlines Aid office. Both Financial Aid and Admissions staff are • number and percentage of freshman candidates also available to meet with prospective as well as admitted and enrolled enrolled students.

94 Undergraduate Education Student concerns persist regarding undergraduate GENERAL EDUCATION PROGRAM Examples of Experiential financial aid, particularly with regard to the amount of Learning General Education Requirements financial aid available at the university and the policies • The Department of for administering it. The AU Campus Climate Survey All AU undergraduate students complete the univer- Government’s foundation- indicates declining satisfaction (between the years 1999 sity’s General Education requirements. The university level General Education and 2002) with the amount of financial aid awarded launched this program in fall semester 1989 and com- class, Politics in the students. The composite of “excellent” and “good” prehensively reviewed it in AY2000–2001. The review United States (GOVT-110), responses to the question of amount has ranged from focused on: has a one-credit required 53.1 percent in 1999 to 35.5 percent in 2002. Data for (for majors) companion • determining the viability of the contextual nature of class called the 2003 shows a small reversal of this trend with a 41.7 the program and assessing the connection of pro- Washington Laboratory, percent rating. Student responses on the level of service gram learning objectives, competencies, and goals to in which students visit received are correspondingly depressed. Students have the values of the university Capitol Hill and also voiced concerns on the policies for distributing governmental agencies a financial aid and varying levels of support over the typ- • assessing the program structure in terms of credit half-day a week during ical four undergraduate years. hours and curricular categories and levels the fall semester. Notwithstanding, the university has increased spend- •evaluating each course in the program • Government’s Laboratory ing on undergraduate financial aid in the interest of in Leadership • assessing the course clustering and linkage between Development (GOVT-361) recruiting qualified students with high academic stan- courses in the five curricular areas. requires similar dards and of keeping pace with rising tuition costs. experiential components. Financial aid is one of the fastest growing expenditures A committee of 27 faculty, staff, students, and admin- • Government has three in the university budget and has grown from an outlay istrators led the principal aspects of the review. They institutes with experiential of $23.1 million in FY1995 to $39 million in FY2003, engaged the entire community, including alumni, learning components: the a 68.8 percent increase. In the same period, the under- through student and faculty focus groups, town meet- Campaign Management, graduate tuition discount rate, financial aid expenses ings, questionnaires, and other consultative processes. the Public Affairs, and the as a percentage of tuition revenue, has increased from They also gave the course review work to the faculty Women and Politics 27.9 to 29 percent. members who taught the courses. Hundreds of indi- Institutes. viduals were part of the process. The review led to As part of the undergraduate financial aid award • Freshman-level courses in structural changes in the program and a new course- process, the university also administers both merit and the Department of Justice, clustering plan. Law and Society, such as need-based awards through grants, scholarships, cam- Introduction to Systems pus work study, and loans. Currently, students are obliged to take two courses in of Justice (JLS-104), each of five curricular areas for a total of 31 credit EDUCATIONAL PROGRAM AND incorporate into the course hours. The courses are designated as either foundation CURRICULUM curriculum required field courses, broadly construed and often interdisciplinary, experiences, such as Internships and Experiential Learning or as second-level courses, often more specific in scope police ride-alongs, prison and more directed at a specific discipline or topic. visits, and court watches. AU students value the integration of their academic The five curricular areas are: (1) The Creative Arts; curriculum with professional experience, a reality • Insider’s View of Justice (2) Traditions That Shape the Western World; (3) Global (JLS-520) holds all its borne out by the large numbers who avail themselves and Multicultural Perspectives; (4) Social Institutions class meetings at criminal of internship opportunities. AU offers full- and part- and Behavior; and (5) The Natural Sciences. justice sites. time internships that provide students with the oppor- • The Department of Justice, tunity to earn credit for field experience related to From 7-10 foundation courses in each area are linked in Law and Society also their education and career goals. Many students also approved clusters to a group of a dozen or more second- offers two summer engage in non-credit internships. Full-time faculty level courses. Students who have completed any one of institutes abroad, in which members from all units oversee the for-credit intern- the foundation courses in a given cluster may take any students visit police, ships. Internship assessment includes performance one of the second-level courses that follow. Instructors court, correctional, and evaluation by employer and faculty alike, journal are asked to draw real and effective intellectual connec- governmental institutions records, portfolio records, and research papers or tions in these often interdisciplinary pairings. Each cur- for lectures, tours, and reports. The academic units and the Career Center’s ricular area contains two clusters, each consisting of demonstrations. internship program office administer these full- and three to five foundation courses and eight to e1even (Continued on p. 96) part-time internship opportunities. The latter office second-level courses. Students select a foundation course staff consists of a full-time director and five advisors. and any second-level course in the same cluster. AU’s graduation census confirms that 70–80 percent Program Objectives, Values, and Goals of students have completed an internship while at AU. These cannot be tracked exactly because many intern- The program is driven by overarching principles and ships are uncredited and informal. Counting credit- institutional values. In addition to specific learning bearing internships only would falsely indicate a objectives articulated for each curricular area, the pro- smaller percentage of students engaged in experiential gram as a whole develops several fundamental ideals learning than is actually the case. and skills. These include: Undergraduate Education 95 (Continued from p. 95) • writing, to enhance basic communication skills directors been prominent in associations and conferences on undergraduate education and core education, • The School of • critical thinking, to enhance the ability to make and they have also consulted on the design and implemen- Communication’s analyze judgments based on reasoning and evidence reporting courses require tation of similar programs elsewhere. Originally envi- students to cover news •recognizing ethical issues pertinent to the field or sioned in the mid-1980s, the AU model for General events off campus. One discipline Education was one of the first in the country to embed recent section of overarching values and learning objectives in courses Advanced Reporting • quantitative and computing skills (COMM-425) was built required of all undergraduate students. • intuitive, creative, and aesthetic faculties, and the around a semester-long, The program has been actively engaged in self-assessment member-of-Congress ability to connect these with reasoning skills since its inception, which has led to a number of “beat,” in which students • awareness of a variety of perspectives, including covered a member of the improvements, even prior to the comprehensive those perspectives that emerge from new scholarship U.S. House of review of AY2000–2001. The General Education Representatives. on gender, race, and class as well as from non- office and director have responsibility for the day-to- Western cultural traditions • Students in the reporting day administration of the program. Governance is in class (COMM-320) take • information literacy skills, to evaluate the myriad the hands of the General Education Committee, a spe- on a growing number of sources of data available to students cial committee of the Faculty Senate. That committee “real” outside reporting is composed of five senior faculty appointed by the assignments, such as • oral communications skills senate, five faculty appointed by the director (one rep- public community resenting each of the five curricular areas), a faculty meetings and on-campus •a global perspective. coordinator, and the director. However, General programs, and work on Program Reputation, Governance and Education “belongs” to the university’s five undergrad- profile stories (about Administration, and Assessment someone with whom they uate colleges and schools in that they offer and staff are not acquainted). The General Education Program has been a model the courses and receive credit for the student enroll- • Students in How the News nationally for such programs. Not only have its various ments in the courses. Media Shape History (COMM-270) have been required to complete Figure 7.7—Student Satisfaction in General Education by Faculty Status research papers by (mean values against highest possible scores) examining newspapers on Question 12: Is this a demanding course? 1=strongly disagree; 2=disagree; 3=neither agree nor disagree; 4=agree; 5=strongly agree microfilm at the Library of Question 14: Overall, this course is? 1=poor; 2=fair; 3=satisfactory; 4=good; 5=very good; 6=superior Congress and have visited Question 21: Overall, the instructor is? and written about the Journalists’ Memorial in Fall 1998 Arlington, Va., which Faculty Category Question 12 Mean Question 14 Mean Question 21 Mean commemorates journalists Sections taught by full-time 4.03/5 4.65/6 4.79/6 who have been killed in the line of duty. Sections taught by adjunct 3.74/5 4.11/6 4.26/6 Fall 1999 Faculty Category Question 12 Mean Question 14 Mean Question 21 Mean Sections taught by full-time 3.92/5 4.50/6 4.95/6 Sections taught by adjunct 3.27/5 4.04/6 4.21/6 Fall 2000 Faculty Category Question 12 Mean Question 14 Mean Question 21 Mean Sections taught by full-time 3.98/5 4.70/6 4.90/6 Sections taught by adjunct 3.74/5 4.39/6 4.67/6 Fall 2001 Faculty Category Question 12 Mean Question 14 Mean Question 21 Mean Sections taught by full-time 4.08/5 4.96/6 4.72/6 Sections taught by adjunct 3.94/5 4.52/6 4.40/6 Fall 2002 Faculty Category Question 12 Mean Question 14 Mean Question 21 Mean Sections taught by full-time 4.24/5 4.62/6 4.92/6 Sections taught by adjunct 3.90/5 4.40/6 4.66/6

96 Undergraduate Education The General Education office and the colleges and assistants since 1994. The General Education Faculty schools jointly bear responsibility for enrollment man- Assistance Program (GEFAP) invites faculty to apply agement and course staffing. Each semester, the pro- for up to 60 hours of undergraduate or graduate assis- gram generates nearly 10,000 course enrollments in tance per semester. The application process uses a sim- almost 300 sections. In order to keep class sizes at opti- ple on-line form in which a faculty member describes mal levels, General Education’s needs, as articulated in the classroom activities to be included in the assistant’s the enrollment plan generated and distributed to the work. The program does not fund assistants purely for colleges and schools, are often a factor in faculty-hiring grading, or set-up and preparation, but rather rewards decisions. The equation is complex and is comprised those projects that take advantage of the peer-to-peer of a number of indicators. relationship in learning (e.g., tutorials, reviews, discussion groups) or that enhance the General Education General Education regulations stipulate that no more values, learning objectives, and goals (e.g., writing than 25 percent of class sections in the program, or in coaching and reviews, on-line discussions and class any unit teaching courses in the program, may be sites, field experiences, service opportunities). taught by other than full-time faculty members, defined as full-time tenured, tenure-line or temporary In 1998, GEFAP obtained a permanent budget and faculty. Each year, the General Education office audits currently supplies up to 40 assistants per semester. these faculty utilization statistics and reports them to Each semester, students in assisted sections evaluate the colleges. Deans can use this information in manag- their GEFAP assistants. Not surprisingly, these results ing their teaching resources. In the interests of effective are overwhelmingly positive. A comparison of the classroom teaching, the General Education office also summative questions in the student evaluation of tracks another variable—course enrollment. General teaching forms, has demonstrated semester after Education average class sizes have increased in the past semester that GEFAP-assisted sections show higher 10 years, and especially in the past two years, reflect- levels of student satisfaction. ing larger incoming classes. Balancing average class size The General Education Program has also fostered cur- and the use of adjuncts has been an important part of ricular innovation. Since the fall semester of 1998, the General Education planning. General Education Program in collaboration with the Quality of teaching in large General Education classes, College Writing Program, Department of Literature, as well as in sections taught by adjuncts, as evidenced College of Arts and Sciences, has offered sections of in student evaluations of teaching, are areas of partic- linked courses in which a cohort of first-year students ular scrutiny. Figure 7.7 correlates General Education takes a combination of a General Education course sections taught by full-time and part-time faculty with with College Writing. Far from a simple writing- three summative questions from the university’s stu- across-the-curriculum experiment, this plan allows the dent evaluation instrument. expertise of the writing instructor to enhance written work in the General Education foundation course The difference in student evaluation results between while providing content for the College Writing class. full-time instructors and adjuncts is even more striking Faculty teams report that such teaching linkages are in teaching units that employed more than 50 percent rewarding, while students rate it highly as both an non-full-time instructors in General Education classes enhancement of writing work and a community- (see Supporting Document 7.5). Although there were building innovation. notable exceptions in some departments, full-time faculty generally were evaluated more positively in key EMERGING PROGRAMS AS A RESULT OF measures of instruction—specifically, questions con- LONG-TERM PLANNING cerning course rigor (question 12), the overall assess- The University College ment of the course (question 14), and the overall assessment of the instructor (question 21). President Ladner’s Ideas into Action, Action into Service states that “our primary institutional reputation will be These data have played an important role as evidence anchored in a new, very selective, high-quality, inter- supporting lowered ceilings on adjuncts, enrollment disciplinary undergraduate program for freshmen and planning, and procurement of resources for those fac- sophomores, known as University College.” In fall ulty members teaching the largest number of students 2002, the provost and vice president of campus life or those seeking to enrich their teaching with innova- jointly convened a project team to begin defining such tive pedagogy. a college. The work of the team continues at present, Support for Innovative Teaching but certain design features of a University College are emerging from the deliberations. In order to support General Education teaching in the largest sections as well as to encourage faculty wanting The work of the project team began by articulating a to engage in innovative teaching, the General series of living and learning objectives for the Education Program has offered small stipends for class University College and proceeded to model possible Undergraduate Education 97 designs for the college, each of which would point to other universities; review and assess our international particular outcomes. The common elements of this programs, partnerships, and other activities aimed to discussion project that the University College will enhance our presence abroad; and identify the unique engage students during the first two years, beginning international expertise of our faculty and propose with New Student Orientation and the Freshman strategies for leveraging their talents in new ways.” Service Experience, and leading to a freshman seminar. The project team’s agenda focused on specific elements Its residential nature will reflect the living arrange- implicit in President Ladner’s charge: ments in residence halls. The College will connect with existing core undergraduate programs such as • to suggest ways to improve and expand the study General Education and the College Writing require- abroad experience for all students ments. In the second year of study, students will begin •to prioritize geographical areas for targeted expan- to engage in directed research projects under the eye of sion of programs and activities selected faculty. • to re-conceive and enlarge the operations of the The University College project team has identified the World Capitals Program sites and integrate them following objectives: with the local environment (also see below under • to connect students with faculty, staff, and their World Capitals) peers in vibrant and creative ways • to expand the presence of international faculty and •to create opportunities for students to participate in students intellectual, interdisciplinary programs that address • to consider new ways to integrate key elements of ethical and cross-cultural issues the Washington Semester Program to serve as an • to link academic experiences to opportunities that incentive for international students to come to AU engage students with Washington and the world The learning outcomes identified by the task force were: and connect ideas with action and service • an ability to function effectively in other countries, • to increase the cohesion and focus of the first two other cultures, and foreign environments, and so to years of the undergraduate experience appreciate the differences among them as well as the • to strengthen AU identity formation and develop common values that unite humanity lasting ties to the institution. • increased knowledge and expertise on particular Upon completing the two years, AU undergraduates countries and regions of the world should: • competency in one or more foreign languages • be aware of and feel connected to American •development of functional skills of high relevance in University traditions, history, and values other countries • have been immersed in rigorous academic inquiry •growth in students’ intellectual curiosity and sense and have completed a research experience of personal autonomy • be able to demonstrate information literacy, ethical The project team settled on four key recommendations, awareness, openness to diverse viewpoints, and which it forwarded to the president for implementation: cross-cultural understanding • encourage all AU undergraduates to avail themselves • have been exposed to experiences that connect them of an international experience that could include an to Washington and the world array of programs • have created a documented reflection of their expe- • expand the World Capitals Program, with addi- rience and have participated in a culminating event tional sites and greater integration of study at these to recognize the experience. sites with the locality Internationalization of the University •develop partnerships and strategies to increase the On March 17, 2003, President Ladner established a number and quality of international students com- project team to transform into reality point 6 of Ideas ing to AU (in part, to fill the places of those leaving into Action, Action into Service, specifying that AU will to study abroad) “become the premier global university in the United • improve foreign language proficiency through States.” Under the leadership of the vice president of immersion courses, teaching additional languages, international affairs, Dr. Robert A. Pastor, this project or a competency certificate program in languages. team generated an extensive report responding to the president’s charge to evaluate the current state of the In June 2003, President Ladner accepted the project university’s “global character and potential compared to team’s recommendations and goals while encouraging

98 Undergraduate Education continued feedback and discussion. He echoed the with honors courses when compared to all undergrad- Assessment in the overall objective of the initiative, that “all AU under- uate courses, General Education courses, or all courses Literature Department graduates will be strongly encouraged to have a study- at the 100- and 200-level. Retention of honors stu- In the process of writing living experience abroad.” The specific target is a dents is high, particularly after the first year of study. its learning objectives the doubling of the number of students availing them- As of fall 2002, the retention of 2001 honors freshmen Department of Literature selves of such an experience in the next four years. is 92.8 percent compared to 87.3 percent overall. realized that writing skills were not emphasized in the OTHER ACADEMIC PROGRAMS Most honors students enter the program as freshmen curriculum to the degree as a result of the quality of their application to the uni- that it would like. As a Freestanding programs versity and merit scholarship awards. Fewer students result, the department Freestanding programs, that is, programs built across are invited to join the program based on their achieve- designed a course the lines of traditional majors or minors, include pre- ment once at the university; others nominate them- entitled “Senior Project in Literature”. Students professional curricula such as pre-engineering (offered selves and may be admitted based upon an interview develop their research, and review of their academic records. A small number in conjunction with the University of Maryland at analytical, and writing College Park), pre-law, and pre-medicine. The five-year of students join after transferring to the university and skills, culminating in a 25- pre-engineering program combines the advantages of based on a prior demonstration of excellence. page paper. The seminar liberal arts and professional education as students work The strategic plan mandated that the University provides the department closely with a faculty advisor in one of the natural sci- Honors Program increase the number of its students to with a way to advance its learning objectives while ences, mathematics and statistics, or computer science 15 percent of the incoming class. The program has to tailor course selection to individual needs and inter- at the same time providing grown rapidly over the period of 1999–2002, sur- an excellent venue to test ests. Pre-law requires that student programs be sup- passed the 15 percent target, and currently designates ported by a broad selection of courses from skills and gain feedback almost 60 sections per semester as honors, compared that can be used for mathematics, the natural sciences, the social sciences, to fewer than 30 in 1999. More than 50 percent of program improvement. and the humanities and include such courses as philos- students complete the program. ophy, literature and advanced writing, history, political science, accounting, business administration, econom- Figure 7.8—Entering Honors Students ics, languages, and other courses demanding logical thinking and analytical reasoning. The pre-medical pro- Year Students gram includes extensive individual advising on careers, 1998 162 courses, volunteer and research opportunities, profes- 1999 278 sional school examinations, selection of schools, and 2000 303 financial aid, all of which helps candidates to be placed 2001 277 in medical schools. The program includes a Health 2002 231 Careers Forum and a Health Profession Seminar. 2003 254 Honors Program Honors students may also take supplements to non- The mission of the University Honors Program is to honors classes. In spring 2002, honors students com- attract and retain academically talented undergraduate pleted 159 supplements and, in the fall of 2001, 167. students by providing small classes, enhanced advising, The honors program, though it has struggled with a special residential program, and increased engagement developing a diverse population of students, has with top faculty both inside and outside the classroom. increased its number of minority participants. In The honors program, in its current form, began func- 2001, it accepted 189 African American, Hispanic, tioning in fall of 1989. It underwent review in 1994 and Asian, and other minority students, an increase from 2001 and presently consists of courses selected from the 140 minority students accepted the previous year. General Education curriculum and beyond. Small seminars, individualized attention from faculty, and unique The honors program has instituted a variety of new access to the resources of Washington, D.C., contribute academic experiences for students, including the Early to the special atmosphere of this honors community. Identification Program, a collaborative effort with the Office of Merit Awards, which prepares sophomores Students select their classes from honors sections of for major awards and fellowships; annual Senior major or major-related courses, honors supplements Honors Capstone Conferences, which are intended to linked to courses in the major or related fields, showcase research of graduating students; Honors University Honors colloquia, and honors independent Capstone Grants, which financially support capstone study. All University Honors students are obligated to research; and expansion of honors credit to the World complete a senior capstone project. Capitals Program. Honors students are generally satisfied with their expe- Phi Beta Kappa Chapter rience. According to annual reports of the honors program and a review of that program in AY2000–2001, American University’s 1999 Periodic Review Report honors students report higher levels of satisfaction outlined the awarding of a chapter of Phi Beta Kappa Undergraduate Education 99 in 1994. Phi Beta Kappa is the oldest and most presti- ous experiential education to approximately 450–500 gious academic honor society in the United States and students each semester from all over the United States honors undergraduate academic achievement, espe- and the world. Some 230 colleges and universities cially in the liberal arts and sciences. The organization send their students to the program. Students study in adheres to stringent standards for establishing chap- 12 areas: American politics; economic policy; foreign ters. The AU Zeta chapter continues to encourage policy; gender and politics; information technology recognition of high academic achievement on campus and telecommunications policy; international business and inducts approximately 70 students per year in a and trade; international environment and develop- ceremony during commencement weekend, a number ment; journalism; justice; peace and conflict resolu- corresponding to approximately 10 percent of gradu- tion; public law; and transforming communities. ating seniors from the three liberal arts colleges (CAS, SOC, SIS). The chapter sponsors an annual dinner Three full days a week of seminars, including the con- and lectures by prominent visitors as well as by Phi ceptual and theoretical foundations of the chosen field Beta Kappa faculty members. of study, lectures by Washington-based experts in the field, and field study visits to government agencies, Adult Learners business organizations, think tanks, and other institu- A majority of the educational programs and services tions, are the academic core of the program. Two full for adult learners are provided by the College of Arts days a week of supervised, substantive internships in and Sciences. Four CAS academic counselors, one the field of study support and develop these classes. An with a master’s degree in adult learning, allocate part of internship seminar also supports the internships. In their time to advising adult learners. An important addition to their seminars and internships, students program in this area is the BA in liberal studies for may elect to take an additional supervised four-credit adult learners, unique in its flexibility to accommodate research project class or a three-credit evening course. different professional interests through specialization A total of 18 to 20 full-time faculty members who have courses similar to requirements for minors in the range academic appointments in appropriate teaching units of fields of study offered at AU. of the university teach in the Washington Semester The Assessment of Experiential Learning program, for Program. Many of these individuals hold multiyear adults who have been out of high school for at least contracts after successfully serving on a series of one- eight years, enables students to earn credit for learning year contracts. Additional part-time faculty members gained through work, travel, and community service. oversee the internship course. In the course EDU-240 Analysis of Experiential Students give the programs their highest praise, regu- Learning, students work closely with faculty to larly noting that “this was a life-changing semester.” develop a portfolio that describes, analyzes, and docu- Many of the students return to Washington after grad- ments life experience and learning. Students may earn uation to work as professionals in the institutions in up to 30 credits applied as electives toward an under- which they interned during their Washington graduate degree. In addition to the course, workshops Semester, and many more return after graduate study. help students develop good study skills. The Washington Semester Program staff currently McNair Program relies on a narrative course and program assessment The Ronald E. McNair Postbaccalaureate Achievement tool, a tool which they find valuable in making Program prepares low-income first-generation college instructional and organizational decisions. However, students and minority undergraduates for doctoral realizing the need for more precise indicators and for study. Students enjoy research opportunities, faculty indicators capable of comparison to other academic mentors, and activities meant to increase the likeli- programs at the university, they are considering devel- hood of their matriculation in and graduation from oping a quantitative tool similar to the student evalu- doctoral programs. The AU McNair program, distin- ation of teaching administered by the registrar. guished as one of the 15 original such programs Washington Semester American Indian Program— nationwide, recruits from its own student population Washington Internships for Native Students (WINS) and from the student population at the University of the District of Columbia. A summer research intern- The Washington Semester American Indian ship allows participation in a paid, eight-week, intensive Program—Washington Internships for Native research project under the supervision of a faculty Students (WINS) provides experiential education to mentor. Students present their research findings at American Indian and Alaska Native students from all national and regional conferences. over the United States. It helps these students—historically underrepresented in the national government Washington Semester Program and capital—continue their college education while The Washington Semester Program, founded 55 years interning in Washington, meeting fellow future lead- ago as an American Politics Semester, now offers rigor- ers from tribes all over the country, and learning how

100 Undergraduate Education the political process in Washington works. The federal Washington College of Law as well as other departmen- government funds this program in its entirety to tal exchanges. If students are interested in locations and enable students from tribal colleges and reservations as areas of study not represented by an AU-sponsored pro- well as nontribal colleges to attend. gram, they may seek departmental approval through the permit-to-study-abroad form. In a summer session of 10 weeks, approximately 100 students intern 40 hours a week in government agen- Over the years, study abroad participation has increased cies and attend classes at AU three nights a week, earn- significantly. Since the last Middle States review, AU ing six credits. Two nights a week, classes are devoted student participation in the World Capitals Program to American government and Native American issues, grew from 359 in 1994–1995 to 473 in 2002–2003, or and one night a week classes are devoted to evaluating 32 percent. When compared to similar institutions of and expanding on the internship experience. the same Carnegie categorization (doctoral institutions), AU consistently ranks in the top 12 for the In the fall and spring semesters of 15 weeks, students total percentage of students who study abroad (see intern 35 hours each week in government agencies and Supporting Document 7.6). attend classes two to three nights and one afternoon a week, earning 12 credits. The afternoon class is At each study abroad site, efforts are made to immerse devoted to evaluating and expanding on the intern- students in foreign cultures through seminars, field ship. The evening classes, drawn from evening classes trips, internships, homestays with local families, and offered by AU, are selected to meet each student’s aca- other structured activities. However, the extent of inte- demic and degree requirements. Depending upon stu- gration with the local environment varies significantly dent need, classes in American Indian issues, such as from site to site, and one of the major emphases of the American Government and Native American Issues, AU Abroad program is to increase the level of integra- are offered some semesters as well. The enrollment tion at both existing and new sites. Opportunities to goal for fall and spring is 25 students per semester. learn a foreign language or improve foreign language Only three students were enrolled during spring 2002, competency are available at most study abroad loca- and seven during fall 2002. Students who have com- tions. Another future emphasis of AU Abroad will be to pleted the program praise the opportunities they had increase the extent of student learning that takes place and are generally extremely favorable in their evalua- in the host country’s native language. Various ways of tion of the total program offerings. achieving this objective may be pursued through, for example, broader and deeper foreign language offerings Study Abroad in the regular university curriculum for students plan- In order to “build a distinctive, global university” as ning to study abroad, and through summer immersion stated in the strategic plan, AU offers numerous study programs in foreign languages at institutions abroad. abroad opportunities. For more than 20 years, AU has In every study abroad site, faculty selection and affili- administered study abroad programs primarily ation meet the same standard of high quality as through the World Capitals Program, founded in American University’s Washington, D.C., campus. 1982. In August 2003, President Ladner announced When AU has affiliations abroad and students directly that the study abroad program would be reorganized enroll in foreign institutions, AU facilitates the process and managed by the Office of International Affairs and ensures that institutions meet local standards of under the direction of vice president Robert Pastor. accreditation and high standards of quality. All pro- The president also announced that a new office, AU grams and courses abroad undergo evaluation every Abroad, would oversee all university-wide study semester to ensure that they meet the expected aca- abroad programs. demic rigor and effectiveness to educate global citizens. Current sites under the AU Abroad program are: English Language Institute Santiago, Chile (two programs—Santiago and Andes to the Rainforest); Sydney, Australia; Beijing, China; Since 1970, AU’s English Language Institute (ELI) Berlin, Germany; Brussels, Belgium (two programs— offered courses in English as a second language to meet European Union and International Marketing); Buenos the specific needs of nonnative speakers who wish to Aires, Argentina; Rome (and Corciano), Italy; London, enroll in an American university. In 2001, the univer- England; Madrid, Spain (two programs—Madrid and sity assessed the institute and concluded that it was not Madrid and the Mediterranean); Paris, France; Prague, providing a sufficient level of service and that students’ Czech Republic; and Southern Africa (Namibia and language skills were not developing adequately. The South Africa). A phased increase of additional sites is university decided to discontinue ELI in 2002 and underway in order to meet over the next four years the implement higher language admissions standards. As university’s stated goal of doubling the percentage of its of fall 2003, a TOEFL (Test of English as a Foreign undergraduate students who study abroad. American Language) score indicating English language fluency is University also makes available study abroad opportuni- arequirement for admission. In May 2003, ELI services ties through the School of International Service and the ceased. Nonnative speakers needing special assistance Undergraduate Education 101 will receive support from existing resources, such as the ing trend in higher education towards assessing learn- Academic Support Center and the Writing Center. ing outcomes. In summer 2001, the provost assembled a team of faculty and academic administrators to Undergraduate Certificate Programs develop a strategy and timetable for the development The university offers a small number of undergraduate of a learning outcomes assessment program. The team certificate programs. These are defined as a course of attended the American Association of Higher study open to undergraduates to prove a specific skill. Education assessment conference, reviewed assessment The Department of Language and Foreign Study in models, and discussed ways that a learning outcomes the College of Arts and Sciences offers the majority of assessment program would integrate with the institu- these. Their purpose is to prove proficiency in translation’s overall assessment efforts. tion skills. Certificate courses of study are not attached The team recommended that the institution focus its to a specific major and, although most students work- efforts on assessing learning outcomes at the program ing toward a certificate are already pursuing an under- level. As part of the learning outcomes assessment graduate degree, a student may be admitted to the plan, a model for collecting information was agreed university in order to gain only a certificate. upon and an initial timetable set. In fall 2001, the Figure 7.9—Undergraduate Certificate provost initiated the assessment effort by sending a let- Completion Rate ter to all faculty members stressing the importance of developing learning outcomes. Department chairs Program Students Completing were asked to work with faculty to provide mission AY00–01 AY01–02 statements for each program and to develop a compre- French Translation 2 1 hensive set of learning objectives, strategies for assess- German Translation 2 1 Russian Translation 2 0 ing the objectives, and standards for evaluating the Spanish Translation 11 7 information collected. TESOL 1 3 By the end of AY2001–2002, undergraduate programs Total 18 12 had completed this first step of the assessment process. In spring 2003, departments were asked to submit changes to their plan and to report on any progress OUTCOMES ASSESSMENT made in their assessment efforts. While assessment In the last 10 years AU has made significant progress in plans are reviewed by the deans and provost, the “own- enhancing both the depth and breadth of its under- ership” of the plans rests with the departments them- graduate education assessment program. Moreover, the selves. The program is designed not simply to evaluate emphasis of assessment has shifted from one based on departments but primarily to assist departments in “input” measures, such as entering student qualifica- self-reflection, analysis of goals, and program improve- tions, to one that includes many more “output” meas- ment. Institutional support is provided by the director ures designed to assess student learning. Given the of institutional research and assessment, the Center for institution’s mission to achieve academic excellence, Teaching Excellence, and a newly formed Learning assessment of learning outcomes has become a central Outcomes and Assessment Project Team. This project component of its overall institutional assessment plan. team is made up of peers who are charged with facilitating the learning outcomes project. AU uses a wide range of assessment measures at multiple levels of analysis. Using Alexander Astin’s model as Departmental assessment of learning outcomes at AU guide, the institution collects and assesses input measures is not new. Many programs have had comprehensive (such as incoming student qualifications), experience strategies for assessing how well students acquire the measures (such as student satisfaction), and outcomes skills and knowledge expected of them in the major. A measures (such as employment and graduate school survey of assessment activities, conducted as part of placement) related to expected undergraduate outcomes. the university’s Periodic Review Report, found that Assessment takes place at the course, program, and insti- “virtually all academic units are involved in some form tutional level. Most importantly, the results of assess- of outcomes assessment, though these may not be rec- ment efforts are used to determine the degree to which ognized as such.” The latest efforts to track and commission, goals, and objectives are being met and to make municate learning objectives have provided academic adjustments to academic processes when necessary. (See departments with the opportunity to clarify mission Figure 7.10) statements, document success, and identify areas for improvement. Assessing Learning Outcomes at the Program Level Examples of the strength of the assessment efforts are Assessment of the Major numerous. A review of the mission statements set by Even before the new Characteristics of Excellence was departments finds that the institution provides a rich finalized, AU recognized the importance of the grow- array of programs that are tied closely with the institu-

102 Undergraduate Education tion’s mission. Departments use a wide variety of immediate concern (see Supporting Document 7.7). An Undergraduate assessment measures, including senior thesis projects, The mission of the project team is to: Mission Statement: oral presentations, performances, portfolios, employ- The BA in • facilitate, support, and promote assessment at AU ment outcomes, internship supervisor evaluations, exit Anthropology interviews, course-embedded assignments, and tran- • facilitate the development of learning outcomes “Anthropology is both a script analysis. More than 15 programs offer capstone across campus and to facilitate knowledge about theoretical and applied courses, thereby providing a rich opportunity to assess these objectives field concerned with the the knowledge and skills of seniors as they graduate biological and socio-cultural dimensions of human from the institution. Figure 7.11 provides just a few • support, foster, and document the appropriate use experience. The comparative, examples of what some programs are using to better of assessment information for program improvement and promotion. cross-cultural approach understand learning outcomes. is the foundation of While much progress has been made in implementing As this Self-Study Report is written, programs are at dif- anthropology and unites its sub-fields (physical/ the learning outcomes assessment plan, the institution ferent stages in the implementation of their assessment plans. (Many still need to implement assessment tools biological, archaeology, recognizes the need to make further progress. The anthropological linguistics, provost convened a Learning Outcomes and fully, report on the results of their assessment efforts, and social cultural). Assessment Project Team in fall 2003, and this team is and document the ways in which assessment has been Students in the department responsible for facilitating progress on this important used for program improvement.) The director of the of anthropology at AU gain project. The team is currently co-chaired by the asso- Office of Institutional Research and Assessment is an understanding of at least ciate director for the Center for Teaching Excellence working with departments to find ways to tailor assess- three of four sub-fields, and the chair of the Faculty Senate Curriculum ment tools to their specific needs. The University and at least one major world region. They are also taught Library is also working with units to facilitate the Review Committee. Members of the team have the primary methods, both attended assessment workshops and have planned a inclusion of information literacy assessment plans, quantitative, and qualitative, timeline and strategy for addressing the issues of most where appropriate. used in anthropological research. A major strength of the Figure 7.10—Assessment of Student Learning at American University program at AU is its emphasis on public Level of Analysis anthropology. The setting of Washington, D.C., COURSE ASSESSMENT gives students many opportunities for applying PROGRAM ASSESSMENT anthropology to real world situations, involving INSTITUTIONAL ASSESSMENT issues such as law and politics, race and ethnicity, culture resource Set Use management, politics of Feedback Mission, for Goals, and archaeology, socioeconomic Improvement Objectives inequality, gender and sexuality, language and

Emphasis of Assessment Efforts (Alexander Astin) communication, urban anthropology, and public health.”

Outcomes Indicators Assess Establish Experience Indicators Progress Assessment Input (Quality) Indicators

Methods

Set Standards

Undergraduate Education 103 Figure 7.11 to their courses. But they are also used by departments Examples of Methods Used to Assess to inform course offerings, by deans for faculty Learning Outcomes appointments, and by the Provost’s Council to make decisions related to such things as class size and adjunct Senior Thesis or Research Project—Anthropology, usage. While a complete discussion of every assessment Chemistry, Biochemistry, Economics, History, tool would be beyond the scope of one chapter, it is Information Systems appropriate to illustrate the types of assessment used on Transcript Analysis—Health Promotion, History, campus by discussing the survey research program and Jewish Studies, Women and Gender Studies a few other institution-wide assessment efforts. Student Portfolios—Economics, Elementary AU has an extensive survey research program that Education, Secondary Education allows it to track student experiences and outcomes. As the Middle States publications on assessment point Peer Critiques—Graphic Design, Studio Art out, surveys are indirect indicators of student learning. Oral Presentations—Anthropology, Art History, However, “the assumption underlying this approach, Graphic Design, Biology, Environmental that students are generally accurate reporters of how Studies, Chemistry, Biochemistry, Sociology, much they have gained as a results of their educational Law and Society, Public Communication experiences, appears to be supported by a credible body of research evidence” (see Supporting Document Recitals—Music 7.8). The following are examples of some of these Internship Supervisor Evaluations—International measures, as well as a summary of the latest results. Studies, Jewish Studies, Women and Gender Student Evaluations of Teaching Studies, Health Promotion, Elementary Education, Secondary Education, Biology The university routinely administers anonymous surveys designed to evaluate students’ perceptions of the Alumni Studies—Journalism, Chemistry, quality of education they are receiving in each course. Biochemistry Student evaluations of teaching are administered in all undergraduate courses at the end of the semester. In Other Program-Level Assessment addition to collecting general information on student In addition to assessment of the major, assessment at perceptions of learning, the university also provides the program level includes efforts to document learn- departments with the opportunity to add questions ing in the General Education Program (discussed pre- that relate to learning outcomes. The evaluation forms viously), the University Honors Program, and Study for all General Education courses, for example, include Abroad Programs. questions designed to assess how well the course met the objectives of the General Education Program. Assessment Tools Analysis of the information is done on all levels. The university uses a number of tools to collect infor- Electronic access to survey results on Eagledata has mation on student quality, the quality of the student facilitated their use. Deans analyze the data using a experience, and learning outcomes. Many of these number of different factors, including class size, faculty measures, particularly factors related to student quality, type, and course level. The result is that the usefulness have been discussed earlier in this chapter. of the data to inform decisions has greatly improved. A number of tools are widely used. For example, course According to the evaluations, students perceive that they evaluations are used by faculty to make improvements are receiving a high quality education from high quality

Figure 7.12—Selected Course Evaluation Items—Undergraduate Results (average scores against highest possible scores) Item Fall 2000 Fall 2001 Fall 2002 Instructor stimulating 3.96/5 4.00/5 4.06/5 Instructor knowledgeable 4.53/5 4.56/5 4.57/5 Course well-prepared 4.12/5 4.16/5 4.17/5 Material useful 3.92/5 3.99/5 3.98/5 Assignments useful 4.05/5 4.08/5 4.08/5 Course demanding 4.01/5 4.06/5 4.07/5 Overall instructor rating 4.84/6 4.89/6 4.95/6 Overall course rating 4.62/6 4.67/6 4.68/6 Scores rated from 1 to 5: 5 = strongly agree, 4 = agree, 3 = neither agree or disagree, 2 = disagree, 1 = strongly disagree. Scores rated from 1 to 6: 6 = superior, 5 = very good, 4 = good, 3 = satisfactory, 2 = fair, 1 = poor

104 Undergraduate Education Figure 7.13—Campus Climate Survey Results The Campus Climate (% who strongly agreed or agreed) Survey asks students, “What one thing about your Item Spring 1998 Spring 1999 Spring 2000 Spring 2001 Spring 2002 undergraduate program Courses are demanding 83.0 84.6 84.9 84.5 87.6 has been of the greatest Satisfied with what was learned 80.0 78.7 83.0 79.7 84.2 value to you?” Here is a Satisfied with courses 77.1 80.7 80.5 80.2 83.0 typical response: “I have Satisfied with faculty 78.4 83.3 85.0 84.9 87.4 learned that there are many more sides to an issue than what I think exist. Being faculty. As indicated in Figure 7.12, the majority of the National Survey of Student Engagement around so many different undergraduate students enrolled at AU rate their instruc- AU students’ perceptions of their educational experi- kinds of people has tors as stimulating and knowledgeable, the courses as ence are assessed in the National Survey of Student really broadened my well prepared, and the material and assignments as use- Engagement (NSSE). The survey is administered every understanding of life in ful. For example, in fall 2002, these dimensions were general.” other year and is valuable to the university for a num- rated 4.06, 4.57, 4.17, 3.98 respectively on a five-point scale. Furthermore, students rate the course and instruc- ber of reasons. Survey questions are designed to focus tor highly and are satisfied with what they have learned. on student engagement: “The extent to which stu- Of some import, the consistently high ratings of under- dents participate in the proven educational processes graduate courses occur despite students indicating they that contribute to outcomes.” The results offer the find the courses to be somewhat demanding (average rat- institution an invaluable benchmarking tool and a way ing in fall 2002 was 4.07 on a five-point scale). Overall to measure progress over time. data from the past seven years indicates that fall 2002 is As with the Campus Climate Survey, results of the a typical example of the quality of teaching at AU and NSSE are reported across this Self-Study Report, as suggests that courses at the university are taught in an appropriate. What can be said overall is that the qual- academically rigorous fashion, are delivered effectively, ity of student engagement at AU is excellent and is and are well received. This clearly indicates that the class- improving. In the area of “level of academic chal- room setting addresses the goal of being a high-quality lenge,” AU freshman results are in the 90th percentile undergraduate institution that emphasizes a high level for doctoral-extensive institutions. For seniors, the educational experience. results are in the 80th percentile. For NSSE’s bench- Campus Climate Survey mark on “active and collaborative learning,” AU results are even more impressive. Our freshmen have Since 1998, the university has used the Campus the top score for doctoral-extensive institutions. Climate Survey to gain a better understanding of stu- Seniors score in the 80th percentile. dent perceptions of their undergraduate experience. Each spring, all undergraduates are asked about their Graduation Census satisfaction with courses, faculty, fellow students. and Understanding student success in obtaining employ- academic program. In addition to closed-ended ques- ment in their field and admission into graduate school tions, students are asked to provide open-ended are key indicators for many academic programs. The responses to explain their views on a number of important issues. The results are analyzed by school or col- census asks students at time of graduation to report on lege, program, and a number of different demographic their employment and graduate school status. It also indicators. Results of the survey are discussed by the asks them to assess how well AU assisted in developing President’s Cabinet, the Provost’s Council, and within a number of different skills and abilities related to the the schools and colleges. In many cases, the results General Education Program and the overall mission of have been used as a means to identify issues in need of the institution. Students are asked general questions further study. When necessary, focus groups have been related to their experience as well. The Office of used to understand issues and to develop suggestions Institutional Research and Assessment works in close for program improvement. collaboration with academic units and the Career Center to elicit a high response rate. Typically, around Results of the survey indicate that students are satisfied 80 percent of students respond. with their undergraduate experience and that satisfaction continues to grow over time. The qualitative As with the Campus Climate Survey, the graduation responses reinforce what we know, that individual fac- census is used by a wide range of constituents on cam- ulty make a significant difference in the undergraduate pus. Employment indicators are used in outcomes experience. Students repeatedly mention that the uni- assessment plans and the results are used by the versity’s diverse student body contributes to learning. provost, deans, and others. Beginning in December In congruence with the university mission, students 2003, the survey will be modified to give academic also mention the important role experiential learning units greater flexibility to add individual questions plays in their overall education. related to specific learning outcomes. Undergraduate Education 105 Graduating students say that AU did a good job in awards. A full-time director and part-time assistant developing such abilities as multicultural awareness, administer the selection and nominations for fellow- critical-thinking research, and oral communication. ships, such as Marshall, Mitchell, and Truman. The Knowledge or skills rated lower include computer soft- office supports various information sessions, selects the ware skills and scientific inquiry. Ninety-four percent university’s nominees, and provides intensive training to of graduating students say that they were satisfied with candidates. The office also assists students who wish to their academic program. apply for discipline-specific awards and maintains a scholarship database. AU students have won funding for Alumni Survey study abroad through prestigious fellowships, such as The university’s concern with assessing students’ edu- Rotary (Egypt, France, UK), Fulbright (Egypt, Chile, cational experiences extends beyond graduation. AU Ireland, Germany, Morocco), and the National Security conducts alumni surveys to learn the extent to which Education Program. Domestically, undergraduate stu- those who graduated one and five years ago believe dents have been awarded Institute for International that their education developed important skills and Public Policy (IIPP) Fellowship, Carnegie Endowment prepared them for employment and graduate school. for International Peace Fellows Program, Barry In the latest survey, conducted in 2000, alumni gave Goldwater Fellowship, Harry S Truman Fellowship, and AU high marks for the degree to which it prepared Morris Udall Fellowship. them for their current job. Three out of four alums CONCLUSION who went on to graduate school said that they were accepted into the university or college that they con- The richness, rigor, and range of undergraduate study sidered to be their top choice. and accomplishment at American University are remarkable. Increasingly able students have availed themselves Undergraduate Research of ever-broadening options for learning in both tradi- For many programs, research competence is a critical tional and innovative ways. But, as learning and teaching learning outcome. In addition to the many ways that at AU grows, it develops its own set of challenges. The programs assess research competency, the institution interface of innovation and proven capability in the assesses it by tracking, when possible, student participa- undergraduate enterprise inspires some observations and tion in research conferences and the quality of research concerns, elements that suggest some deliberate review presented. Thirty-two AU student papers were published and prudence, leading to the following proposals. in the 2001 edition of the National Conference on RECOMMENDATIONS Undergraduate Research Journal and 56 were published in the 2002 edition. American University is the most • Affirm and enhance the centrality of the General published academic institution in the journal. As the Education Program to the entire undergraduate cur- 2003 conference was attended by approximately 5,000 riculum by supporting the recommendations of the students from more than 400 colleges and universities General Education review, by maintaining an appro- throughout the country—including Harvard; priate 31 credit hours in the program in the newly Columbia; the Universities of California at Berkeley, revised cluster arrangement, and by committing suffi- North Carolina at Chapel Hill, and Virginia—and a few cient faculty resources to meet the targeted limits on from overseas, the magnitude of AU students’ accom- adjunct teaching in General Education. plishment is clear. Moreover, of the approximately 2,000 •Study carefully plans for any further growth of papers submitted at the conference, only 341 (17 per- university-wide requirements in the undergraduate cent) were published. AU’s undergraduate students have curriculum (beyond the present General Education, made successful and key contributions to research, a fact College Writing, and mathematics requirements) so that speaks loudly of and vividly measures the quality, that majors, double majors, and honors students can depth, and breadth of undergraduate learning. plan their time confidently and with options for elec- Merit Award Programs tives, minors, and experiential learning opportunities. Another indicator used by the institution to measure •Implement an innovative University College that the quality of undergraduate learning is the number of draws together the disparate elements of living and learning without compromising the fundamental students preparing applications and winning national quality or features of the existing undergraduate merit awards. At AU, this number continues to grow. curriculum. The ability of students to achieve so many awards is due to several factors, including high-quality students, •Provide even greater support and encouragement for excellent academic programs, and a commitment by assessment through incentives for faculty participa- the institution to provide resources that support the tion, resources for departments interested in improv- award winners. The Office of Merit Awards and ing learning outcomes plans, and opportunities for Scholarships in the Career Center prepares students for communicating assessment results to the university nationally competitive, merit-based scholarships and community.

106 Undergraduate Education Supporting Documents 7.11 American University, 2002–2003 Catalog (and earlier editions). 7.1 Academic Data Reference Book, 2002–2003, Table 1, full- and part-time students in all 7.12 American University, Honors Program, Annual degree and nondegree programs. Reports, 1999–2002. 7.2 Cooperative Institutional Research Project 7.13 American University, Office of Admissions, (CIRP), 2002, sponsored by the Higher Viewbook. Education Research Institute at UCLA. 7.14 American University, Office of Institutional 7.3 President Ladner, http://american.edu/president/. Research and Assessment, Academic Data Reference Book, 1994 through 2003. 7.4 President Ladner, Statement of Common Purpose. 7.15 American University, Office of Institutional Research and Assessment, Campus Climate 7.5 American University General Education Survey, 1998–2003. Program Annual Reports for AY1997–2000. 7.16 American University, Review of the General 7.6 Institute of International Education, Open Doors: Education Program, 2001, found at Report on International Educational Exhange. . Outcomes. 7.17 College Entrance Examination Board, Research 7.8 Framework for Outcomes Assessment, p. 19. Summary: The Effects of SAT Scale Recentering on Percentiles, RS-06, May 1999, 7.9 Pastor, Robert, Tranforming American found at . Report of a Project Team. April 28, 2003, found at . 40th edition, 2002. 7.10 Point 6 Task Forces’ Final Report to President 7.19 American University, Academic Integrity Code. Ladner, April 18, 2003.

Undergraduate Education 107 GRADUATE AND PROFESSIONAL EDUCATION CHAPTER8 GRADUATE AND PROFESSIONAL EDUCATION

INTRODUCTION closely identified with public service means that engagement is not simply a buzzword—engagement is raduate and professional education has been inte- central to the academic mission and helps guide the gral to American University since its founding G creation and management of all graduate education at more than a century ago. The first degrees the univer- AU. (See Chapter 9.) sity granted in 1916 were graduate degrees, and the university remained primarily a graduate institution AU has also dedicated itself to enhancing its already until after World War II. Since that time, the univer- strong reputation for creatively serving a broad-based sity has changed in many ways, including the increas- international community (133 countries were repre- ing centrality of undergraduate education as sented in the graduate student body as of fall 2003) recognized in President Ladner’s point 3. Nevertheless, and to offering all students the opportunity to actively AU continues to have strong and unique graduate and explore the implications of living and serving in an professional programs, and point 4 of the president’s increasingly global society. This commitment is best plan sets ambitious goals for the future of graduate expressed in the university’s 1997 strategic plan: education at AU. “American University’s primary goal for the next century is to build a distinctive, global university.” In In an April 2002 speech elaborating those goals, many respects it can be argued that the graduate pro- Provost Kerwin stated that “the future of the institu- grams already achieve those goals. The School of tion is bound inextricably with the future of graduate International Service (SIS) specializes in global issues, education. The issue is central to our mission, our his- while many graduate programs in other schools and tory, our current circumstances, and what we hope to colleges offer internationally oriented fields of study. A be in the coming years” (see Supporting Document variety of initiatives, from the human rights programs 8.3). Consistent with that historical commitment and in the Washington College of Law (WCL) to the with its mission statement, the university has built a Global Development Network that links faculty across suite of high-quality graduate programs that spans a various schools and disciplines, offer graduate students broad spectrum of academic and professional fields. opportunities to engage in globally focused research The PhD programs are concentrated mainly in the and policy analysis. The recent addition of a new vice social and policy sciences and are relatively small. Most president for international affairs and the creation of graduate students are enrolled in master’s or law pro- the Center for North American Studies under his lead- grams, the majority of which are in professional fields. ership are further indications of the university’s com- The university has outstanding master’s programs in mitment to engagement at the global level. certain arts and humanities, such as creative writing and the performing arts, in addition to various social The university’s focus and mission help it to attract and natural science fields, and numerous nondegree faculty who are committed to public service and policy- certificate programs. Altogether the university offers relevant scholarship, as well as graduate students eager eight PhD degrees, four law degrees, 49 master’s to assume public responsibilities in their careers. degrees other than law, and 20 graduate certificates as Alumni of the university’s graduate programs occupy of fall 2003. senior leadership and elected positions in the United States government, various foreign governments, and What these diverse programs share, in the words of the many international organizations; they hold important university’s Statement of Common Purpose, is the academic and administrative positions in higher edu- ability and obligation to teach students “to turn ideas cational institutions in the United States and abroad; into action and action into service by emphasizing the they influence public opinion from their posts as lead- arts and sciences, then connecting them to the issues ing filmmakers and journalists; they manage renowned of contemporary public affairs writ large, notably in orchestras and dance companies and participate in the areas of government, communication, business, major theatrical performances; they lead businesses, law, and international service.” AU’s graduate pro- large and small; and they take on challenging legal grams make concerted attempts to take advantage of cases that set important precedents. the university’s strategic location in the nation’s capital through internships, externships, and a variety of Many graduate and professional programs at AU have cooperative ventures with the wide array of govern- achieved national and international recognition, a ment agencies, businesses, and nonprofit organizations number are highly ranked in their fields, and many in Washington. This commitment to programs so serve distinctive market niches that connect them to

Graduate and Professional Education 109 Figure 8.1 Graduate Degree Programs Offered as of Fall 2003 and Changes Since 1994

Doctoral Degrees (Except Law) Philosophy, MA* Anthropology, PhD Political Science, MA Economics, PhD Printmaking, MFA History, PhD Psychology, MA International Relations, PhD Public Administration, MPA Justice, Law and Society, PhD* Public Policy, MPP* Political Science, PhD Sculpture, MA Public Administration, PhD Sociology, MA Psychology, PhD Spanish: Latin American Studies, MA* Statistics, MS Law Degrees Taxation, MS International Legal Studies, LLM Teaching, MAT* Law, JD Teaching English to Speakers of Other Languages, Law, SJD* MA Law and Government, LLM* Degree Programs Terminated Since 1994** Master’s Degrees (Except Law) Accounting, MS Anthropology, Public, MA* Applied Economics, MA Art History, MA Chemistry, PhDc Biology, MA, MS Development Finance and Banking, MAc Business Administration, MBA* Education, MAc Chemistry, MS Education, PhDc Communication: Journalism and Public Affairs, Financial Economics for Public Policy, MAc MA French Studies, MAc Communication: Producing for Film and Video, History of Religions: Hindu Tradition, MA MA* Human Resource Management, MSc Communication: Public Communication, MA Information Systems, MS Computer Science, MS Mathematics, Applied, MAb Creative Writing, MFA Mathematics Education, PhDc Development Management, MS Music, MA Economics, MA Philosophy and Social Policy, MA Education, Special: Learning Disabilities, MA* Physics, MS,b PhDa Education: International Training and Education, Psychology, General, MA MA* Russian, MAc Environmental Science, MS* Sociology, PhDc Ethics and Peace, MA* Sociology: Justice, PhD Film and Electronic Media, MFA* Statistical Computing, MSb Film and Video, MA Statistics, PhDc Global Environmental Policy, MA* Statistics for Policy Analysis, MSc Health Promotion Management, MS* Toxicology, MSc History, MA ______Information Technology Management, MS* Interdisciplinary Studies, MA, MS Notes: Separate tracks or concentrations within a degree, joint and dual degrees, and certificate programs are not International Affairs, MA listed here. International Communication, MA *Indicates new or reorganized since 1994. International Development, MA International Peace and Conflict Resolution, MA* **Does not include older programs that were reorganized into newer degree programs. International Service, MIS* a Justice, Law, and Society, MS Terminated as a result of doctoral program review, 1994–1998. Literature, MA b Mathematics, MA Terminated as a result of master’s program review, 1998–2000. Organization Development, MSOD c Painting, MFA Terminated as a result of graduate program review under point 4, 2002–2003. Performing Arts: Arts Management, MA Performing Arts: Dance, MA

110 Graduate and Professional Education particular professional and academic constituencies. units therein. AU does not have a unified graduate The overall commitment to quality is reflected in the school or centralized dean of graduate studies. In each fact that about nine out of 10 AU graduate students are of the six schools and colleges, graduate affairs are in programs that either are accredited by the relevant overseen by an associate dean. Each school or college bodies in their fields or are members of their fields’ has an educational policy committee (EPC) or similar leading professional societies. However, there has been representative body that oversees graduate programs. concern for a long time that some programs have not Beyond that, practices differ greatly according to the been able to maintain the same level of quality and dis- size and needs of the respective teaching units. tinction as others. The last Self-Study Report, in 1994, Individual departments and divisions have widely recommended that “the university should carefully varying systems of advisors and committees to run review each of its master’s and doctoral programs.” specific degree programs in ways that meet the diverse Taking this recommendation to heart, the university and distinctive needs of each field. Nevertheless, there are has conducted a series of program reviews since 1994 university-wide academic regulations that govern grad- in order to guarantee the continued quality and distinc- uate education; they are approved in the manner dis- tion of its graduate programs. In this process, the cussed in the chapter on governance. administration and faculty have devoted considerable energy and resources to the task of evaluating the over- Proposals for major program changes, such as the cre- all role of graduate programs relative to the mission of ation of a new degree, must first be approved by the the university, as well as to assessing the quality and via- EPC or faculty council of the initiating teaching unit, bility of individual programs. then by the dean of the major teaching unit (school or college), and finally by the provost, president, and The reality of the university’s situation is that funds, Board of Trustees. In some cases, the beginning of this faculty, and facilities are limited and must be mar- process involves multiple levels of decision-making shaled and husbanded carefully to achieve maximum within a college or school (e.g., individual depart- benefits. A graduate program must fit the mission of ments, the college-level EPC, and the dean in the the university and then earn its place by attracting suf- College of Arts and Sciences). Prior to fall 2002, all ficient numbers of high-quality students and by major program changes were also considered by the recruiting and retaining faculty members who are Graduate Studies Committee of the former University excellent teachers and productive, influential scholars. Senate, which transmitted its recommendations to the Not all programs have been able to meet these strin- provost. Under the streamlined structure of faculty gent criteria. Recognizing this problem, President governance adopted in fall 2002, the Joint Committee Ladner in point 4 of his plan stated that “there will be on Curriculum and Academic Programs of the new significantly fewer master’s and doctoral programs, but Faculty Senate considers only proposals that affect with much higher academic quality and support.” This more than one major teaching unit. However, all pro- proposal was put into effect during AY2002–2003, posals for major program changes continue to be cir- coincident with this self-study process. Although it is culated for comment among all the deans and the therefore not possible for this self-study to fully evalu- chair of the curriculum committee. ate the ultimate outcome of this ongoing effort, the progress made to date is discussed later in this chapter. The general thrust of these changes is to give the departmental and school or college faculty greater EDUCATIONAL OFFERINGS autonomy over graduate programs. Indeed, most Figure 8.1 lists all current graduate degree programs responsibility for developing, assessing, and altering and also indicates major changes since 1994. Changes graduate programs lies with the faculty in the individual resulting from specific program review efforts are so departments and divisions. Thus, the primary responsi- noted; other program changes have emanated from fac- bility for overall program quality is in the hands of the ulty initiatives under procedures discussed below. This faculty most closely associated with each program. This list reflects the concentration of graduate offerings in relatively decentralized system encourages faculty mem- the social sciences, policy disciplines, and professional bers to stay current with developments in their fields fields, but also reveals the diversity of the university’s and gives them flexibility to initiate and incorporate distinctive offerings in the arts, sciences, and humani- changes that help ensure students are exposed to emerg- ties. Figure 8.1 does not include special and innovative ing ideas and practices. Nevertheless, centralized over- graduate programs, such as nondegree certificates, sight and assessment activity have increased during the weekend programs, and joint or dual degrees in more past decade, as discussed below. than one field, which are covered separately below. Mission Statements Program Administration A threshold question that must be answered when any Graduate and professional programs are administered new program is considered, or when any existing pro- in a decentralized fashion through the six major col- gram is reviewed, is whether the offering fits within leges and schools, as well as the individual teaching the overall mission of the university. To assure that

Graduate and Professional Education 111 Mission Statement for individual graduate programs are compatible with the lic administration. The school also has the Key MA in International stated goals (such as high quality, engagement, and Executive Program, which fosters the development of Development global focus), all teaching units have adopted mission senior federal managers. Another example is the week- Program Goals: The MA in statements for their graduate and professional programs. end interactive journalism MA program. international development These statements were drafted by faculty in the individ- Not all special programs award degrees. Among the is a professional master’s ual programs and approved at the department and degree program designed to notable examples are SPA’s Campaign Management school or college level. Such mission statements are provide a multidisciplinary, Institute and Public Affairs and Advocacy Institute, expected to reflect the unique characteristics of each integrative learning both of which are highly regarded nondegree, short- program and to link individual programs to the univer- experience combining theory duration, intense training programs for professionals sity’s overall mission. For example, see the mission state- and practice in international in the field of political management. WCL offers a cer- development with a focused ment for the MA in international development in SIS. tificate program in human rights and humanitarian concentration (for example on democracy and Special and Innovative Graduate Programs law. In the College of Arts and Sciences (CAS), some nontraditional and interdisciplinary graduate pro- governance, economic AU offers a wide range of special and nontraditional grams are offered as certificates, such as the certificate policy, environment, or graduate programs, especially at the master’s level and gender). Students in dance and health fitness management. Many more in nondegree certificate programs. These special and completing the program will traditional disciplines in the arts and sciences also offer part-time programs give the university the ability to have substantive knowledge certificate programs requiring fewer credit hours and identify and offer specific educational (and, in some in international development somewhat less rigorous standards (e.g., no comprehen- and in their concentration instances, professional training) opportunities. This sive examinations) compared with traditional master’s (including theory, flexibility is especially important for an institution that degrees. Most of the programs require similar admis- economics, research relies so heavily on tuition revenue for overall financial sions credentials to those applying for full MA pro- methods, field knowledge), stability. In addition to these special and part-time grams. The certificates range in length from about 15 to analytical ability (including programs, many teaching units have created dual or critical thinking, policy 24 credit hours. joint degree programs that encourage interdisciplinary analysis, and ethical understanding), as well as study at the graduate level. Another distinctive feature of AU graduate programs is the selection of joint and dual degree programs, applied skills (including Many of the special programs were developed to serve including several offered in partnership with WCL. language, research methods, specific constituencies—often working, professional and policy evaluation). These are a joint JD-MBA program with the Kogod adults who want to build their credentials or switch Distinctive aspects of the School of Business, a joint JD-MA in international careers. Some of these programs lead to degrees. For program include experiential affairs with SIS, and a joint JD-MS in justice with example, SIS has the Executive Master’s Program, learning, a research SPA. KSB and SIS also collaborate on a dual MBA- which can be completed in 10 months full time or 15 capstone, commitment to MA degree in international affairs. public service especially months part time. The executive master’s is for midcareer among poorer communities, international relations professionals, and students in STUDENT BODY PROFILE and student engagement in a the program can receive credit for “significant profes- Enrollment Trends global learning environment. sional experience.” Another example is the AU-OPM Graduates of the program (Office of Personnel Management) Partnership, which American University has a diverse body of graduate are prepared for a wide range of policy, research, is offered by the School of Public Affairs (SPA) in close and professional students who are enrolled in a wide advocacy, and service conjunction with the federal government. This pro- range of disciplines across six separate schools and col- careers in international gram allows federal executives to earn an MA in pub- leges. As of fall 2003, total graduate and professional development in the public, private, and not-for-profit sectors. Master’s, Doctoral,Figure and 8.2 Law Enrollments Master’s, Doctoral, and Law Enrollments

3,500 3,130 3,074 2,997 2,978 3,000 2,829 2,834 2,735 2,692 2,628 2,608 2,500

2,000 Master’s 1,636 1,503 1,522 1,576 Doctoral 1,398 1,475 1,500 1,323 1,345 1,374 1,286 Law

1,000 579 Enrollment Headcount 561 586 575 563 577 564 553 563 529 500

0 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 Fall Semester

112 Graduate and Professional Education enrollment (including certificate programs, non- enrollment at AU were recorded in 1997–1998, at the The Weekend Program degree students, and WCL) was 5,426 students, or time of the Asian financial crisis, which had a dispropor- in Interactive nearly half of the overall student enrollment of tional influence on enrollments of international stu- Journalism 11,709. Even excluding WCL (which is entirely grad- dents. These factors illustrate that graduate enrollments The weekend interactive uate), other graduate programs accounted for more are often affected by fluctuating national and interna- journalism program offered than one-third of all non-law enrollments tional conditions that are beyond the university’s control. by the School of Communication is a good Graduate enrollments have fluctuated since 1994. As Nevertheless, the fact that the law school and certain example of the flexibility shown in Figure 8.2, non-law master’s enrollments other programs were successful in maintaining or even that students and the (which represent the majority of total graduate enroll- increasing enrollments at a time when general gradu- university can gain from ments) fell from 1994 to 2001 but then recovered par- ate enrollments were shrinking shows that graduate special programs. In 1999 tially in 2002, while law enrollments exhibited a rising enrollments are not completely dependent on external the journalism faculty decided that technological trend (reaching a historic high of 1,636 in 2002). conditions and that different programs can be affected changes in the field meant Doctoral enrollments remained relatively stable from in different ways by the same external environment that the weekend master’s 1994 to 2002, ranging between 553 and 586 with no (see Figure 8.3). Generally speaking, the programs with degree programs in discernable trend. In fall 2003 doctoral enrollments the most distinctive market niches, improved physical traditional print and dropped to 529, primarily due to the elimination of facilities, and enhanced national reputations have been broadcast journalism no several programs. the most successful in recruitment in spite of fluctuat- longer served students well, ing external conditions. The issue of how to manage as evidenced by declining Although the drop-off in graduate enrollments in the graduate financial aid in the face of changing enroll- applications, enrollments, mid-to-late 1990s now appears to have been temporary, ment patterns is discussed later in this chapter. and student quality. Instead, it caused considerable concern on campus at the time. In students were seeking other retrospect, these sorts of fluctuations are normal and Degree conferrals (shown in Figure 8.4) followed a ways to get the skills and should be expected to occur again in the future. trend similar to enrollments but with lags due to the training they need to work in Graduate enrollments were at a historically high level for time needed for program completion. A recovery in today’s integrated media AU at the beginning of this self-study period in 1994; it master’s degree conferrals may be expected in environment. As soon as the was unrealistic to expect them to continue at such a high AY2003–2004 as a result of the upturn in enrollments program was introduced, a level without interruption. During the U.S. economic in fall 2002 noted above. WCL conferred an average of full class of 18 students was enrolled; before they boom in the late 1990s, college graduates were getting 516 law degrees annually between AY1994–1995 and completed the 20-month good jobs and had less interest in going directly into AY2001–2002, with the highest level of 634 reached MA, 13 of the 18 reported master’s programs—especially those not of a professional in the last year of this period. The university conferred either obtaining a new job nature. Furthermore, the largest decreases in master’s an average of 59 doctoral degrees each year during this or getting a promotion with their current employer as a Figure 8.3 result of the program. Enrollments by School and Degree Program Students in the interactive Fall 1994–Fall 2003 journalism program have Master’s Programs (Non-Law) conducted research on the state of on-line journalism, School or College 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 helped produce a Web site Arts & Sciences 1,093 1,061 1,043 903 851 848 768 791 800 818 for the national convention Communication 253 330 323 331 288 309 302 280 294 306 of the On-line Journalism Business 567 534 506 491 497 536 581 519 518 480 Association, and produced International Service 725 686 646 645 563 598 587 598 739 872 material for WAMU’s Web Public Affairs 492 463 479 464 493 444 390 420 478 502 site. Additionally, the Total 3,130 3,074 2,997 2,834 2,692 2,735 2,628 2,608 2,829 2,978 faculty has been using the interactive program as a test bed for changes in the Doctoral Programs (Non-Law) full-time graduate and School or College 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 undergraduate journalism Arts & Sciences 464 483 471 473 459 470 463 450 448 416 programs. International Service 39 42 43 46 45 48 46 47 54 56 Public Affairs 58 61 61 60 59 59 55 56 61 57 Total 561 586 575 579 563 577 564 553 563 529

Law School Degree 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 JD 1,171 1,136 1,174 1,195 1,198 1,313 1,282 1,306 1,435 1,390 LLM 152 150 171 179 200 190 193 212 194 178 SJD 478 Total 1,323 1,286 1,345 1,374 1,398 1,503 1,475 1,522 1,636 1,576

Graduate and Professional Education 113 Figure 8.4 MMaster’s,aster’s, Doctoral, Doctoral, and and Law Law DegreesDegrees ConferredConferred

1400 1264 1265 1154 1206 1157 1174 1200 1130 1108 1119

1000

800 Master's 634 Doctoral 537 600 519 504 472 485 509 509 496 Law

400 Total Degrees Conferred 200 64 58 47 73 61 52 67 52 60 0 AY94–95 AY95–96 AY96–97 AY97–98 AY98–99 AY99–2000 AY00–01 AY01–02 AY02–03 Years

period, with some annual fluctuations but no clear Quality Standards and Indicators trend. Doctoral degrees exhibit a relatively low com- University policies set minimum criteria for entering grad- pletion rate, however—slightly more than one out of uate students: students must hold the equivalent of a bach- 10 doctoral students graduates each year—which sug- elor’s degree from a recognized university, and they must gests a problem that needs to be dealt with in the uni- have a minimum GPA of 3.0 (on a 4.0 scale) in their versity’s efforts to improve the quality of doctoral undergraduate studies. Individual programs may, on a case- programs, as discussed below. by-case basis, make exceptions to these policies where there Applications, Admissions, and Conversions are extraordinary or extenuating circumstances. Students whose native language is not English must demonstrate The data on fall applications, admissions, and conver- English proficiency, either by graduating from an institu- sions (see Figure 8.5) have important implications for tion where the main language of instruction is English or the university’s ability to recruit adequate numbers of by achieving a score of at least 600 (250 on a computer- high-quality graduate students. Applications to non- based test) on the Test of English as a Foreign Language. law master’s and doctoral programs fell from 1994 to 1999 but then recovered strongly between 1999 and Most teaching units also require applicants to take 2003 (master’s applications reached an all-time high in appropriate standardized tests, such as the Graduate Record Examination (GRE), Graduate Management 2003). Applications to the JD program (which account Aptitude Test (GMAT), or Law School Aptitude Test for about 94 percent of total law applications) showed (LSAT). University policy does not set uniform mini- a similar pattern but bottomed out earlier (1997) and mum scores for these tests for all teaching units; rather, reached a historic high in 2003. Acceptance rates have individual programs set their own admissions stan- varied over time and between programs, but the recent dards for these tests. Thus, responsibility for establish- increase in applications has enabled all programs to be ing and maintaining student quality criteria rests with more selective and to lower their acceptance rates in the the faculty in each program, who review and approve last year or two. applications based on factors most important for suc- Conversion rates have exhibited worrisome decreases in cess in the specific discipline. Also, higher academic certain years (exactly which years varies by program) standards have been established for graduate students but recovered substantially across the board in 2002 receiving financial aid, as discussed elsewhere. (the JD conversion rate was especially high in that Trends in these quality indicators for newly enrolled year). It is hoped that the elimination of some weaker graduate students are shown in Figure 8.6. Although master’s and doctoral programs and the strengthening GPAs are highly variable, depending on the school and of financial aid for the remaining programs, as dis- program of the student, they are the most common cussed below, will help to improve conversion rates for descriptor available. In fall 2003 entering master’s stu- the latter programs. All of these indicators vary signifi- dents had an average undergraduate GPA of 3.34, sig- cantly between individual programs and teaching units, nificantly above the minimum requirement and higher and performance in regard to student recruitment was than in any previous year in this self-study. For new one of the factors used in the program review process PhD students, GPAs were at their highest level of the to determine which programs would be kept and des- period in fall 2003 at 3.72, while for new law students ignated for enhanced financial aid resources. the average reached the highest level in 2002 at 3.37.

114 Graduate and Professional Education The examination taken by the largest number of enter- uals who bring a wide array of personal backgrounds ing graduate students is the GRE. Total GRE scores (on and outlooks to their studies. The diversity of the all three tests—verbal, quantitative, and analytical— graduate study body also reflects the university’s long- combined) increased notably for master’s students in standing tradition of openness to different groups in 2001 and 2002. For doctoral students total GRE scores society. As the provost noted in his speech on graduate tended to be higher than for master’s students but fluc- programs on April 24, 2002: tuated from year to year with no apparent trend. In the We must never forget that a shining achievement of Kogod School of Business (KSB), GMAT scores were this university’s graduate programs has been its history notably higher in 2000–2003 compared with of opening our learning community to people who 1994–1998 (1999 data were not available). At WCL, found closed doors or hostile environments elsewhere. average LSAT scores have remained steady during the By bringing women, persons of color, diverse reli- period, remaining within a range from 154 to 160. gions, different gender identifications, and varied sex- Overall, these indicators reveal modest but positive ual preferences to us, we have also helped to diversify improvement in most measurable aspects of new stu- institutions and professions here and throughout our dent quality in the last few years of the self-study period. world. (Supporting Document 8.3) Diversity This emphasis on recruiting a diverse student body is A diverse student body enables AU graduate students reflected in the composition of AU’s graduate student to share their classrooms and experiences with individ- body. With regard to gender, the majority of all graduate

Figure 8.5 Graduate Applications, Admits, Acceptance Rates, Registrations, and Conversion Rates Fall Applicants Admits Acceptance Registered Conversion Rate Rate Master’s 1994 4,191 2,799 66.8% 1,118 39.9% 1995 4,080 2,851 69.9% 1,097 38.5% 1996 3,806 2,877 75.6% 1,111 38.6% 1997 3,740 2,780 74.3% 1,089 39.2% 1998 3,631 2,789 76.8% 1,028 36.9% 1999 3,490 2,618 75.0% 889 34.0% 2000 3,714 2,849 76.7% 1,001 35.1% 2001 3,848 2,898 75.3% 958 33.1% 2002 4,759 3,378 71.0% 1,154 34.2% 2003 4,987 3,383 67.8% 1,195 35.3% Doctoral 1994 804 286 35.6% 101 35.3% 1995 852 312 36.6% 103 33.0% 1996 741 301 40.6% 101 33.6% 1997 785 294 37.5% 93 31.6% 1998 747 311 41.6% 104 33.4% 1999 697 281 40.3% 86 30.6% 2000 764 334 43.7% 87 26.0% 2001 799 363 45.4% 92 25.3% 2002 789 319 40.4% 99 31.0% 2003 844 196 23.2% 59 30.1% Law—JD Only 1994 6,088 1,762 28.9% 364 20.7% 1995 5,100 1,826 35.8% 373 20.4% 1996 4,602 1,868 40.6% 377 20.2% 1997 4,482 1,912 42.7% 381 19.9% 1998 4,540 1,935 42.6% 393 20.3% 1999 5,093 2,117 41.6% 523 24.7% 2000 5,514 1,813 32.9% 387 21.3% 2001 6,222 2,134 34.3% 395 18.5% 2002 7,785 2,280 29.3% 631 27.7% 2003 9,822 1,985 20.2% 404 20.4%

Graduate and Professional Education 115 Figure 8.6 GRE, GMAT, LSAT Scores and GPAs of New Master’s, Doctoral, and Law Students GRE GMAT LSAT GPA Fall Master’s Doctoral Master’s Law Master’s Doctoral Law 1994 1673 1815 520 157 3.23 3.42 3.23 1995 1662 1782 515 156 3.23 3.28 3.22 1996 1641 1764 512 157 3.24 3.35 3.26 1997 1653 1832 517 155 3.24 3.41 3.22 1998 1639 1733 524 154 3.23 3.41 3.24 1999 NA NA NA NA NA NA 3.29 2000 1647 1843 561 155 3.25 3.41 3.36 2001 1722 1758 560 156 3.26 3.54 3.32 2002 1710 1772 570 157 3.30 3.48 3.37 2003 - - 567 160 3.34 3.72 3.36 Note: Data for 1999 are not available due to a change in computer systems at the time when graduate admissions were being decentralized. Due to the change in reporting the Analytical GRE score, the 2003 average GRE is not comparable to previous years.

students at AU are now female. As of fall 2003, 63.1 ment, admissions, financial support, academic pro- percent of master’s students, 62.2 percent of doctoral grams, student services, and student life. The report students, and 58.1 percent of law students, or 61.8 developed a significant database on graduate students percent overall, were women. All of these percentages and also analyzed academic requirements in individual are significantly increased from the past. Also as of fall graduate programs and made comparisons with gradu- 2003, out of those students who chose to state their ate education at other universities. That report helped to race or ethnicity (about 73 percent of the total), 17.6 inform later changes in administrative practices, finan- percent were international (non–U.S. citizens), 12.5 cial aid policies, and other areas of graduate education. percent were African American, 8.6 percent were Admissions and Awards: Procedures and Policies Asian, and 5.7 percent were Hispanic (see Figure 8.7). In January 1997, the provost appointed the Graduate Although comparisons with older data are difficult to Affairs Council, which was chaired by the dean of aca- make because the categories have changed (the option demic affairs and included all the associate deans of not to state a race or ethnicity was added in 1998), the various schools and colleges (except WCL), plus these figures generally show somewhat higher propor- other university officials, the chair of the Graduate tions of minority and foreign students than were Studies Committee of the former University Senate, reported in the early and mid-1990s. The high propor- and a student representative. This council was charged tion of international students is especially significant with working on issues and procedures related to grad- because it demonstrates that AU is already a global uate program administration, admissions procedures, university in terms of graduate student composition. and financial aid policies. The council continued to EFFORTS TO IMPROVE STUDENT QUALITY meet until AY1999–2000, at which time its tasks were largely completed. The university’s last Self-Study Report recommended a major emphasis on improving the quality of graduate One major change that the council promoted con- students. The 1994 report stated that “the university has cerned admissions procedures. Although general been largely successful in achieving its [quality] goals for administration of graduate programs has been decen- undergraduates. The Steering Committee believes that tralized at AU since the 1970s, graduate admissions it is now time for the university to devote similar efforts remained more centralized until the 1990s. Up to that to accomplishing its goals for graduate students.” Since time, the centralized Office of Graduate Admissions, that time several initiatives have been aimed at assessing under the vice president of enrollment services, the current state of graduate education at AU, improv- processed all applications and maintained all admis- ing the efficiency of graduate program administration sions files (although files were sent to teaching units and enhancing the university’s ability to recruit and for admissions and aid decisions). Between 1999 and retain highly qualified graduate students. 2001, the entire admissions function was shifted to individual teaching units, and the centralized graduate In fall 1996, the assistant dean of academic affairs pro- admissions office was abolished in 2001. duced an exhaustive report, “Mapping Graduate Education at American University.” This report exten- Graduate financial aid—most of which is merit based, sively documented the university’s prevailing policies except in the law school—was formerly administered and practices with regard to graduate student recruit- through a two-tiered system. Most internal award

116 Graduate and Professional Education money was allocated to the individual schools and col- component) were renamed (more accurately) assistant- leges, and basic awards (tuition remissions plus ships. In practice, however, only the latter have actu- stipends) were offered by individual teaching units to ally been offered since the new nomenclature was individual students. However, a significant amount of introduced. Third, graduate financial awards can now additional award money was distributed in a central- be given only to full-time students. Fourth, graduate ized fashion by the former Graduate Studies awards can now be used only to recruit highly quali- Committee of the University Senate. This additional fied new students and not to support current students. award money included supplementary stipends for students already receiving basic teaching-unit awards as Fifth, and most importantly from a quality perspec- well as awards for special categories of students (inter- tive, in 1999 the provost established uniform mini- national students, U.S. minorities, students receiving mum academic requirements for all graduate and MA-only awards, doctoral dissertation fellows, and stu- professional financial awards. These new standards for dents qualifying for certain endowed awards). financial awards are significantly higher than the minimum requirements for admission discussed above and In the late 1990s a number of changes were instituted are also higher than the requirements that some partic- to streamline the graduate awards process with the ular programs had used in the past. The new stan- intention of enhancing recruitment efforts and ensur- dards, which apply to all graduate programs outside ing that aid was offered to the most qualified appli- the law school, are as follows: cants (all of these policies apply to internal financial aid only). First, most of the separate graduate awards •For master’s students, awards can be offered only to that were formerly distributed by the centralized those candidates with a minimum undergraduate Graduate Studies Committee were allocated to the GPA of 3.2 or higher. Students whose undergradu- individual schools and colleges. These supplementary ate GPA is lower may be offered an award if they funds can now be used more efficiently to enhance have a GPA of 3.5 or above in previous graduate recruiting efforts at the teaching-unit level. studies or their GRE total is at least 1800 or their GMAT total is at least 600. Second, the financial awards were renamed. Only awards with no service component may now be called •For doctoral students, awards can be offered only to fellowships, and they are to be offered only to the most those candidates with a minimum undergraduate highly qualified applicants. Awards with a service GPA of 3.5 or higher, except that students whose requirement (officially called a structured learning undergraduate GPA is lower may be offered an

Racial and Ethnic Diversity of Master s Doctoral, and LawFigure Students, 8.7 Fall 2003 Racial and Ethnic Diversity of Master’s, Doctoral, and Law Students, Fall 2003

International 17.6%

Caucasian African American 55.4% 12.5%

American Indian 0.2%

Asian 8.6% Graduation Cens Doctoral Students Rating “ Hispanicto Academic Program, Experie 5.7%

Note: Students who declined to state a race or ethnicity were not included in this calculation.

Graduate and Professional Education 117 Financial Aid Policies award if their graduate GPA is 3.75 or higher or Another restriction that requires greater scrutiny is the at the Washington their GRE total is at least 2000. requirement that university-funded financial aid be College of Law given only to full-time graduate students. Some pro- •For programs in which GRE or other standardized WCL determines its own grams (especially certain professional programs) would test scores are not appropriate measures of quality financial aid budget and like to be able to offer financial awards to qualified and (such as the MFA in studio art or creative writing), administers the awarding competitive students who are enrolled part time. It has programs have to specify the criteria other than of financial aid according been argued that these programs could potentially GPAs that will be used to select students who are to the law school’s own bring in and retain strong students, increase enroll- criteria. WCL’s approach to offered awards. Programs using such alternative cri- ments, and enhance their reputations through the financial aid reflects two teria also have to assess the results of using these cri- funding of part-time students, even if this is not key factors. First, WCL teria in their annual reports on their financial awards. does not have an under- appropriate in all disciplines or degree programs. graduate program and so Graduate Award Policies and Student In the past the administration has set the minimum does not have teaching Quality Objectives size of the base stipend given to doctoral students, and assistants. Second, the teaching units have had limited flexibility in supple- anticipated income of law Graduate award policies must ultimately be evaluated graduates is significantly in terms of their effectiveness in enhancing the recruit- menting these base stipends, although actual award higher than that of the ment of high-quality students. Although each of the practices have varied across programs. Many graduate doctoral programs. policies governing financial awards at AU has its ration- programs have argued for greater flexibility in the Consequently, financial aid ale, there is concern about whether some of these poli- design of award packages in terms of the amounts of at WCL (as at most U.S. cies are effective in achieving the university’s stated both stipends and tuition remissions in order to make law schools) represents a objectives for all graduate programs, or if some of these their award offers more competitive in their own dis- much lower percentage of policies may not be hindering the achievement of those ciplines. As this Self-Study Report goes to press, efforts tuition revenue than it does objectives, at least in some programs. Given that some are already under way to increase both the amount and in non-law graduate of these policies have only recently been enacted (e.g., the flexibility of award offers starting in AY2003–2004, programs, and it is especially in the doctoral programs that have been desig- primarily need based in response to the temporary enrollment decline of the nated for enhanced resources as a result of the current rather than merit based. late 1990s described earlier), and given the ambiguities in the quality indicators examined above (e.g., the lack program review process (discussed below). Continued These factors are reflected efforts in this direction will be essential for the university in the following financial of clear improvement in average GRE scores for doc- to achieve its ambitious goals for graduate programs, aid programs that WCL toral students, who are more heavily reliant on financial offers to its students. aid than other graduate students), it is time for the uni- especially doctoral programs, as stated in the president’s point 4. • The largest financial aid versity to study the impact of its current award policies. program, which is based Moreover, given the diversity of graduate programs Some have raised the same issue of flexibility regarding upon financial need, makes described earlier (e.g., professional vs. academic, mas- the duration of financial aid, especially for doctoral awards to students in the ter’s vs. doctoral), the same regulations may not make programs. It has been argued that the past norm of JD and master’s of law sense for all programs, and individual programs should three years of support in most AU doctoral programs (LLM) programs. Returning be allowed greater flexibility to design award policies is both unrealistic in terms of average time to comple- students are eligible to that are best suited for attracting high-quality appli- tion and uncompetitive with comparable PhD pro- receive a grant under this cants in their fields. program even if they had grams at other universities. The limited amount of not received an award One concern is the requirement that internal AU financial support at the dissertation stage (where only when they entered WCL. financial awards be given only to newly admitted grad- a small number of fellowships has been available for • Members of the WCL uate students. Students who enter without a financial each program each year) has been argued to be a fac- faculty apply to the dean for award are not eligible for such support later on, regard- tor contributing to the low PhD completion rate funding to hire students to less of how well they perform (with the exception of noted earlier. Progress is currently being made in this serve as research assistants those applying for dissertation fellowships). Although area, as some doctoral programs are now making four- during the academic year such a strategy may be effective in recruiting and year aid offers to newly admitted students for fall and during the summer. retaining the funded students, some students who are 2003. Further progress in ensuring that financial Faculty members have the admitted without aid may choose not to come to AU awards be of adequate duration is also crucial for discretion to hire students accomplishing the goals set forth in point 4. based upon the students’ because they have no prospect of qualifying for aid academic record, later. Also, this policy may inhibit the retention of stu- It has also been argued that the academic service experience, and interest in dents who enter without aid or delay the completion of requirements attached to most internal financial the professors’ legal their degrees. Some prestigious graduate schools allow awards may make AU financial offers less attractive disciplines. In this regard, continuing students to compete for aid in the second than those of competing institutions, especially for the research assistants are a year and beyond, making these schools more attractive very best students. Thus, the possibility of offering tool to retain existing to students admitted without aid. It has therefore been some true fellowships with no service requirement has students rather than a suggested that recruitment and retention goals would been suggested as an additional recruiting tool. This means to attract entering be better served by allowing teaching units to offer option is allowed under current regulations but has students. some portion of their awards to the best students, not been exercised. Finally, the usefulness of maintain- (Continued on p. 119) regardless of their status as incoming or continuing. ing some of the separate award categories with very

118 Graduate and Professional Education specific restrictions (e.g., Hall of Nations awards, grants) are also vital to help relieve the constraints (Continued from p. 118) which give only a tuition remission but no stipend to imposed by reliance on scarce internal funds. In addi- • WCL awards 10 full- international students) has been questioned, as com- tion, targeted fund raising to create more endowed tuition fellowships to pared with the alternative of allocating the funds cur- awards or to raise money earmarked for graduate sup- applicants to the JD rently reserved for those special purposes to general aid port could also be very helpful. Some efforts toward program who have both budgets and allowing teaching units more flexibility in this objective have already been made, especially in outstanding academic awarding those funds. regard to seeking gifts designated for the support of records and a demonstrated dissertation fellowships. commitment to perform Whether current rules and practices are effective in legal service in the public achieving their intended objectives is thus an important The rest of this section focuses on internally funded interest or public service question. As the university strives to meet its goal to fur- graduate financial aid, that is, the total institutional sectors. These fellowships ther improve the academic quality and national reputa- support given by the university in the form of both are guaranteed for three years. They represent an tion of its graduate programs, it needs to evaluate stipends and tuition remission, which is budgeted in proportion to graduate tuition revenue. Actual gradu- extraordinary level of whether giving individual programs the flexibility to financial support for law ate tuition revenue and internal expenditures for grad- design financial aid policies tailored to their own spe- students and enable WCL to cific recruitment, retention, and academic goals would uate financial aid for the period FY1995–2002 are attract exceptional students. create more competitive award packages in particular shown in Figure 8.8 (these data exclude the law school, Moreover, they reinforce fields and disciplines, thus enhancing the overall quality which sets its own financial aid budget as discussed WCL’s reputation as a and reputation of AU graduate programs (see sidebar on elsewhere). The total revenue generated from (non- national leader in the area of WCL financial aid policies). Much progress has already law) graduate tuition increased from $25.8 million in public interest law. taken place, especially in regard to the amount and FY1995 to $33.0 million in FY2002. The total dollar • WCL awards Mussey- duration of awards, but concerns remain about some of value of (non-law) graduate financial aid increased Gillett merit fellowships to the other restrictions discussed above. from $7.2 million in FY1995 to $8.9 million in first-year JD students who FY2000 but then decreased slightly over the next two have outstanding academic Graduate Aid Budgeting years to $8.8 million in FY2002. records. One-half of each fellowship represents a Graduate financial aid in general includes both inter- The increased dollar value of graduate financial aid grant that is not contingent nal and external sources of funds. At AU the vast (up to FY2000) reflects primarily increases in the upon the performance of any majority of graduate aid is internally generated, rather amount of remitted tuition rather than higher stipend service by the fellowship than obtained from outside sources. For example, in values. While the value of remitted tuition has grown recipient and is not treated FY2002 total external financial aid for non-law gradu- systematically, due primarily to increased tuition costs, as income for federal ate programs was $1.2 million, as compared with $8.8 the dollar value of graduate student stipends has not income tax purposes. The million in internal financial aid for the same programs. increased consistently. Stipend expenditures were vir- other half is awarded if the recipient chooses to accept Clearly, the relatively small amount of externally tually flat from FY1995 through FY1999, averaging a research assistant position funded financial aid for graduate students is a major about $2.7 million to $2.8 million. Stipends then with a member of the WCL issue for the university and a significant obstacle to increased to $3.5 million in FY2000 but fell off to faculty. improving student quality. $3.2 million in FY2001 and fell further to $2.5 million in FY2002—below the FY1995 level. This reduc- Over the next decade, the university needs to explore tion in stipends occurred despite the fact that actual various ways in which it can seek to increase external tuition revenue in FY2002 was 28 percent higher than funding of financial aid, such as through greater incen- in FY1995. tives for faculty to seek research grants that support graduate students (e.g., as research assistants). Greater Some of the shortfall in financial aid expenditures in efforts to recruit students with their own sources of FY2002 can be attributed to the fact that an unusually outside funding (e.g., government or international large portion of the budgeted financial aid was not

Figure 8.8 Actual Graduate Tuition Revenues and Financial Aid Expenditures,

All GraduateAll Programs Graduate Programs except except Law, Law, Internal Internal Funds OnlyFunds Only in thousands FY95 FY96 FY97 FY98 FY99 FY00 FY01 FY02 Tuition revenues $25,760 $27,648 $27,417 $26,568 $30,075 $31,677 $32,035 $32,961 Financial aid expenditures Stipends $2,741 $2,869 $2,937 $2,827 $2,716 $3,510 $3,258 $2,507 Remitted tuition $4,437 $4,823 $5,158 $5,360 $5,424 $5,359 $5,589 $6,334 Total internal financial aid $7,178 $7,692 $8,094 $8,187 $8,140 $8,869 $8,847 $8,841

Discount ratio* 28.0% 28.0% 30.0% 31.0% 27.0% 28.0% 28.0% 27.0% *Total aid as a percentage of tuition revenues. Note: Average discount rate is 28.4%

Graduate and Professional Education 119 actually spent. In that year the budgeted amount of their quality and reputation in an environment in graduate financial aid was $10.3 million, but $1.5 mil- which they are exposed to periodic aid cutbacks if lion or about 15 percent of the budgeted amount tuition revenue is temporarily reduced. The university (mostly tuition remission) was not spent. This large needs to explore ways to stabilize the internal graduate proportion of unspent funds has been attributed aid budget over time, while recognizing the unavoid- mainly to increased oversight of compliance with able fact that tuition revenues are likely to fluctuate as award policies, especially in regard to the academic they have in the past, and within the context of AU’s standards required for students to continue on existing overall tuition-dependent financial situation. financial awards. This, plus strict enforcement of the These concerns lead to a number of questions about high academic standards for award offers to newly the current discount rate policy. One question is admitted students and the prohibitions against offer- whether the current target rate of 29 percent is appro- ing aid to current students who were initially admitted priate or whether it should be higher or lower. A sec- without aid and to part-time students (as discussed ond question is whether the rate should be held above), made it difficult for some teaching units to constant over time or varied—more than it has been in expend all of their budgeted aid funds. As a number of the past—depending on financial conditions and weaker graduate programs have been terminated in enrollment targets. A third question is whether gradu- 2003, it is hoped that the remaining programs will be ate financial aid should be linked only to graduate better able to recruit students who can meet the high tuition revenue, or if such aid should instead be bud- expectations set for initial awards and maintain high geted out of overall university revenues. A fourth ques- academic standards after they matriculate. tion is whether it is appropriate to count as “aid” funds However, these factors do not fully account for the that are given as compensation for services performed, financial aid drop-off in FY2002, especially in regard such as work as a teaching, laboratory, or research to stipends, which were budgeted to be only $2.8 mil- assistant. It could be argued that compensation given lion ($700,000 less than actual stipend expenditures in to graduate students for performing academic services FY2000). The reduced budget for stipends in FY2002 should not be counted as aid for purposes of setting a must be attributed primarily to the manner in which discount rate. the internal aid budget is set. For non-law graduate It would be beyond the scope of this self-study to sug- programs, the aid budget is calculated as a percentage gest answers to these questions. Nevertheless, the fact of the anticipated (projected) gross revenue generated that so many questions were raised about graduate aid by graduate tuition according to a specified “discount budgeting during this self-study process suggests the ratio.” This ratio was raised dramatically in the early need for the university to revisit the issue of how those 1990s but has been relatively steady during this self- budgets are set, especially in light of the ambitious study period and is currently set at 29 percent (see goals for enhancing graduate program quality and rep- Supporting Document 8.4). According to this policy, utation set forth in the president’s point 4. It would if graduate tuition revenue is expected to decrease, also be helpful to research how other universities cope financial aid allocations have to be reduced, as with revenue fluctuations in setting their graduate aid occurred in FY2002—unless the discount ratio is budgets and whether comparable universities have raised sufficiently. Of course, the actual discount rate developed methods of stabilizing those budgets that (i.e., stipends and tuition remissions actually encum- could be used at AU. Finally, efforts to diversify the bered divided by actual tuition receipts) can deviate sources of financial aid to include more external or from the planned or anticipated discount rate, but endowed funds, as discussed above, are also essential during the period of this self-study the extent of such for easing the university’s excessive reliance on dis- variation has been slight. The actual discount rates in counted tuition revenue for graduate student support. Figure 8.8 averaged 28.4 percent between FY1995 and FY2002, with relatively small deviations. ASSESSMENT OF GRADUATE PROGRAMS AND LEARNING In light of the fluctuating trends in graduate enrollments discussed earlier in this chapter, the discount Most assessment of AU’s graduate programs to date rate policy needs to be reevaluated in relation to the has been at the institutional level. The last Self-Study goal of using graduate aid to bolster the quality of Report, in 1994, urged that “the university should care- admitted students. Because aid budgets influence fully review each of its master’s and doctoral pro- graduate programs’ ability to recruit high-quality stu- grams.” Since that time, the university has conducted dents, and those programs are judged largely on the a series of summative reviews of all graduate programs. basis of their students’ quality and performance, a The questions in these reviews have centered on the reduction in financial aid because of a temporary drop competitiveness of specific offerings, including such in graduate tuition revenue forecasts can have an issues as student quality, as measured by standardized adverse impact on the assessment of program quality. test scores; undergraduate GPAs; demand for programs It may be difficult for graduate programs to enhance as evidenced by numbers of applications, acceptance

120 Graduate and Professional Education rates, and conversion rates; and indicators of student modest. Thus, although the doctoral program review success, as measured by retention rates, completion took important steps in terms of identifying stronger rates, and the ability of students to obtain employment and weaker programs, in many respects it merely set in their fields of training. Additionally, several reviews the stage for the more dramatic changes in doctoral have investigated faculty qualifications for graduate programs that came later, as described below. teaching, especially at the doctoral level. Although the Master’s Program Review (1997–2000) reviews have identified some programs that no longer fit the university’s mission or that do not live up to the In 1997 the university launched a major review of 27 university’s quality expectations, those have been a (nearly half) of its master’s degree programs. These minority. For the most part, the finding of these units conducted self-studies during AY1998–1999, reviews is that AU has designed a unique set of gradu- which were then reviewed by the Graduate Studies ate programs that attract good students; provide them Committee and by the provost. Programs with exter- with high-quality, rigorous instruction; and prepare nal accreditation were exempt from review, as were them for highly successful careers. those for which the performance data indicated satisfactory operation. During recent years the university has also made progress toward formalizing the assessment of student Four master’s degree programs were terminated as a learning objectives and outcomes. Assessment infor- direct result of the review (see Figure 8.1 for details). mation is collected at the course, program, and insti- Several other programs were asked to combine existing tution levels and is used by faculty and administrators degrees that had small numbers of students (for exam- to inform decisions regarding program changes, ple, the MA degrees in applied anthropology and improvements, and terminations. This section will dis- anthropology were combined into the MA in public cuss the results of the summative assessments (pro- anthropology). A small number of master’s programs gram reviews) that have occurred since 1994, followed with low enrollment were scheduled to be evaluated by the progress the university has been making in again later, and some of them were among those rec- other areas of the assessment of graduate education. ommended for termination in AY2002–2003 as a result of the president’s point 4, as discussed next. Doctoral Program Review (1994–1998) Graduate Education and the 15-Point Plan Beginning in fall 1994, the university began a two- stage doctoral program review. In the first stage, all 12 As noted earlier, the president’s 15-point plan contains existing doctoral programs prepared self-studies. two important provisions relative to graduate educa- General recommendations at this stage included better tion. First, point 3 states that “the undergraduate expe- record keeping on the progress of students through the rience will become the central focus of the university.” programs, a call for a review of the use and allocation Second, and more specifically on graduate programs, of graduate assistantships and fellowships, additional point 4 states: allocations for student recruitment, and reexamination [T]here will be significantly fewer master’s and doc- of the requirements for tools-of-research and compre- toral programs but with much higher academic hensive examinations. quality and support. The standards for retaining Doctoral programs were then subjected to a second doctoral programs in particular will be, first, review beginning in 1996. This review was overseen by a whether they contribute significantly, with high university-wide faculty committee, which made recom- quality and high demand, to AU’s distinctive iden- mendations to the provost. The review committee was tity; and second, whether they are or will likely asked to evaluate all doctoral programs in terms of qual- become a truly prestigious national program within ity (students, overall program, faculty, external ranking, five years. This standard will allow some programs and output), cost-effectiveness, and centrality to mission. to expand slightly, while others will consolidate or The review committee ranked the doctoral programs into disappear. four categories and submitted its findings to the provost. The rationale for point 4 was clear: a university with At the conclusion of this process, one doctoral program limited financial means cannot excel in all graduate (the PhD in physics) was terminated. In addition, the fields and needs to concentrate its scarce resources on School of Education’s two doctoral programs were com- those with the greatest potential for distinction. AU’s bined into one. Several doctoral programs were warned graduate programs varied greatly in regard to a variety that they needed to make improvements, while a few of criteria, such as external rankings, fitness to mission, others were designated to receive additional support. and ability to offer a distinctive educational niche. Although the original promise of the doctoral program Some programs had already been identified in the doc- review was that the programs that received a more toral and master’s program reviews of the 1990s, favorable ranking would receive significant infusions described above, as weak in several respects. Some had of additional resources, the reallocations of funds that chronically low enrollments, leading to an inability to resulted from this process ended up being relatively sustain dedicated graduate courses (as opposed to

Graduate and Professional Education 121 mixed graduate-undergraduate courses). Some had Following all these debates and discussions, the provost trouble recruiting students of acceptable academic announced a procedure to move forward with point 4 quality. Certain doctoral programs were found to have during AY2002–2003. The process began with the fac- faculty who were not sufficiently active in scholarship ulty in the graduate teaching units doing self-studies to be directing doctoral-level student research. and making recommendations about program changes, including possible program eliminations or restructur- In response to these problems, the university felt that ings. Each graduate program was also asked to write a it needed to undertake the unpleasant but necessary short mission statement for use in evaluating its per- task of terminating the weakest graduate programs in formance. To avoid duplication of past efforts, teaching order to devote more resources to the stronger ones. As units were expressly encouraged to use the results of the provost stated in his speech of April 24, 2002 (see past program reviews and self-studies when feasible, Supporting Document 8.3) the goal of point 4 was although new information was gathered and analyzed to elevate our performance and profile as a graduate as necessary. Then the Educational Policy Committee institution, through a mix of targeted investment (EPC) of each school or college prepared reports on all and the elimination or consolidation of other pro- the graduate programs in each unit and made recom- grams that are not and cannot contribute to our dis- mendations to the deans, who in turn had to make tinctive identity and enjoy truly prestigious their own recommendations (which might agree or dis- reputations in five years. agree with those of their EPC’s) to the provost. These aspects of the 15-point plan stimulated a At every stage in this process, individual departments healthy debate on the campus. Point 3 caused concern that disagreed with the recommendations of their in some quarters that graduate education would be college-level EPC or dean were free to state their rea- devalued at AU in the future. Point 4 attracted criti- sons for dissent and to appeal those recommendations cism from members of the university community con- to the next higher level. All documents and recom- cerned about the disappearance of particular graduate mendations pertinent to this process were made avail- programs, as well as from those who felt that reducing able, electronically or through other means, for public the number and breadth of graduate programs would comment (see Supporting Document 8.6). The be a mistake for the prestige and quality of the univer- provost met personally with all units whose deans rec- sity as a whole. Other issues that were raised included ommended eliminating doctoral programs. the following arguments: that smaller programs are Unlike the previous graduate program reviews discussed not necessarily of low quality; that the elimination of above, this review process did not create a university- some graduate programs could adversely affect under- wide faculty committee to review the recommenda- graduate students or faculty recruitment in those tions from the deans; in this new process, the deans’ fields; and that graduate education at AU would recommendations went directly to the provost. The allegedly become too concentrated in the social sci- deans’ recommendations were also discussed at a meet- ences and professional fields, to the detriment of the ing of the new Faculty Senate, and the provost arts, humanities, and natural sciences. announced his recommendations at a special senate The university provided ample opportunity for mem- meeting in April 2003 (see Supporting Document 8.6). bers of the university community, either individually The provost’s recommendations included the elimina- or at the teaching-unit level, to express their opinions tion of five doctoral programs and eight master’s about the future of graduate education at AU. Points degrees (or 11 total master’s programs, if one counts 3 and 4 emerged out of the Campus Conversations, individual tracks separately). These changes (see Figure which were described in Chapter 2. After the 15-point 8.1 above for a detailed list) were approved by the pres- plan was announced, the former University Senate dis- ident and Board of Trustees in May 2003 and are effec- cussed points 3 and 4 extensively in spring 2002. tive starting in the fall 2003 semester. Summarizing faculty concerns, the senate unani- As the university moves forward in implementing point mously passed a resolution (see Supporting Document 4, attention will naturally shift to the goal of improving 8.5) which stated: the quality of the remaining graduate programs, espe- Graduate education at American University is a cially the directive that each doctoral program is central component of the institution. Our master’s expected to become a “truly prestigious national pro- and doctoral programs are essential for attracting gram within five years.” Given this ambitious objective, high-quality faculty and do much to enhance it will be vital for the university community to discuss undergraduate education at American University. realistic expectations for how much prestige actually can Care must be taken in efforts to strengthen our be achieved by the remaining doctoral programs over undergraduate programs to ensure that the charac- the next five years and whether they will receive suffi- ter of the institution is not altered in such a way that cient increases in support and resources to enable them the quality and essentiality of graduate education to achieve that prestige. Part of this discussion must are diminished. entail clarification of what it means to be a “truly pres-

122 Graduate and Professional Education tigious national program” and whether this is to be faculty recruitment, faculty development, and teach- judged simply in terms of standard external rankings or ing loads. Most external rankings of doctoral programs also by other criteria, such as offering unique and dis- are based primarily on faculty publications and scholar- tinctive programs that fit the university’s mission and ship. Thus, such issues as greater internal research for which there is a market among adequate numbers of support, improved incentives for outside grants, highly qualified graduate students. Active participation course releases for dissertation supervision, and overall from the affected teaching units, along with review and teaching load reductions for faculty who are active in feedback at the university level, will be essential for a research are critical for success in creating more positive outcome of this process. nationally prestigious programs. Most universities with higher-ranked graduate programs already offer In his speech of April 24, 2002, the provost made it faculty superior working conditions along these clear that mere reallocations of existing support from dimensions. For AU to rise to a higher level of ranking the eliminated programs (most of which were rela- for its graduate programs, providing the faculty with tively small) would not be sufficient to achieve such the time and resources necessary to achieve higher lev- ambitious targets: els of scholarship is absolutely indispensable. Some of the improvements suggested above can be Moreover, AU’s ability to recruit and retain new fac- accomplished through curtailment of activities or ulty with greater research potential, which is also crit- redirection of resources. But that is only a part of ical for future program rankings, will also depend on the story. More positive action and attendant invest- the salaries and working conditions that the university ments of resources are needed if we are to move to is able to offer. Thus, AU’s ability to achieve its ambi- a different level of achievement in our graduate pro- tious goals in point 4 of the president’s plan will be grams. . . . I do not believe that elimination or con- inextricably linked to its success in other areas, such as solidation of programs will provide resources ensuring the university’s financial health and working sufficient to bring our programs with the greatest to reduce average teaching loads. potential to new standards of excellence. (See Aside from student financial aid and faculty research Supporting Document 8.3) support, other elements are also important for gradu- The provost recommended several specific measures: ate programs to achieve their potential for enhanced reputations and quality. For example, enlarging library • enacting an “immediate increase in . . . the stipend collections in graduate research fields, maintaining portion of graduate financial aid packages,” as well state-of-the-art computer facilities and access to on- as increases in the “percent of the students [in] the line resources, and enhancing other types of learning program receiving support and the duration of the services oriented to graduate students (see Chapter 6) award,” to make those packages more competitive are also crucial ingredients for upgrading graduate and • acknowledging the “value of work done by faculty in professional education. the supervision of theses and dissertations through External Accreditations and Rankings appropriate compensation policies” The large amount of attention given to eliminating a • working “to recruit and retain the best full-time, relatively small portion of AU’s graduate programs in tenured, and tenure-track faculty,” and ensuring recent years should not obscure the fact that the vast that they “develop fully as scholars, teachers, artists, majority of AU’s graduate students are currently and professionals” through enhanced faculty devel- enrolled in programs with recognized forms of opment efforts. national distinction. More than 90 percent of all grad- As noted earlier, progress has already been made in uate students are enrolled in programs that are either increasing graduate stipends and the duration of gradu- individually accredited by, or are members of, their ate awards in the financial aid budget for AY2003–2004, respective professional organizations. The outside eval- and further enhancements to graduate awards are being uators who represent these accrediting bodies and planned for successive years. These enhancements will be other organizations that engage in assessment of graduate programs have consistently found AU’s programs helpful in improving student quality in those programs to meet the standards for accreditation or membership designated to receive them. Nevertheless, money is only in these fields. Nine programs have received outside a part of the picture for recruiting high-quality students, accreditation or belong to professional organizations: albeit an important and indispensable part. The other part of the picture is that high-quality students will be •Department of Chemistry: accredited by the more attracted to AU if the university is successful in its American Chemical Society goal of raising the national prestige of its graduate pro- • School of Communication: Journalism and Public grams, especially at the PhD level. Communication programs accredited by the For that purpose, however, the primary incentives that Accrediting Council on Education in Journalism the university needs to provide are more in the areas of and Mass Communication

Graduate and Professional Education 123 • School of Education: accredited by the National • School of International Service: The master’s pro- Association of State Directors of Teacher Education gram is ranked first by the Association of and Certification (both elementary and secondary) Professional Schools of International Affairs in the numbers of applicants, minorities, and women, and • School of International Service: member, third in GPA quality (after Yale and Syracuse). Association of Professional Schools of International Affairs (APSIA) • School of Public Affairs: SPA was ranked twelfth in the nation by U.S. News and World Report. •Kogod School of Business: accredited by the Association to Advance Collegiate Schools of • School of Public Affairs: The programs in public Business (AACSB International) management, criminal justice, and policy analysis were ranked sixth, fifth, and fifteenth, respectively, •Department of Psychology, doctoral training pro- by U.S. News and World Report. gram in clinical psychology: accredited by the American Psychological Association • School of Public Affairs: The PhD program in political science was ranked in the top 20 programs • School of Public Affairs: accredited by the National nationally in terms of books published by faculty by Association of Schools of Public Affairs and the journal PS. Administration; also an institutional member of the Association for Public Policy Analysis and Data Collection and Survey Research Management and a member of the Academy of To assist with the assessment process, the Office of Criminal Justice Sciences Institutional Research and Assessment collects a vari- •Washington College of Law: approved by the ety of data and provides a number of services to pro- American Bar Association and a member of the gram administrators and faculty. Among other things, Association of American Law Schools. the office fulfills requests for specialized reports to departments and schools assessing program objectives All of the programs that are subject to external accred- and student quality. The office publishes a yearly fact itation have received favorable outcomes in their most book that contains information on a number of differ- recent reviews. In addition, some teaching units that ent graduate indicators, including enrollment, demo- do not have formal accreditation processes or profes- graphics, entering student qualifications (e.g., GRE, sional organizations nonetheless conduct occasional GMAT, undergraduate GPA, and graduate GPA), reviews, either internally or through external peer admissions (applications, admits, registered), course review. For example, SIS has conducted a non-mandated enrollments, average class size, degrees conferred, and internal program review in which it invited four dis- student-to-faculty ratios. tinguished scholars in international relations to visit for several days, meet with faculty and students, and In addition, members of the university community produce a report assessing the school and advising on have access to a computerized information system of its mission and programs. data, Eagledata, which can provide specialized reports and information about graduate students and pro- In addition to external accreditation, other programs grams. For example, program directors can track attri- have received outside recognition. While most gradu- tion by getting information on students who were ate programs are not ranked by any organizations, the eligible to enroll but did not and admits who have following are a few examples of recognition of pro- made a deposit but have yet to enroll. grams that have been ranked: Although not unique to the graduate programs, the •Kogod School of Business: Two prestigious news mag- university conducts an extensive survey research pro- azines, Business Week and U.S. News and World Report, gram developed to track student satisfaction and out- as well as the Wall Street Journal Guide to Business comes. Of particular note is the addition, since the Schools 2003, have recognized KSB in their most most recent Middle States reaccreditation, of the recent rankings of top business schools, with the Wall annual Campus Climate Survey, which was first Street Journal survey of corporate recruiters ranking administered in 1996 as a graduate-only survey. The the school’s MBA program 42nd in the world. survey asks questions on a wide variety of issues criti- •Washington College of Law: The clinical program is cal to the academic experience, including student sat- ranked third in the nation by U.S. News and World Report. isfaction with courses, faculty, fellow students, advising, and major program of study and asks stu- •Washington College of Law: The international pro- dents to rate the academic quality of their programs gram is ranked seventh in the nation by U.S. News and to evaluate such services as the library, career cen- and World Report. ter, and financial aid. The information in the Campus •Washington College of Law: The overall law school Climate Survey is used by the President’s Cabinet, program is ranked in the first tier of law schools by Provost’s Council, and others to help make informed U.S. News and World Report. decisions about graduate programs.

124 Graduate and Professional Education The university also conducts an annual census of each grams, and faculty. Satisfaction with the overall aca- graduating class, including graduate students. The sur- demic program was 84 percent among graduate stu- vey focuses on data that can be used to measure students responding in 2002, up from 73 percent in dent learning and satisfaction. Students are asked to 1997, when the survey was first administered rate how well their programs provided them with skills (see Figure 8.9). and how satisfied they are with the Career Center and This level of satisfaction is confirmed at the time of grad- with the availability of internships and co-ops, and uation. Survey results from the graduation census for the they are asked for information about their future past three years (AY2000–2002) show an upward trend plans, including employment. More than 80 percent in the percentage of graduates who agree or strongly of students typically respond to this survey, and meas- agree that they were satisfied with their academic pro- ures are in place to increase this even further. The uni- gram and with their general experience at AU (see Figures versity is currently exploring ways to improve the 8.10 and 8.11). Large and rising percentages also state usefulness of these survey results by offering depart- that they are proud of being an AU graduate and would ment- and program-specific questions tailored to recommend AU to prospective students. addressing specific learning outcomes. Graduate students also report that their academic pro- Beginning in 1997 the university began to conduct grams meet the objective of giving students the skills surveys among alumni, including those who com- and background to prepare them for employment in a pleted graduate programs. Alumni are asked an exten- field related to their degree. According to the 2002 sive list of questions regarding employment, including graduation census, 52 percent of the graduates are whether they are satisfied with the degree to which AU employed at the time of graduation and more than 60 prepared them for their career. As with the graduation percent are working in a field related to their degree. A census, questions regarding skill development are also sizable portion of graduates (about 20 percent) con- included. A sample of alumni is selected among those tinue their studies. Alumni survey results show that of who graduated one and five years earlier. the alumni who graduated one or five years ago, most The results of these surveys have been gratifying and of these graduates are working in managerial-executive demonstrate generally a high level of satisfaction or professional positions. More than 60 percent of among students and alumni with their graduate pro- graduate alumni are working in a field directly related grams. The Campus Climate Survey consistently to their studies. They also gave high marks for how shows that more than 80 percent of graduate students well their experiences at AU prepared them in differ- have a high level of satisfaction with their courses, pro- ent areas, such as conducting original research and

Figure 8.9 Campus Climate Survey Results Campus Climate Survey Results Students SRatingtudents Rating “Strongly “Strongly Agree” Agree” or “Agree”“Agree” to Courses,to Courses, Faculty, Faculty, and and Academic Academic ProgramProgram 100%

90% 87 86 86 87 85 84 85 85 84 81 82 83 82 80% 79 74 73 72 73 70%

60%

50%

40%

30%

20%

10%

0 Spring 1997 Spring 1998 Spring 1999 Spring 2000 Spring 2001 Spring 2002

Courses Faculty Academic program

Graduate and Professional Education 125 acquiring substantive knowledge in their field. More The results of all these surveys provide crucial feedback than 95 percent of graduate alumni gave a grade of B about the quality of academic programs and are increas- or higher to AU in terms of their overall experience at ingly being incorporated into outcomes assessment plans AU (see Supporting Document 8.2). at all levels. While findings have sparked serious discus- Some individual programs also conduct their own sur- sions about program quality, even more could be done to veys of student satisfaction and outcomes. For exam- encourage and facilitate the use of survey results. ple, in the Kogod School of Business, the Graduate Program-Level Assessment of Student Learning Programs Office conducts an on-line student satisfaction survey of all current MBA students at the middle During the recent concentration on summative assess- of the fall and spring semesters. There is also an ment (program reviews), the university decided to employment survey of recent MBA graduates con- delay requiring all master’s and doctoral programs to ducted jointly by KSB and the Career Services Council establish assessment plans for student learning, similar (an outside agency). to those at the undergraduate level, until the program

Figure 8.10 Graduation Census Survey Results Master’s Students Rating “Strongly Agree” or “Agree” to Academicto Academic Program, Program, Experience, Experience, Pride,Pride, and and Recommend Recommend AU AU 95% 94% 93 92 92 92% 91 90 90% 89 89 88 88% 87 86 86% 85 84% 82% 82 80% 78% 76% Spring 2000 Spring 2001 Spring 2002

Academic program Experience Pride Recommend AU

Figure 8.11 Graduation Census Survey Results Doctoral Students Rating “Strongly Agree” or “Agree” to Academic Program, Experience, Pride, and Recommend AU

100 100% 86 85 85 84 83 82 81 80 81 75 80% 74

60%

40%

20%

0 Spring 2000 Spring 2001 Spring 2002

Academic program Experience Pride Recommend AU

126 Graduate and Professional Education reviews were completed in 2003. Nevertheless, as of Faculty in all programs are aware of the need to set spring 2003, many units have already established for- very explicit learning objectives for their courses and mal assessment plans for their graduate programs and to ensure that these objectives are met in their classes. are currently assessing their learning objectives; other Deans, department chairs, and division directors work units will be doing so in the near future. All programs closely with faculty to ensure that course learning have adopted mission statements and will use these as objectives are explicit and are consistent with the over- the foundation of any assessment plan. The university all learning objectives of the programs. Learning recognizes the importance of moving forward on reg- objectives are communicated to students in a variety of ularizing and formalizing this type of assessment. ways, including course descriptions and syllabi, as well as through class discussions and specific assignments. Furthermore, in reviewing the requirements and One common practice at the graduate level is for pre- assessment mechanisms used by various departments, vious comprehensive examinations to be made avail- we find that graduate programs already collect an able to current students, thus giving them a precise impressive amount of assessment information. idea of the expectations for those examinations. Regardless of whether they have a formal assessment Research seminars and thesis or dissertation defenses plan in place, all graduate teaching units use an exten- (which are open to the public) also give graduate stu- sive array of effective assessment tools, most of which dents a good idea of expectations in regard to research. are mandated in the university’s Academic Regulations or the individual program’s rules. For example, of the 54 In addition to the regular review of course offerings master’s programs listed in the AY2002–2003 catalog: and content, student evaluations of teaching are an important component in evaluating student learning • 91 percent require comprehensive exams and satisfaction at the graduate level. Chapters 5 and 7 • 58 percent require either a thesis or other substantial provide more detail on how these evaluations are con- research paper ducted and what kinds of results have been obtained. Among other things, these evaluations rate how well • 69 percent require training in a specific tool of the instructors communicate their learning objectives. research As noted in the faculty chapter, student evaluations of • 13 percent require an oral exam teaching play an important role in faculty personnel actions. The importance given to student evaluations •9 percent require completion of an oral, written, or of teaching in faculty appointments, promotion, electronic portfolio tenure, and salary decisions is a notable form of assess- • 16 percent require certification in a foreign language ment that has been used at AU since long before the current self-study period began. •7 percent require a final exhibition or performance. CONCLUSIONS AND RECOMMENDATIONS Collection of assessment information from internship supervisors, focus groups, specialized surveys of stu- AU’s graduate and professional programs have gone dent outcomes, passage of professional exams, and exit through extensive assessment in the last few years, interviews are among some of the other assessment resulting in the termination of some weaker programs methods used by graduate programs. and a concentration of resources in the remaining stronger ones. In spite of some temporary problems in Course-Level Assessment: Learning Objectives and the late 1990s, graduate enrollments have rebounded Course Evaluations in the early 2000s, allowing for an increase in selectiv- The faculty in all graduate teaching units regularly ity in admissions and a rising trend in student quality evaluate their courses for whether the content is up-to- indicators. Over the past decade, there have also been date and consistent with the missions and goals of more than 15 new or reorganized graduate programs, their respective programs. Proposals for major course as well as numerous innovations within existing pro- changes (e.g., new courses, different prerequisites, or grams, and the number of dual degree and interdisci- course elimination) generally emanate from the faculty plinary graduate programs is increasing. All these and are subject to approval by teaching-unit heads changes reflect a growing congruence between the uni- (e.g., department chairs or division directors), deans, versity’s mission and its graduate and professional offerings. Many of AU’s graduate and professional and the provost. Many minor changes to course syllabi programs have achieved significant external recogni- and requirements are implemented regularly by teach- tion, a number are highly ranked in their fields, and ers and do not require administrative review. In addi- many serve distinctive market niches. tion, graduate courses are subject (along with undergraduate courses) to the university’s “sunset” As the provost said in his April 2002 speech in refer- rules, according to which courses that have not been ence to graduate education at AU, “our condition is offered for a certain period of time must be evaluated sound and respectable, but not sufficiently strong to for possible elimination. merit complacency” (see Supporting Document 8.3).

Graduate and Professional Education 127 In many respects, what is remarkable about graduate prestige of their publications (especially those who and professional education at AU is how much has actively supervise theses and dissertations), as well been accomplished in an environment of limited as the enhanced library collections and other aca- resources. Scarce funds for graduate financial aid, a demic support services required for graduate pro- high teaching load for faculty expected to be active in grams to reach substantially higher levels of quality research and thesis supervision, and even cramped and reputation. Overall, the university needs to physical facilities in some cases (although the latter ensure that there is a good fit between the goals it constraint has been much relieved in recent years) have sets for graduate programs and the resources avail- been perennial challenges. The fact that AU has been able for achieving those goals. able to run competitive graduate programs in so many fields under such conditions is a tribute to the dedica- 3. Finally, the university needs to reexamine the ways tion of the university’s faculty, staff, and students. in which graduate financial aid is both budgeted and administered to determine whether current As discussed throughout this chapter, the university is practices are effective in achieving the quality goals currently seeking to achieve its maximum potential for that have been set for graduate students. The prac- offering high-quality graduate programs in as many tice of using a fixed tuition discount rate to budget fields as are feasible, consistent with the resources and mission of the institution. In order to further these goals, graduate financial aid should be reevaluated in and to make the promise of the president’s point 4 a real- order to determine whether some other budgetary ity, the following three recommendations are made: mechanism might be better suited to assuring a more stable flow of financial aid for recruitment 1. AU’s graduate programs have now been through purposes and quality objectives. Care must also be nearly a decade of almost continuous self-study and taken to ensure adequate levels of enrollment of university-level review, culminating in the recom- tuition-paying graduate students to support the mended termination of five doctoral programs and financial aid requirements of those programs that 11 master’s programs in 2003. The time has come depend heavily on such aid. In addition, the prac- to shift the framework of summative assessment tice of enforcing uniform awards policies in all units efforts to a more regular and predictable basis, with (except WCL) needs to be reconsidered; the univer- less emphasis on eliminating programs (except sity should study whether the high-quality graduate those already on notice of the need to improve) and programs that have survived the recent program more emphasis on the positive goals of enhancing current programs’ quality and reputation. reviews should be given greater flexibility to deter- Therefore, the university should take a break from mine the policies they follow in allocating their own further overall program reviews for at least a five- aid budgets (e.g., in regard to new versus continu- year period starting in fall 2003, while continuing ing students and part-time versus full-time stu- to monitor the progress of all programs in raising dents), while still upholding strict minimum their quality and visibility consistent with their mis- academic standards that are appropriate for each sions and resources. Such a moratorium on further discipline. The university also needs to work to program eliminations would also provide an oppor- increase the ratio of external to internal financial aid tunity for teaching units to move ahead with imple- for graduate students through improved incentives menting other forms of assessment of their for outside research grants as well as targeted fund- educational programs and student learning. raising activities. 2. In moving to the next phase of point 4, the univer- Supporting Documents sity needs to conduct a serious and open discussion 8.1 2002 Graduate Campus Climate Survey of what it means to be a “truly prestigious national program” in each doctoral field, including whether 8.2 Graduate Alumni Survey this is to be judged only in terms of standard external rankings or also by other criteria, such as offer- 8.3 Provost’s Address to the Senate, 2002, adequate numbers of highly qualified graduate stu- 8.4 American University Budget, Fiscal Year 2004 dents. Care must be taken to set ambitious but realistic goals that can be achieved with feasible 8.5 University Senate resolution on 15-Point Plan amounts of new resources—and to ensure that and Graduate Education, Spring 2002 resource infusions are adequate for achieving those 8.6 Provost’s Address to the Senate, 2003, outside funding, and reduced teaching loads for faculty who are expected to increase the amount and

128 Graduate and Professional Education

ENGAGEMENT CHAPTER9 ENGAGEMENT

INTRODUCTION and nurtures their ideas, and encourages them to seek The House That opportunities and occasions for service. In return, stu- AU Built he concept of service has always been an integral dents want to identify with the sources that motivate The house known as “The part of the way in which American University T them—to associate with the causes, viewpoints, and House That AU Built” defines itself. At its inception, the university articu- work of the faculty; to be part of research; and to serve exemplifies energetic and lated its vision of a great national university, with serv- the community through such organizations as the committed engagement. AU ice as an essential part of its mission. Central to its Peace Corps, Habitat for Humanity, and the District student members of AU stated purpose was the preparation of public servants Habit for Humanity spent of Columbia public schools. who would serve their country effectively. This vision two years beginning in has grown along with the institution and is firmly This chapter reports on engagement at American September of 1999 entrenched in all aspects of the university. University. After examining both the literature on planning, fund raising, and engagement and the National Survey of Student building a home with, and On October 3, 2001, President Benjamin Ladner called for, a Washington family— Engagement (NSSE) measures, the task force on the AU community to action on 15 strategic points, a mother with five children. each targeted to “mobilize our strengths and transform engagement adopted the following definition: Students wrote grant American University into an academically distinctive, Engagement is the systematic encouragement and applications, organized intensely engaged [italics supplied] community,” consis- implementation of active, deep connections between fund raisers, published quarterly newsletters, and tent with the Statement of Common Purpose. That elements of the student experience that integrate wrote news releases for statement highlights a distinctive American University academic programs and campus life and the larger community publications feature—in President Ladner’s words, the capacity “to local, national, and international communities. linking learning to service. turn ideas into action and action into service” through, In the end they planned, among other things, “extensive engagement with Examining the degree to which AU embodies this definition proved difficult for two reasons: 1) the univer- selected the recipient Washington and global affairs.” family, raised $70,000, sity has no centralized and systematic way of collecting AU has evolved in the past quarter century into what mobilized 300–400 information about engagement activities; and 2) the volunteers, publicized, its president has accurately called “a private university concept itself is difficult to categorize and operational- and—yes—built a Habitat with a public responsibility.” In so doing, it has com- ize. Nevertheless, the task force took on the ambitious home. Currently AU Habitat mitted its intellectual and human resources to thinking task of documenting engagement at the university. It for Humanity is working to about people, artifacts, and institutions in ways that solicited examples from schools and colleges, from refurbish the Afghan result in personal invitations to action. American departments and organizations, and from faculty, staff, embassy and to raise funds University has successfully effected a secular manifesta- and students. The result is a rich array of individual to help build their next tion of the notion of vocation or calling. Students here and institutional commitments. Our findings are Habitat home. believe optimistically in results. They have an unshake- divided into five interrelated sections: able confidence that their goals will be realized, that studying at AU empowers them to achieve those ends 1. Engagement inside the classroom. Engagement at AU and that an AU education prepares them to serve. encompasses the notion of turning ideas into action. What goes on in the classroom is the base upon which At American University, engagement is not a merely a the university builds unique forms of engagement. catchphrase; it is a spirit that permeates the total campus environment. Prospective students, even those as young 2. Engagement on campus outside the classroom. as sophomores in high school, are attracted to AU Although American is a university, the faculty are because of its history and culture of engagement. AU involved with students in a manner similar to faculty students report that they intend to make a difference in of smaller liberal arts colleges. They direct intern- the world—they choose AU because of their strong com- ships, serve as club advisors, and interact with stu- mitment to such values as human rights, diversity, indi- dents on university committees. The institution as a vidual freedom, and activism. From first-semester whole encourages and facilitates intercultural under- freshmen to graduate students, AU students are person- standing and interaction. Campus activities are ally involved. They get things done. They are organizers. designed to engage students with Washington, D.C. They are agents of change. AU students are, as a class, 3. Engagement in service. AU students actively seek confident of their goals and the support they get in pur- opportunities to give their talents to the commu- suit of those goals. They are proud of what they do and nity. Whether through informal programs organized what AU is. This is practical idealism at its best. by the university or separate efforts by students and The result of the spirit on campus is empowerment faculty, members of the AU community are com- and confidence. AU gives its students access, respects mitted to serving others.

Engagement 129 Information from NSSE 4. Engagement in experiential learning. The univer- sions, by 124 students. Fifty-five percent were under- Recent research has sity’s location in Washington, D.C., affords the graduates; 40 percent graduate students; and 5 percent focused especially on what opportunity to involve students in a variety of nondegree or certificate students in the college. makes a successful under- hands-on learning experiences, and the size and Twenty-one students took part in the poster display, graduate experience. From scope of AU’s student internship programs are proof which was extended to expose their works to a wider Richard Light’s book Making of success in this area. audience. About 75 others from the campus commu- the Most of College: nity attended as guests. For the first time, faculty and Students Speak Their Minds 5. Engagement with the global community. At a time graduate student commentators were added to the (Harvard University Press, when there is a danger of both isolationism and panel in addition to the usual moderators. Nine grad- 2001) to articles in the increasing global conflict, AU actively fosters a global Journal of Higher Education, uate students and 13 faculty (including two depart- civil society in various ways: by sending students ment chairs) participated as either moderators or active learning and real abroad, by drawing a diverse global population of connections are factors commentators. students here, and through unique programs, such as that make a difference in Like the CAS conference, the School of International colleges and universities. the American University of Sharjah or helping to Service (SIS) Undergraduate Research Symposium has At the same time, institutions rebuild the Iraqi educational system. such as the National Science been very successful in bringing faculty and students This work provides a foundation for conclusions and together to discuss and celebrate student research. Foundation are asking how recommendations regarding engagement opportuni- to create engaged institu- Undergraduates plan, implement, and evaluate the ties, outcomes, and issues for the decade ahead. tions through relationships annual symposium. In addition, graduates publish with the broader society ENGAGEMENT INSIDE THE CLASSROOM their own research journal, Swords and Plowshares, (Ramaley Presentation at working with faculty. Conference on Under- There are myriad engagement opportunities centered graduate Research, fall on the production, dissemination, and utilization of The third event is the National Conference on 2002). American University new knowledge. While engagement between faculty Undergraduate Research. This year, for the second has a history of both types and students occurs at most institutions, AU faculty consecutive year, American University was the most of engagement but only display a strong commitment to have the classroom published institution in the National Conference on limited quantitative data to experience extend beyond lectures. Faculty mentor Undergraduate Research Journal. The annual competi- assist with assessment. and collaborate with students on research, bring tion, which judges academic papers presented by The National Survey of experts into the classroom, and encourage integrated, undergraduate students, received nearly 2,000 submis- Student Engagement exciting learning opportunities. Sustained interaction sions this year. Only 341 of those were published, and (NSSE) began in 2000 to between faculty and students is not a recent phenom- 56 of those published came from AU. In addition to present an alternative, enon at AU—it is a tradition. these events, students often serve as coauthors with quantitative set of measures faculty on conference papers, peer-reviewed articles, of excellence in higher The University Honors Program provides a vibrant and even books. education. Each year, NSSE example of faculty mentorship. Students in the honors surveys freshmen and program identify courses and professors to assist them By providing significant mentoring to applicants for seniors from across the with honors supplements and capstone projects. Each nationally competitive, merit-based fellowships and country. NSSE created five awards, AU faculty have responded vigorously to benchmarks to measure special project requires additional academic work for both student and professor. In the 2002–2003 aca- President Ladner’s increased emphasis on faculty-student engagement: “the extent to interactions outside the classroom. In 2002, 45 faculty which undergraduate demic year, the university reported 383 honors supple- provided support on all aspects of applicants’ training. students are involved in mental projects, a 17 percent increase over the educational practices previous academic year. An honors supplement to a Two professors, Sigrun Biesenbach-Lucas (CAS) and linked to high levels of regular course usually involves additional work, Christine Chin (SIS), designed and supervised credit- learning and develop- adding even more intellectual challenge to the course. bearing independent studies in order to prepare stu- ment.” The five bench- Honors capstone projects require creation of an addi- dents to write Fulbright grant proposals. Their marks are: tional major project related to the course. Capstone students, both master’s degree candidates, went on to • the level of academic projects run the gamut from in-depth case studies to win Fulbrights to Russia and Indonesia, respectively. challenge original performing arts productions that are pro- Perhaps no faculty member has been more generous • active and collaborative duced by students working with the faculty member of with her time than Professor Michelle Egan (SIS), faculty advisor for the Marshall Scholarship competition. learning their choice. • student-faculty In six straight years of work with the Office of Merit interactions Three events highlight faculty-student engagement Awards, this dedicated faculty member has mentored a with research. The College of Arts and Sciences (CAS) • enriching educational dozen successful candidates for nationally competitive experiences holds a research conference that involves both under- student scholarships. She also has developed a curricu- graduate and graduate students. The Student Research lum for five major grants providing funding for grad- • supportive campus Conference (SRC) has been held each year since 1997. environment. uate degree work in the United Kingdom and Ireland. Both the current CAS graduate student council presi- In so doing, she has greatly enhanced the learning out- (Continued on p. 131) dent and the incoming president assist with the cre- comes of the application process. Through this curricu- ation, organization, and promotion of the conference. lum students learn to identify and assess graduate degree In 2003, 61 presentations were made during 15 ses- programs overseas, develop a grant proposal, understand

130 Engagement British politics and current events, and succeed in a for students to explore how disciplines relate to one (Continued from p. 130) panel-style interview. another. The numerous councils, discussed in the American University international engagement section of this chapter, are participated in the survey in In addition to mentoring students with research, fac- examples of how faculty from different disciplines 2000 and 2002. In the 2002 ulty members combine the best of theory and practice, work together on issues of global importance. Students Institutional Benchmark bringing a wide array of experts into the classroom. have numerous opportunities to study in joint or Report AU placed signifi- The Washington Semester Program, for example, interdisciplinary programs. The JD-MA in interna- cantly higher than most draws students from all over the country and the tional affairs program, for example, pairs the JD from doctoral-extensive univer- world. Its faculty organize approximately 60 seminar sities and national univer- the Washington College of Law with a master’s degree classes with speakers such as members of Congress, top sities on four of the five in international affairs from SIS. Students in the JD- executive branch officials, diplomats, journalists, and NSSE benchmarks for first- MA program gain a multidisciplinary perspective on nongovernmental organization representatives. Many year students. For “level of international legal issues by combining their JD sessions are held in the offices of the guest speakers in academic challenge” and courses with courses at SIS that emphasize the politi- the White House, on Capitol Hill, at the US “student interactions with cal, historical, and economic dynamics of transna- faculty,” AU placed above Department of State, and in other federal agencies, tional interactions. But their program of study goes far the 90th percentile of first- foreign embassies, and newsrooms. For Washington beyond the classroom, providing opportunities for year students at doctoral- Semester Program research projects, faculty work them to advise governments and nongovernmental extensive institutions. AU closely with eight to 12 students to help them develop organizations on international issues of emerging received the highest a research project on a current public policy issue, col- benchmark score (the 100th importance and to grapple with new international lect data by engaging Washington experts, and write a percentile) for “active and law–related challenges, such as those faced by coun- paper of 35 to 50 pages. collaborative learning” and tries in transition. “enriching educational While it is not unusual for students at colleges and Another element amplifying engagement at American experiences” in this same universities across the country to have the opportunity University is technology. One example is a category. For the bench- to hear elected representatives and other government mark “supportive campus graduate–advanced undergraduate class taught simulta- officials speak, it is unusual for them is to have such environment” AU was in the neously (and synchronously) in South Africa at the speakers in an individual class. Yet, this is common- 60th percentile for freshmen University of Witwatersrand and University of Ft. place at AU. One doesn’t usually think of a biology at doctoral-extensive Hare, Ann Arbor, Michigan (University of Michigan) course as a likely venue for members of Congress, but institutions. and at AU. Adding an asynchronous component, stu- it was for Professor Susan Solarz’s Conservation Turning to senior-year dents form cross-national teams, adopt stakeholder roles Biology course in the spring of 2003. Her class typifies results, AU placed higher and grapple with policy issues related to a global infor- what often happens in AU classrooms. than most doctoral- mation society. By engaging directly with each other extensive institutions in all Two members of the House of Representatives with and the faculty through a range of information-related categories. AU scored well diametrically opposing views about conservation technologies, students actively engage with issues, link- above its peers: for “level of talked to Professor Solarz’s class of 20 students. The ing theory to practice and experiencing the impact of academic challenge” (80th Honorable Earl Blumenauer (D-Ore.), a leading advo- information technology directly and personally. (See percentile); “student-faculty cate of conservation in urban areas, and the Honorable article in International Studies Perspectives, February interactions” (80th Richard Pombo (R-Calif.), a leading supporter of the 2003, for a description and analysis of this project.) percentile); “active and collaborative learning” property rights movement, both talked to the class and ENGAGEMENT ON CAMPUS OUTSIDE (80th percentile) and had extensive question-and-answer periods. Students THE CLASSROOM “enriching educational also heard from Marshall Jones, deputy director of the experiences” (90th Fish and Wildlife Service; Jim Lyons, former undersec- Learning experiences at American University move percentile). The “supportive retary of Natural Resources and Environment; beyond the classroom. The university places a high campus environment” Margaret Spring, minority counsel for the value on integrating student experiences in the class- benchmark is slightly higher Subcommittee on Oceans, Atmosphere, and Fisheries room with the everyday life of the campus, the city, than other doctoral-extensive of the Senate Commerce Committee; and Katie and the world. It seeks ways to encourage interaction institutions (60th percentile) McGinty, chair of the White House Council on among people of different backgrounds and foster and lower than national Environmental Quality in the Clinton administration. understanding. It seeks to enrich the student experi- institutions (20th percentile). ence by providing multiple venues for students to These data overall capture In day-to-day classroom studies, faculty often use the interact with the Washington, D.C., and international quantitatively and pedagogy of engagement. Professor Julie Mertus community. comparatively what students teaches a graduate and advanced undergraduate class and colleagues visiting in which students learn to write policy papers for policy Orientation and Mentorship Outside campus have said during makers who come to her class to participate in the the Classroom the last decade. AU learning process. students are intensively Throughout the institution, schools, colleges, and aca- engaged; they are Just as interactions between leading experts and stu- demic departments encourage student-faculty interac- connecting seriously with dents are not unusual, interactions between students tion outside the classroom. Four Saturday afternoons learning and with the D.C. and faculty of different disciplines are also typical at each semester, Professor Ed Smith (CAS) offers non- community and the world. AU. Throughout the curriculum, opportunities exist traditional, thematic tours of Washington, providing

Engagement 131 Contemporary Multi- insights into the city and its history that are not avail- 2002, the program expanded to include a kick-off event Ethnic Voices able in any other context. The history department held early during Welcome Week and then followed up AU offers a course entitled sponsors History Day, when seniors present the results with two days of neighborhood visits. Each evening, the Contemporary Multi-Ethnic of their two-semester-long major seminar. The psy- entire group came together for facilitated discussions. Voices. Core faculty for the chology department sponsors an evening program The office of International Student Services (ISS) fosters course come from three each fall to help students learn more about internship cross-cultural interaction by developing and supporting different disciplines: possibilities. The sociology department has an “open programs that enhance engagement between interna- literature, performing arts, hours” evening for students to drop by to discuss soci- and anthropology. The tional and domestic students on campus and between ology as a major or minor and careers in the field. faculty are also from three AU students and local and international communities. different ethnicities. Most departments have at least one well-publicized Students develop and lead outreach event of this type each semester as well as The International Friendship Program was formed to walking tours of AU and professionals from Washington, D.C., as guest speak- help AU international and domestic students come Washington, D.C., as part ers several times each semester. together on campus through friendship. One interna- of the course. There is tional and one U.S. student of the same gender are Faculty also participate in a range of honors program also a 6-10 hour service paired and are expected to get together for at least one activities from teas to British style debates highlighting learning requirement, hour a week. At its initiation in fall 2001, there were two faculty-student teams and an involved student which requires students to 50 pairs of students. In spring 2002, 24 new pairs were audience. Honors students have a “Take Your work with an organization made. The first International Friendship Gathering in Professor to Lunch” program, in which a student which targets a population February 2002 was very successful; monthly gather- from an ethnicity other invites a faculty member to lunch on campus. ings and other group events have been suggested. than their own. The course At the graduate level, specially designed programs at includes a field trip in The TALK series—Taking Action to Learn about KSB and SIS serve as orientations to graduate study in which faculty and students Kulture(s)—was designed in fall 2001 and piloted in which intense engagement is key. KSB’s orientation go to live theatre. spring 2002 to further enhance international and includes complex case studies requiring teamwork and domestic student engagement. Partnerships have been creativity and linking new students to faculty peers. developed with the sociology department’s Global issues are central to both programs. International Training and Education Program (ITEP) Understanding and Interaction and an honors section of the SIS Cross-Cultural Communication course to incorporate weekly class- Nowhere on campus is AU’s identity as an engaged room discussions with TALK facilitators and weekly institution more evident than in the Kay Spiritual Life journals to help students engage in a more personal Center. In addition to worship services, Kay offers way with the course material. ITEP students are programs reflecting its commitment to values such as trained as facilitators and earn internship or independ- human rights and dignity and social justice. In ent study credits for their participation. Discussions AY2001–2002, Kay hosted 1,505 events, including have been held about making the program a manda- workshop services, Kay-sponsored programs, academic tory component of the General Education Program in and nonacademic events, and community events. The Cross-Cultural Communication. Great Advocate Series brings well-known human rights defenders to speak on campus. The Campus Activities to promote understanding are also evident at Dialogues on Race in 2002–2003, cosponsored with the department level. The School of Education has a Multicultural Affairs, brought together groups of com- campus chapter of Kappa Delta Pi, the nationally recog- munity members to process their own reactions to nized honor society of future educators. Annually the race. And Table Talk roundtable discussions, held over school sponsors Myra Sadker Day, a national effort that lunch with an average of 50 participants, bring draws volunteers who individually or in groups identify, together practitioners and scholars on a regular basis to plan, and implement at least one activity that increases consider the moral dimensions of a variety of issues. gender equity and understanding. The day on campus culminates with an award presentation and reception. Programming to enhance intercultural understanding Two awards are presented, one to recognize organiza- begins during student orientation. The Discover DC tions and individuals for their work and achievements program provides a structured way for domestic and in gender equity; and the other, the Student Equity international first-year students to get to know one Award, to recognize a student who has demonstrated a another better during Welcome Week. Students are commitment to promoting equity and educational fair- divided into small groups and sent to various D.C. ness in classroom and community work. neighborhoods, using public transportation. They talk to residents and workers, observe their surroundings, Building a sense of campus community and encourag- and think about differences. Students are then asked to ing interactions among faculty, students, and staff are reflect on their experience and learn from other stu- highly visible priorities. Campus Beautification Day dents’ experiences. In its first year, the program drew has become an important university tradition. It is a more than 120 participants and more than half of day for campus clean-up, landscaping, and most them were involved in the follow-up discussion. In important, strengthening the university community by

132 Engagement bringing together students, faculty, and staff to work on meet with our students. The Office of Enrollment common goals. Traditionally, Campus Beautification Services and the International Student Services Office Day is scheduled before Freshman Day each spring. In bring embassy education officers to campus, listen to addition to the actual planting, weeding, and mulching their perspectives, and provide information about cur- that occurs, there are educational opportunities that rent and planned programs. Students serve as interns assist in building community while beautifying the in all facets of embassy operations and there is regular campus. The day is capped by an all-campus barbecue, information exchange. live music, and drawings for door prizes. Additionally, With more than 150 clubs and organizations on cam- campus groups who have “adopted a spot” and have pus, it’s not surprising that AU students are able to worked at beautifying it throughout the entire year are negotiate with a wide variety of speakers to broaden recognized for their efforts. and enrich their campus involvement. Recent speakers Bringing Washington, D.C., to Campus on campus include: Mikhail Gorbachev, Bill Clinton, American University’s schools and colleges make con- Buzz Aldrin, Ted Kennedy, Spike Lee, Homer Hickam, certed efforts to ensure that the many resources of Colin Powell, Coretta Scott King, Jon Stewart, Newt Washington, D.C., inform student learning. Once the Gingrich, James Carville, Kim Young Sam, Michael semester begins, three schools—KSB, SIS, and SPA— Eisner, Ralph Nader, Ted Leonsis, Al Berkeley, offer leadership programs for their first-year students. Charlton Heston, Pat Robertson, Oliver Stone, E.G. In SPA, first-semester students select and examine Marshall, Kareem Abdul-Jabbar, and Lech Walesa. social issues in small groups; they bring in experts as ENGAGEMENT IN SERVICE guest speakers and design and implement a class-wide community service project. At KSB, first-year students AU prides itself on turning: “ideas into action and in the leadership program have published a book of action into service.” To what extent does the university reviews, demonstrating their engagement in timely actually fulfill this promise? A careful examination of business issues and their connection to emerging the service activities at AU finds that the value placed research in their field. In SIS, students meet with lead- on service permeates the entire institution. ers from campus and the Washington community, Great Beginnings engaging both theoretical literature on political leadership and real-world case examples. AU attracts students who are committed to serving others. The 2001 freshman census indicates that Two premier AU teaching and research centers link almost 36 percent of AU freshmen anticipated volun- directly to the D.C. community. The Center for teering in college. In fact, 52 percent of freshmen in Congressional and Presidential Studies, directed by 2001–2002 performed volunteer services, many of Professor James Thurber in SPA, provides a wide range them repeatedly. Almost 43 percent of 2002 freshmen of teaching (Campaign Management Institute), anticipated volunteering, a sizable jump in the level of research, and public dialogue opportunities. The Pew interest in just one year. It is perhaps most telling that Charitable Trusts has provided significant funding to AU freshmen consistently place a higher value on “par- the center and recognized its effective engagement ticipating in community action programs” and “being with major issues of public trust at the national level. a community leader” than their peers at other institu- Also housed in SPA, the Women and Politics Institute, tions. This is consistent with the dramatic increase in under the directorship of Professor Karen O’Connor, the scope of student service initiatives. provides strong linkages between women leaders in D.C. and AU students and faculty. Additionally, both This intention to serve is put into practice almost centers engage international issues, exemplifying the immediately. From 30 students at its founding, the connections between the local and the global. Freshman Service Experience (FSE) has grown to more than 600 participants annually, half of the freshman Now an American University institution, the School class. New first-year students come to campus before of Communication’s American Forum brings panels of orientation, work in teams led by prior FSE grads (89 speakers to campus to debate topics of current interest student team leaders in 2001), engage in volunteer before students, who can question the panel, and the work (grouped thematically, from the environmental community at large. The new Center for Social Media to the international) during the day, and meet with sponsors events that bring media experts and produc- faculty and other experts in the evenings. During this ers of media together to discuss issues of social con- single week, freshmen volunteer more than 10,000 cern, e.g., the Environmental Film Festival, Women hours at approximately 60 different work sites. Since Make Movies Turns 30, the Human Rights Film 1998, approximately one-third of the FSE participants Festival, and the Labor Filmmaker’s Roundtable. volunteered again during the year. FSE allows students AU also has forged excellent relationships with the for- to interact with other first-year and advanced students eign embassies in Washington. Ambassadors often and faculty and ensures both a smooth transition to come to campus to be briefed by AU faculty and to the university and a meaningful learning experience.

Engagement 133 Peter Rabbit’s Garden Service in the Schools and Colleges the Fund for Peace. The Department of Performing Arts and the School of Education collaborate with a non- AU has developed a Service is an important component of all AU schools wonderful partnership with profit professional children’s theatre and arts education and colleges. The School of Communication, for Horace Mann Elementary organization on a program called Imagination Quest example, provides opportunities for graduate and School, just down the street (IQ). Working with school systems in the District of undergraduate students in public communication to from campus. American Columbia, Maryland, and Virginia, IQ artist-teachers, secure a nonprofit organization as a client, to conduct University’s School of researchers, and interns hope to provide ways for inter- quantitative and qualitative research, and to create Education helped set up a action in the classroom and for the arts across the cur- Web site for the school and strategic communication plans for the organization riculum. To date, IQ has been involved with over 100 sent technology experts to that can be implemented in conjunction with class- teachers, 250 parents, 40 principals, and 600 students. train teachers and provide room studies during the semester. The school’s technical support. The grade PRSSA, the student component of the Public The Marshall-Brennan Fellowship Program at the school also serves as a Relations Society of America, has an active chapter, Washington College of Law (WCL) intensifies the professional development providing public relations counsel to nonprofit organ- engagement of talented second- and third-year students school—a place for izations in the city. The Society of Professional with both the constitutional law–related curriculum education students to learn hands-on skills working in Journalists student group plans events to support the and the community at large. These students actually classrooms. journalism program and works with the newspaper teach a course on constitutional rights and responsibil- staffs of Washington, D.C., high schools. Each spring ities in Washington-area public high schools, including Now there’s a new connection. Peter Rabbit’s students submit projects for the Visions Festival, a special curriculum on the history and future of Garden will grow from a plot including photographs, scripts, films and videos, and democracy and the right to vote. Working together of asphalt once AU’s electronic media, for judging and awards. Winning with faculty, high school teachers, administrators, and grounds crew removes the submissions are screened for the community. volunteer lawyers, these students influence even the blacktop and puts in topsoil most disaffected teenagers with a focus on the rights of The Kogod School of Business offers undergraduates and nutrients. The concept is citizens, the strategic benefits of voting, and related its special program, the Washington Initiative, which for the young elementary constitutional processes. school students to nurture allows them to do volunteer work for community new plants in what may be organizations, such as the DC Central Kitchen, or federal The Washington College of Law’s clinical program their first gardening effort. agencies, such as the Internal Revenue Service, and to combines public service to the community at large The children will grow practice what they are learning with faculty supervision. with experiential learning. WCL is a recognized carrots, parsley, and green national leader in clinical legal education, which is the The College of Arts and Sciences has for the past 10 beans among other practice of introducing second- and third-year law stu- years cooperated with the D.C.-based Joint Educational vegetables. dents to law practice by providing opportunities for Facilities to sponsor an annual computing conference This is not the first them to represent real clients in real matters. In the for D.C. high school students, linking these students contribution to Horace Mann clinics, student attorneys are their clients’ primary legal with AU students and faculty. that AU grounds crews have representatives, working under the close supervision of made. They initially went to Another important engagement initiative is the psy- the clinical teaching faculty. Many students report that the athletic field to improve chology department’s partnership with nearby Walt their clinical experiences are among the most powerful it after some AU rugby Whitman High School, begun in 1992. Psychology players used it on a rainy and even transformative of their law school careers. day, several years ago. Since department graduate students contribute to curriculum Currently, WCL sponsors clinics in the areas of civil then, the relationship has development at the high school and provide lectures on practice, community and development law, criminal grown, and AU grounds- topics of emerging significance. AU students also take justice, domestic violence, federal tax, international keepers are familiar visitors part in formal evaluation and training related to stu- human rights law, intellectual property law, and among the schoolchildren. dent research efforts at the high school. Additionally, women and the law; students also participate in the They’ve assisted with AU students serve as “reviewers” of journal submissions D.C. Law Students in Court Program. Typically these aerating, irrigating, to the high school’s psychology journal. activities represent half of enrolled students’ academic fertilizing, and liming the load for one semester or, in some cases, a full academic Three additional examples of engagement with sports field. They helped year. Every year, more students avail themselves of remove the old equipment a research focus and linked to community needs come these valuable learning opportunities. WCL strives to and dug footings for the new from the sociology department, the School provide a clinical experience for every student who playground equipment, and of International Service, and the Department of wishes to have one. In the last several years, overall then spread wood chips Performing Arts and School of Education. Students in participation in its clinics has been increasing beneath the new swings. research methods classes in these units engage in research (Figure 9.1). They now have a regular projects that connect to organizations off campus. In maintenance routine that sociology, the students select a community development The Innocence Project of the National Capital Region involves hours of mulching, weeding, and pruning. The issue in an area of the District of Columbia, conduct is a nonprofit organization housed at WCL since grounds- research, and make recommendations to assist with com- December 2000. Professor Binny Miller is the faculty keepers even auctioned off munity problem solving. In SIS, undergraduate students coordinator for the project, which was founded in their own services as a fund in research methods classes conduct research for “clients” response to an increasing body of evidence that the raiser for the school. in the community, primarily nongovernmental organiza- criminal justice system is failing in one of its most crit- tions concerned with peace and human rights, such as ical functions: the conviction of the guilty and the

134 Engagement Figure 9.1 WWCLCL ClinicClinic Participation Participation 200

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0 AY94–95 AY95–96 AY96–97 AY97–98 AY98–99 AY99–00 AY00–01 AY01–02 exoneration of the innocent. It brings together volun- program of scholarships for students committed to teer law students, attorneys, and advocates to provide pursuing such careers, encouraging and supporting postconviction relief to prisoners in Maryland, student applicants for prestigious public interest fel- Virginia, and the District of Columbia who have prov- lowships, and much more. In recognition of these able claims of innocence but lack the resources to pur- efforts, Dean Claudio Grossman was named the sue those claims. National Association of Public Interest Law’s Dean of the Year in 2000–2001. In addition, the project undertakes legislative activities, such as its advocacy of the D.C. Innocence Service Learning Protection Act enacted in November 2001. Like other American offers students the opportunity to earn one special programs at WCL, the project provides excel- pass-fail credit when they combine what they learn in lent volunteer opportunities for WCL students to the classroom with what they learn through volunteer- engage in collaborative work in an area of crucial ing—known on campus as service learning. Sponsored importance to society. by the Community Service Center in the Office of WCL’s encounter with the larger world takes many Campus Life, this opportunity is available for under- forms, including the maintenance of a number of graduates who elect the formal challenge of coordinat- extra-academic programs that engage specific external ing an approved community service site or project with communities. In 2002, for example, WCL launched an approved class and who obtain a faculty advisor. The the Program on Intellectual Property and the Public student and faculty member sign a contract that Interest, which conducts forums and workshops on a explains the nature of the project, the proposed work at variety of topics at the heart of today’s debates over the site, and how it relates to the course. The contract information regulation. ensures that the project is challenging and relates to the course work and the 40 hours of required fieldwork. The Program on Gender, Work, and Family, directed by Professor Joan Williams and begun in 1998, seeks There are many examples of service learning on campus. to decrease the economic vulnerability of parents and Five to seven students in the Department of History children by restructuring workplaces around family participate each year in a service learning program life values through a variety of research activities and founded in 1993 by Professor Ira Klein and the senate’s Student Relations Committee. Professor Mohammed policy initiatives. Abu-Nimer works with the Community Service Center WCL also maintains a strong commitment to pro bono to update lists of volunteer sites that offer students clear service activities in the community by both students opportunities to explore diverse communities—both and faculty. Such efforts in this direction include cre- international and domestic. Professor Jack Child’s Latin ating the position of a full-time public interest coordi- America learning project incorporates volunteer work in nator, nurturing a loan forgiveness program for the Hispanic community with learning Latin American graduates entering public interest careers, creating a history, art, and literature.

Engagement 135 Programs and Organizations That The center continues to thrive. In 2002 it established Promote Service the first student-led endowment fund to provide mini- grants to fund student service initiatives. Known as the The Community Service Center Eagle Endowment for Public and Community Service, The mission of the Community Service Center is to it named its first recipients in the fall of 2003. The support American University’s goal of turning “ideas center has seen a dramatic shift in volunteer into action and action into service.” The center is inquiries—students are less likely to ask for the tele- staffed with two full-time professionals and a team of phone numbers to soup kitchens and more likely to work-study students and summer Freshman Service ask how they can start something, be it a mentoring Experience coordinators. program or outreach to senior citizens. They are not joiners, but rather, aspiring leaders. The center has as one of its goals to “enhance AU’s profile as a values-based institution by aligning and Other Examples of Service identifying our most prominent practices, programs All of AU’s 11 fraternities and 13 sororities participate and services with the university’s long-standing com- in volunteer service. Some recent service activities are mitments to such values as human rights and dignity, fund raising for the Special Olympics, the St. Elizabeth’s social justice, citizenship and public service, equity Hospital Volunteer Program, the Pediatric AIDS and appreciation for human diversity, and individual Foundation, and the Columbia Lighthouse for the freedom and responsibility.” The university promotes Blind. They also conduct numerous blood drives, tutor and coordinates volunteer activities with meaningful, students, and provide assistance at nursing homes. structured programs to address issues such as housing and homelessness, hunger, the environment, and liter- AU student-athletes also immerse themselves in the acy tutoring. A number of students also work inde- community. Each year, every team, working with its pendently with the elderly. coach, selects two community service projects, such as working with Habitat for Humanity, serving in food The center’s DC Reads Program now involves approx- banks, or mentoring youth groups. More than 250 stu- imately 150 students per semester. In 2002–2003, par- dent-athletes volunteer their time in these and other pro- ticipation levels were 11 percent higher than the grams. For example, this year, the women’s lacrosse team previous year. Tutoring through DC Reads is offered personally sponsored the education of a young Kenyan Monday through Saturday at 11 schools throughout orphan and helped to secure an additional sponsor from Washington, D.C. In fall 1999, the International the National Society of Collegiate Scholars. Classroom Project was initiated under the auspices of the DC Reads Program to put international students Service at AU is institutionalized through the Federal in contact with an American elementary school and to Work-Study Program. Community Service makes up teach young children about other countries and cul- just over 10 percent of the university’s federal alloca- tures. The fourth and fifth grade classrooms participat- tion of work-study funds, with a total expenditure of ing are in a predominantly African American school in approximately $2 million. Students who are awarded a low-income neighborhood in Washington, D.C. work-study funds can elect their type of work to earn Each year, about 15 international students present bi- their allocation. Those who elect community service weekly thematic lessons comparing various countries will work at a meaningful job to improve the quality around the world and involving holidays, food, the of life for the local community, particularly low- arts, and traditional clothing. Field trips, such as to the income individuals, or to solve particular problems Smithsonian, and a trip to the university campus, are related to their needs, including healthcare, child care, also incorporated into the program. This popular pro- literacy training, education, welfare and social services, gram continues in its fourth year, and in 2002–2003, transportation, housing, neighborhood improvement, a second partnership was initiated with a middle public safety, crime prevention and control, recreation, school in Silver Spring, Maryland. and community improvement. In 1995–1996 (the first year statistics were collected), WAMU, American University Radio at 88.5 FM, is there were 1,279 instances of volunteerism through another example of service to the community, both the center, compared to a national volunteer average of locally and globally. WAMU broadcasts National Public 619. The total hours volunteered for that same year Radio programs such as “All Things Considered,” BBC were 27,416. As volunteer activity and interest programs such as “Outlook,” and original program- changed and grew, the center began collecting data in ming such as the nationally recognized “The Diane a different way. No longer did it seem as important to Rehm Show” and “The Kojo Nnamdi Show.” The count “bodies per activity” but rather it was important listener-supported radio station provides a key connec- to look at “who is volunteering.” This data indicates tion with the greater Washington metropolitan area. that the number of hours contributed by individuals With more than 450,000 listeners, it is the top-rated has steadily increased. news-talk station in the Washington area.

136 Engagement Alumni three of four graduates report an internship while at Amy Hendrick—Mayor’s AU. Of these graduates, 82 percent say this experience Community Service In the 55 years of the Washington Semester Program influenced their career plans. At the graduate level, 48 Award Winner (WSP), many alumni have gone on to public service, percent of graduate students indicate that they had an Amy Hendrick is a graduate including former Senator Maxwell Cleland (D.-Ga.), internship while at AU. Consistently, 63 percent of student in both the School university president and former secretary of Health students report that their internship responsibilities of Communication and the and Human Services Donna Shalala, Representative are at least 85 percent substantive. Clearly, students College of Arts and Paul Ryan (R–Wis.), Representative Jim Nussle, Sciences. She, together with find their internship experiences very valuable. In one (R–Iowa), former governor of Massachusetts Michael two other students, James year, 2001–2002, the number of students recom- Dukakis; former IBM vice president and chief econo- Pearlstein and Charise Van mending their internships to others increased from 76 mist Nancy Hays Teeters. They all agree that the WSP Liew, founded Amerikids, a percent to 96 percent. played a key role in their own careers of service in the not-for-profit club, four years ago. The purpose of public and private sectors. Indeed, Senator Cleland has Internships at AU epitomize experiential learning the club (whose new name said, “the Washington Semester Program at American locally and globally. AU students have internships in is FLY—Facilitating University . . . changed my life [and] stimulated me to an extraordinary array of public, private, and not-for- Leadership in Youth) is to get involved in politics and I have been involved ever profit settings in the District of Columbia and around provide a summer camp and since.” Likewise, Governor Dukakis identified his the world. In each case, the student works with an mentoring opportunities for semester in the WSP as the “best educational experi- individual faculty member as well as an internship children in Barry Farms, a ence of my life.” supervisor, integrating academics with the work world housing project in the and connecting intellectual resources to an organiza- Anacostia section of D.C. Alumni from other AU programs are also committed tion’s practical needs. In these days of change and FLY engages entire families, to service. The 2003 Alumni Achievement Awards complexity in the work world, AU students often are asking parents to make a nominees provide examples of this commitment: commitment to keep their the vibrant links between faculty generation of new Brien Biondi is chief executive officer of the Young children involved in the FLY knowledge and real organizational problem solving. Entrepreneurs’ Organization (YEO), the world’s pre- summer camp and mier peer-to-peer global network; Anne Lang Frahn, Internships are so well ingrained in the life of the uni- mentoring programs. Amy along with her sister, founded Teachers for a Better versity that classes can be scheduled to accommodate a sees FLY as more than just a Belize (TFABB), a partnership of volunteer educators free day for internships, service projects, or other activ- service organization; to her it is a bridge to the from the United States and Belize, which is the only ities every week. These hands-on learning experiences community and to bringing nonprofit working to improve teaching in the Toledo offer opportunities to explore employment options, about change. Other AU region of Belize; Susie Kay founded the Hoop Dreams begin networking, learn what different job assign- students involved in helping Scholarship Fund, an organization dedicated to send- ments may entail, and discover new career interests. with the program are ing Washington, D.C., inner-city high school students Academic regulations set standards for credit-bearing enthralled with the fact that to college; and C. Payne Lucas, Sr., serves as president field experiences, which streamlines the process and they’ve “really changed kids’ of Africare, the oldest and largest African American ensures comparability across campus. lives.” AU alumnus and organization working to provide assistance to Africa. national news broadcaster Over the last six years, the Career Center has success- David Gregory helped AU The commitment to service is seen in other ways. fully increased its use of technology in order to students raise funds for their Nearly 600 AU alumni have become Peace Corps vol- improve the accessibility of internship information— 2003 activities. unteers since 1961, when the Peace Corps was for both students and employers. Internships previ- founded. The latest statistics available (1998 and 1999) ously listed in a binder in the Career Center are now indicate that AU alumni joined the Peace Corps in presented via a fully accessible Web listing of intern- greater numbers than students from comparable uni- ship opportunities around the world. Additionally, in versities. With 40 alumni serving as Peace Corps volun- 2001, the registrar’s office and the Career Center col- teers in 2000, AU was first among the top 10 colleges laborated to develop a Web database of registered and universities with fewer than 5,000 undergraduates. internships. This Web database was revised in 2002 to enable complete tracking of student sites, supervisors, ENGAGEMENT IN EXPERIENTIAL and individual contacts so that students could be effi- LEARNING ciently monitored for academic compliance and American University and Washington, D.C., offer a located in the event of an emergency. A Web question- powerhouse combination for professionals. As with naire was also instituted to confirm information and opportunities for service, many students come to AU assess the substance of and satisfaction with intern- because it facilitates experiential learning. More than ships. As a direct result of this use of Web technology, 92 percent of 2002 freshmen say that the opportunity the return rate of this survey increased from 10 percent to have a cooperative education experience or intern- to 50 percent. ship was a factor in their decision to come to AU. In the Department of Performing Arts at any given Evidence suggests that a significant number of stu- audition, there are students from all over the world and dents actually avail themselves of this opportunity. The students with majors as varied as business, economics, May 2002 graduation census indicates that more than and international service. Graduate and undergraduate

Engagement 137 Some Organizations majors are actively engaged in the arts both locally and Department and Federal Trade Commission, pro bono Where Students Have globally. They have internships in institutions such as departments of law firms, and others. This popular Recently Interned the Kennedy Center and the National Endowments for program attracts a large number of students during Federal Communications the Arts and Humanities, as well as in places such as both the regular school terms and the summer session. Commission Lincoln Center in New York and arts institutions in In summer 2003, 130 students participated. In addi- Smithsonian Institution Taiwan, Japan, and other countries. tion, each semester a smaller number of students pursue externships for academic credit, working with Black Entertainment Television The Washington Semester Program has a database of individual faculty members outside the Supervised American Civil Liberties Union unique internship opportunities through which an Externship Program, and many others do volunteer Institute for Women’s Policy average of 450 students per semester find substantive legal work on a less formal basis. Research positions in one of more than 1,200 public policy Congress of the United States offices in the Washington area. ENGAGEMENT WITH THE Discovery Channel GLOBAL COMMUNITY Despite the remarkable growth and success of intern- NASA ships at AU, challenges remain. As a result of difficult AU’s 15-point plan highlights the institution as a pre- Volunteers of America economic times, both in the United States and abroad, mier global university. A review of the ways in which Dateline NBC recent years have shown a decline in the number of stu- AU interacts with the international community shows Earthrights International dents doing internships abroad. The other major chal- that AU’s engagement with the global community is Center for Strategic and lenge to the program is that faculty are usually not manifested in many ways. compensated for their work with individual internships. International Studies AU Leadership Nonviolence International As a complement to the growth and success of the In 2002, President Ladner selected Professor Robert Embassies internship program at AU, in spring of 2002, the Pastor, the Goodwich C. White Professor of Career Center created an internship faculty-of-the- International Center Against International Relations at Emory University and key Censorship month program to acknowledge and reward professors colleague of former President Jimmy Carter at the who have improved and expanded experiential learn- Center for Cognitive Liberty Carter Center, to be the university’s first vice president and Ethics ing opportunities at AU. The program, which has of international affairs and professor of international honored instructors whose expertise ranges from his- Public Defender Service relations in SIS. He is tasked with the creation and tory to international service, recognizes one new pro- IBM Corporation direction of two global centers (discussed on page 142) fessor each month throughout the semester. In John F. Kennedy Center for and with helping to achieve the university’s vision of addition to showing appreciation, the award improves the Performing Arts becoming a premier global university. In only a short and promotes experiential learning across the campus Economic Policy Institute time he has moved swiftly to advance ideas for how by presenting the honorees as exemplars and encourag- study abroad opportunities can be expanded and Africa Center for Strategic ing faculty to work with the Career Center on experi- improved. Studies ential learning. National Breast Cancer Academic Offerings Coalition Although the faculty-of-the-month program is new, Chesapeake Bay Foundation some honorees have been committed to experiential At the core of AU’s global identity is its strong aca- learning for many years. Professor Don Hester, for demic offerings. SIS recently celebrated its 45th American Association for Marriage and Family Therapy example, has been helping students in the School of anniversary. It is the largest such school in the United International Service (SIS) find internships with the States and has the largest application pool of any Legg Mason Department of State since 1996. Named internship school of its kind. The Department of Language and Marriott International, Inc. faculty of the month last September, Hester has con- Foreign Studies in the College of Arts and Sciences Peace Corps sistently supported the State Department internship offers language study in 11 languages and a Teaching Center for European Policy with a challenging syllabus that includes a research English as a Second Language Program. The Studies, Belgium paper, work analysis memos, and group meetings. Washington College of Law offers a strong interna- Save the Children Accordingly, his students gain both practical experi- tional law program, including a special LLM degree Greater Washington Board of ence in U.S. foreign affairs and theoretical understand- program that attracts top lawyers from around the Trade ing of how political theories operate in practice. world. The AU Abroad and World Capitals Programs connect undergraduates to major countries around the Clark Television Production, The Washington College of Law also boasts an exten- England world. There are also summer study abroad institutes sive and well-organized Supervised Externship and alternative spring break study and service options. Washington Wizards Program, in which students work as volunteers in a Corcoran Gallery of Art variety of legal workplaces in Washington, D.C., and The General Education Program (see Chapter 7 on Amnesty International elsewhere, receiving course credit for both their field- undergraduate education) ensures that students have National Institutes of Health work and their participation in a special seminar that exposure to and immersion in international and inter- United Nations provides an opportunity for reflection on the lawyer- cultural studies, one of five main areas of general edu- The David Letterman Show ing experience. The goal is to help students learn prac- cation. Courses offer a range of disciplines that prepare tical skills and the actual workings of the legal system. students to grapple with and to understand complex European Union Placements are in public interest organizations, trade and compelling international and intercultural issues. Headquarters, Belgium associations, such government agencies as the Justice A sampler of courses includes: Beyond Sovereignty;

138 Engagement Competition in an Interdependent World; Cities and WCL’s program in Chile—the only summer study Christina Arnold— Crime; Civilizations of Africa; Cross-Cultural program operated by any U.S.-based law school in the Truman Scholar Communication; Imperialism and Revolution; Southern cone. For participating students the program Christina Arnold became Contemporary Media in a Global Society; functions not only as an introduction to the legal doc- the second AU student in Architecture: Washington and the World; Third trines of a significant Latin American democracy, but the last four years to World Literature; Latin America: History, Art, also as a gateway to understanding the civil law tradi- receive a prestigious Harry Literature, with sections taught in English and tion. WCL’s other summer study program takes stu- S Truman Foundation Scholarship, which Spanish; and The World of Islam. dents to London, Paris, and Geneva, with a recognizes exceptional curriculum that focuses on economic law, human Faculty themselves bring special expertise to many of college juniors who are these programs. In the past decade, the number of fac- rights, and the law of international institutions. For dedicated to careers in ulty who received at least one degree from a non–U.S. instruction, both programs rely on a combination of public service. Christina institution of higher learning increased from 36 in WCL faculty who travel with the students to the for- founded and runs a 1994–1995 to 74 in 2002–2003. eign sites and expert local lecturers. As reflected in the nonprofit organization, following enrollment figures for the past several years, Project Hope International, Each year academic units receive an average of $1.6 the programs have become popular with both WCL which operates in several million in sponsored projects that involve interna- students and visiting students from other law schools countries and addresses tional research. Each sponsored project has a faculty across the United States. sex trafficking and related member who serves as the principal investigator or human rights abuses in project director, and almost all grants involve funding Figure 9.1 Thailand. She was one of 76 scholars selected from a for student research assistance. WCL Summer Study Abroad pool of 635 nominees Enrollment 1999–2003 Study Abroad representing 305 colleges Chile Europe and universities. As of spring and fall 2002, 427 AU students enrolled in AU was the only university formal study abroad programs for a semester or more in 1999 21 45 2000 16 68 in the country that had five places around the world. This number does not include students selected as alternative spring break students or summer institutes 2001 33 57 Truman scholarship abroad students. What is particularly striking is that the 2002 47 68 semifinalists in 2003. overwhelming majority of these students also do an 2003 40 100 internship abroad, immersing themselves in intense active learning in the culture of their choice. When seniors are asked informally to report on their most mem- Programs, Councils, and Centers orable experiences as undergraduates, they almost American University has a number of special pro- always mention their study abroad experiences and grams, councils, and centers that encourage and facili- their engagement with new ways of learning. tate AU’s interactions with the global community. Alternative spring break is yet another example of These serve many purposes but usually include ele- intense engagement. Now in its third year, students and ments of academic inquiry, outreach, and service. faculty select service projects in other countries to be The War Crimes Research Office (WCRO) fills a crit- conducted during spring break (or, on a smaller scale, at ical need for the elaboration of international law. It other academic calendar break times). They prepare rig- was established in 1995 with a grant from the Open orous syllabi, set up pre-trip learning requirements and Society Institute to provide research assistance to the briefings, and link the experience to one-credit inde- Office of the Prosecutor of the International Criminal pendent study projects. In spring 2003, four AU faculty Tribunals for the former Yugoslavia (ICTY) and members led trips to Cuba, Mexico, and Vietnam. Rwanda (ICTR). The WCRO also provides legal AU does not view its students’ study abroad experi- research assistance to other intergovernmental clients ences as compartmentalized events of their college on a highly selective basis. career. Rather, the study abroad experience links to The Center on Human Rights and Humanitarian General Education studies in the international and Law, in existence at WCL since 1990, is responsible intercultural area. Students attend both pre- and post- for and otherwise involved in some of the most inno- departure workshops to ensure successful transitions vative and important human rights projects at the law to and from campus. Internship opportunities are a school in the last decade. Most notably, the center has central part of most study abroad experiences. created and administers the moot court program for The Washington College of Law (WCL) has a sub- law schools in the inter-American system, which is stantial international presence. Currently, WCL oper- now in its seventh year. Seventy-seven schools have ates two programs in which U.S. law students gain participated in this event and judges of the court have knowledge and experience of foreign law and foreign included a justice of the U.S. Supreme Court and legal systems through intensive study abroad during many other distinguished judges and lawyers. The cen- the summer term. The longest running of these is ter is co-directed by five of WCL’s faculty in the

Engagement 139 Charise Van Liew— human rights area, including Dean Claudio Netherlands Institute for Human Rights at the President Award Grossman. The center has also been deeply involved University of Utrecht, recognized leading human Recipient with such innovative human rights projects at the law rights institutions in the United States and Europe, In 2003 President Ladner school as the War Crimes Research Office and the Inter- with complementary areas of expertise. In 2001 and awarded the President’s American Human Rights Digest project, which has been 2002, the academy attracted more than 100 students Award to Charise Van Liew. compiling all the human rights decisions in the inter- from all over the world each summer (many of them From her earliest days on American system for digital and other distribution. on scholarship); the 2003 academy was expected to be campus, Van Liew mentored even more comprehensive in its coverage and to draw AU students, assisted inner- Established in 1994 with outside grant funding and a larger enrollment. city youth, worked in soup directed by Professor Ann Shalleck, the Women and kitchens, helped in the Law Program supports and promotes the work of American University’s new vice president of interna- homeless shelters for law students, women’s rights advocates, and legal tional affairs, Robert Pastor, as noted in the beginning women, and organized, scholars to integrate fully women’s human rights into of this section, has founded two centers on campus managed, and led ambitious legal education, practice, and doctrine around the fund-raising efforts to assist that address issues in the complex post-9-11 world. world, with a particular emphasis on Latin America. people at home and abroad. The Center for Democracy and Election Management She cofounded Facilitating The program works closely with students pursuing the has a research and teaching agenda that focuses on one Leadership in Youth (FLY) LLM gender and the law specialization to design a of the primary challenges of today’s new world order— and serves as its volunteer program of study that meets their academic and pro- democratization and the holding of fair and transpar- executive director. The fessional goals. In addition to working with students, ent elections. The center has already set up a Web site, organization provides year- the program works with women’s rights advocates and identified relevant links, held faculty-student seminars round educational scholars around the world to create legitimacy for gen- and workshops on campus and in the Middle East, programs—including der analysis of law and legal institutions, to contribute and identified a series of research and teaching topics. tutoring, mentoring, and to a growing body of scholarship on women’s human The second center, the Center for North American day campus activities—for rights, and to develop and promote strategies to Studies, has an extraordinary vision: positioning young people in a housing accomplish reforms of the law and legal institutions project of Washington, D.C. thinking to view Canada, Mexico, and the United that further women’s rights. She raised more than States as a holistic and significant region, with poten- $120,000 in grants and The Academy on Human Rights and Humanitarian tial to match the vibrancy of Europe, for example, as a funding to support this Law is an intensive three-week human rights program region. This new center has an innovative summer activity. tailored to the needs of professionals specializing in program of research and study, the Discovering North In addition, Ms. Van Liew is human rights around the world—in international America Summer Institute, begun in summer 2003, involved in the International organizations, government agencies, international which brings together students and scholars of the Federation of Liberal Youth relief agencies—including policymakers, nongovern- region and designs both a research agenda and a higher (IFLRY), a Belgium-based mental organization representatives, academics, and education curriculum for the Americas. program associated with the law students. The purpose of the academy is to offer Council on Europe. As a There are 13 other centers with an international or project director for the training courses to human rights scholars and activists, global focus: training conference for providing them with the opportunity to expand their youth leaders, she knowledge and to network with other experts in the • the Center for Asian Studies—For over twenty years, organized an international field. The academy’s codirectors are visiting professors the Center for Asian Studies has supported the field of gathering on AU’s campus Claudia Martin and Diego Rodríguez-Pinzón. Asian studies at AU by increasing the number of Asia- and raised $178,000 to related courses on campus, sponsoring numerous con- teach peace and conflict The first program of its kind to do so, the academy ferences on Asian issues, and attracting students from resolution to students from offers courses in both English and Spanish and is open throughout Asia. Directed by Professor Hyung Kim, around the world. to law students and practicing attorneys interested in the center is committed to promoting understanding human rights issues. Courses can be taken either for of Asia through its multi-disciplinary programs, stu- law school credit (English courses only) or for a certifi- dent and faculty exchange programs, conferences and cate of attendance (English and Spanish courses). The public dialogues, research, and publications. academy offers courses on international humanitarian law; the inter-American, European, and African • the Center for Israeli Studies—The Center for human rights systems; and the United Nations system. Israeli Studies was created to celebrate, examine, and Courses also explore the skills needed for human rights interpret Israel as a nation and a people. The center advocacy and the relationship between environmental integrates AU faculty who have established reputa- law and human rights law and between women and tions in Israel with the university’s expertise in the international human rights law. The academy has design of experiential and global education. Under invited nationally and internationally renowned fac- the direction of Professor Howard Wachtel, the cen- ulty with extensive expertise in the field and practice of ter is becoming a national and international hub for international human rights law. The academy’s sum- the creation and dissemination of knowledge about mer sessions are cosponsored by the Center for Israeli contributions in the arts, economics, environ- Human Rights and Humanitarian Law and the inter- mental science, law and society, public administra- national legal studies program at WCL and the tion, and Jewish studies.

140 Engagement • the Center for the Global South—The nations of Media focuses on and analyzes media as creative tools Africa, Central and Latin America, and most of Asia— for public knowledge and action. Its activities include collectively known as the Global South—face great public events, research projects, seminars and confer- challenges and offer real opportunities. Political, ences, organizational links, and Web-published social, and economic upheavasl are prevalent in many research. A distinguished panel of filmmakers and of these nations; at the same time, the populations of scholars serve on the center’s advisory board. In addi- the global South and their emerging markets offer tion to organizing and hosting an annual human immense hopes for economic growth, investment, rights film festival, the center is engaged with short- and cultural contribution. The urgency of these and long-term projects, which currently include challenges—and the potential for growth and “Film, video and online media for social action: change—led AU to create the Center for the Global strategies, trends, and policies” and “Imagination, South. Under the direction of Dr. Clovis Maksoud, Creativity, and Control in Independent Filmmaking: former Arab League ambassador to the UN, the cen- Mapping the Creative Tensions in Today’s Intellectual ter sponsors, among other activities, a summer insti- Property Regime.” tute and several conferences each year, including • the Transnational Crime and Corruption Center “Human Security for the Global South: Challenges of (TraCCC)—The Transnational Crime and Peace and Development” and “The State of Human Corruption Center (TraCCC) is the first center in Development in the Global South: A Comparison of the United States devoted to teaching, research, the Latin American and Arab Regions.” training and formulating policy advice in transna- • the Center for Global Peace (and the Mohammed tional crime, corruption and terrorism. Originally Said Farsi Chair of Islamic Peace)—The Center founded in 1995 with support from the MacArthur for Global Peace provides a framework for programs Foundation and now funded by the US and initiatives that advance the study and under- Government and private foundations, TraCCC’s standing of world peace grounded in a search for a fundamental goal is to better understand the causes just and sustainable world order. Under the direc- and scope of transnational crime and corruption tion of Dr. Abdul Aziz Said, the Mohammed Said and to propose well-grounded policy to reduce and Farsi Chair of Islamic Peace, the center works to eliminate these problems. Under the direction of embody the invitation in AU’s Statement of Professor Louise Shelley, much of the Center’s work Common Purpose, “turning ideas into action . . . has focused on the analysis of transnational crime and actions into service.” By seeking to understand and corruption in the countries that constituted the better the social, political, cultural, economic, and former Soviet Union and the countries of Eastern civic structures whose impairment can lead to vio- Europe. Current projects include research on money lence and upheaval, the center focuses its activities laundering in the Republic of Georgia, Chinese on the global system, identifying common interests organized crime in the US, and corruption in busi- and working toward common security. ness-government relations in transition countries and developing curricula to train US border patrol • The Mohammed Said Farsi Chair of Islamic agents and US law enforcement agencies about Peace—As noted above, the director of the Center smuggling/trafficking. for Global Peace, Dr. Abdul Aziz Said, holds the Mohammed Said Farsi Chair of Islamic Peace, • the Global Intellectual Property Project— which is the first chair endowed at a U.S. university Founded in 1994, the Global Intellectual Property devoted to the study of Islam and peace. The chair Project (GLIPP) is an interdisciplinary council of promotes the study and understanding of Islamic AU faculty who share an interest in various aspects values and traditions and contributions to the of intellectual property issues. The project’s mission search for global peace, community, and solidarity. is to provide a forum for scholarship and policy analysis to help inform this public debate. GLIPP • the Graduate Research Center on Europe—AU brings together experts from a range of disciplines to established its Graduate Research Center on Europe in explore the impact of the revolutionary changes now Trento, Italy, in collaboration with the University of underway in communication and technology on Trento. The center supports the advancement of information, creative endeavors, and innovation. scholarship and the development of professional part- The project’s two most recent conferences were nerships between Americans and Europeans on a wide “Patenting Business Methods: Is the US Patent range of global issues. AU faculty, including more System Harmful to Business?” and “Getting to than 130 specialists in European and international Know You, Getting to Know All about You: Global affairs, have been recognized repeatedly for their out- Perspectives on Patents and the Human Genome.” standing scholarship and professional service. • the International Management Institute—The • the Center for Social Media—Directed by Intercultural Management Institute (IMI) recognizes Professor Pat Aufderheide, the Center for Social the vital role culture plays in international business.

Engagement 141 Globalism— IMI offers businesses intercultural experts, training developing courses for undergraduate and graduate One Example programs, and consulting services that provide students on democracy that will lead to a certificate The Transnational Crime organizations the means to manage better cultural in democratic studies and developing a summer and Corruption Center differences and to flourish in the global economy. institute (2004) to train democratic leaders and pro- (TraCCC) model fessional managers about election management. exemplifies deep • the International Institute for Health Promotion— engagement not only Under the direction of Dr. Robert Karch, the • the Center for North American Studies—Also in among faculty and students International Institute for Health Promotion (IIHP) fall 2002, Dr. Pastor established the Center for but also with the added seeks to develop effective solutions to challenges to North American Studies (CNAS). The center’s four dimension of practitioners the advancement and application of health promo- goals are (1) to provide an educational experiment and satellite centers. The tion concepts. The IIHP accomplishes these tasks that teaches students about the history, economics, faculty and student through facilitating and developing collaborative politics, and societies of Canada, Mexico, and the researchers work together strategies, research and education initiatives, and United States, including their past differences and with local researchers and communication networks. The institute’s approach is their future prospects as parts of a regional entity; government officials to interdisciplinary and includes academic institutions, grapple with grave (2) to promote policy-oriented research on North challenges regarding crime government authorities, private corporations, insur- American issues by scholars and students in the and corruption at the local ance companies, hospitals, medical groups, and com- three countries; (3) to instill in business and govern- level. The founding director munity groups as well as other significant individuals ment leaders and the public a new way of thinking of TraCCC, Professor in health promotion. about themselves and their neighbors as citizens of Louise Shelley, just their own countries as well as residents of North • the Center for Information Technology and the received an invitation from America; and (4) to seek partnerships with other Global Economy—The Center for Information President Putin of Russia to North American universities, create a model for a Technology and the Global Economy (CITGE) has talk about the work of the regional studies center that could be adopted a growing reputation as a leader in business issues at center and highlight the throughout North America, and serve as a network effectiveness of the St. the intersection of IT and globalization. There are hub for other centers of North American studies. Petersburg Center. As a three major areas on which the center focuses: result of the center’s (1) education—offering students and executives in Other Examples of Outreach research, Professor Shelley the US and abroad a world-class education on sig- AU President Benjamin Ladner personifies the univer- has worked with faculty nificant issues pertaining to the impact of globaliza- sity’s engagement with global affairs. Whether visiting leaders and students in two tion and IT on firms and their business practices; AU units to design a North Korea or the Middle East, President Ladner has (2) cutting-edge research in collaboration with other curriculum concerned with sought to use “academic diplomacy” to promote con- academic institutions and businesses to inform indi- cross-national crime and structive exchange of ideas that will make a difference. viduals and corporations on critical business issues corruption in various world Under his leadership, AU helped to plan and found the related to globalization and IT; and (3) building a regions. Students at all American University of Sharjah (AUS) in the United learning network to link Kogod School of Business three levels, baccalaureate, Arab Emirates. From an idea without buildings, fac- master’s and doctoral, work faculty and students into business, government, and ulty, or students, AU Sharjah has become a thriving uni- with Professor Shelley and international communities in order to design new versity with nearly 3,500 students (September 2003) her associates on a range concepts about information technology that will studying in a college of arts and sciences and schools of of projects both here and help businesses thrive in the 21st century. CITGE engineering, architecture and design, and business and abroad. regularly works with such organizations as the management. Greater Washington [DC] Initiative, ESCAP Paris, the Embassy of India, the South East England At the school or college level, in SIS there are faculty- Development Agency (SEEDA), the DC student research teams led by Professor Paul Williams Technology Council, and Triway Corporation. that provide “live” assistance to nongovernmental organizations and governments of countries in transition; stu- • the Center for Democracy and Election dents working with faculty apply the ideas generated as Management—In fall 2002, under the leadership a part of research projects to actual issues settings, such of Dr. Robert Pastor, vice president of international as the Somali Peace Talks or the Montenegro-Serbia affairs and professor of international relations, AU negotiations. Graduate students selected for funding as established the Center for Democracy and Election Tinker-Walker Fellows do field research in a country of Management (CDEM) to educate and train under- their choice, collecting and analyzing data that can make graduate and graduate students and mid-career pro- a difference for policy and practice in developing fessionals on the management of elections and “best nations. The program was begun approximately four democratic practices.” CDEM organizes its work years ago with funding provided by Millidge Walker, around three subjects: (1) the management and con- professor emeritus, and Irene Tinker, distinguished duct of elections throughout the world; (2) “best scholar in residence, who are committed to promoting practices” of comparative democratic institutions— engagement with critical issues in development. legislatures, the judiciary, the media, political parties; and (3) “election-mediation” as an instrument Most recently five School of Communication graduate to resolve conflicts. CDEM is in the process of students, working together with faculty, conducted

142 Engagement research on the first month of global informal commu- This award recognizes excellence in exactly the types of nications linked to the War on Iraq. They have created engagement highlighted in this chapter. a Web site highlighting their findings and keeping the RECOMMENDATIONS public up-to-date on the news media in wartime. (See .) engagement. At the same time, new research in the field of higher education and new technologies for CONCLUSION assessment of learning outcomes provide a special A number of factors facilitate engagement on campus, opportunity for this campus. The recommendations in Washington, D.C., and around the world. Most below allow the university to capture and analyze as importantly, the history, traditions, and location of the well as amplify engagement at all levels of learning on university have shaped its campus-wide focus on this global campus: engagement. Faculty, staff, and students who care about 1. Collect more systemically data related to engage- intense connections such as those described above are ment. In order to produce the inventory discussed naturally attracted to American University. Academic here, the task force surveyed deans’ offices and regulations and degree program requirements promote Campus Life offices. Such a survey and other regu- local, national, and international engagement. lar data collection (both qualitative and quantita- The “outcome” of such intense engagement is individ- tive) can more regularly enrich understanding of AU uals who have a powerful set of knowledge, skills, and engagement processes that are so central to the uni- experiences that manifests itself in service to others. versity’s mission. Time after time, alumni mention how important their 2. Include a plan for assessing engagement initiatives experiences at AU were in instilling in them a devotion and related outcomes in assessment plans and regu- to service. lar planning processes and incorporate such regular- In summary, this inventory provides examples of sig- ized findings in all decision-making and planning nificant connections among faculty, staff, students, processes. and the wider community, many of which began as 3. Recognize and include engagement success indica- innovations and are now institutionalized at this uni- tors explicitly in performance management evalua- versity and others. What is needed next is an assess- tions and faculty merit processes. ment plan for rigorously determining outcomes and formally incorporating findings into a planning cycle. 4. Strengthen even more the university campus con- It is clear that the breadth and depth of engagement at nections to the global through increased interna- AU are deeply rooted in the university’s mission, val- tional research, study, and internship opportunities ues, and strategies. and increased, innovative concomitant language study opportunities. As noted in the chapter on undergraduate education, in his 15-point plan President Ladner calls for a new year one and year two learning experience that has at its core intensive engagement with Washington and the world and that links the co-curricular to the curricular. A university project team is currently working on measurable outcomes of such an experience and on a model program. The intent is to have a final list of assessable outcomes along with a program design during fall 2003 with a pilot in place for fall 2004. Taken together, the data from the NSSE survey, the internship assessment, and the task force’s engagement inventory indicate that American University is significantly above the norm in forging student-faculty- community-global connections. These connections form pathways for both knowledge transfer and active learning. These are central to a global university in a capital city in this complex new century. American University has institutionalized in its student awards structure the centrality of engagement on campus. The President’s Award recognizes individual undergraduate students who personify the characteristics of academic excellence and devotion to service.

Engagement 143 CONCLUSION CHAPTER10 CONCLUSION

FULFILLING THE AMERICAN The undergraduate curriculum is strong, with an UNIVERSITY PARADIGM extensive General Education Program at its core. The recent assessment of the General Education Program merican University is an exciting, vibrant institu- has resulted in both significant changes and recognition. After careful review of the many facets of A tion of the important outcomes it produces. The the university, we are struck by the changes and honors program has been successful in creating an progress that have been made in just 10 years. The environment where the best and the brightest under- university is strong and continually improving. It has graduates can excel. made significant progress in implementing its 1997 mission statement: AU’s graduate programs are also strong and improving. An extensive assessment of both doctoral and [American University’s] distinctive feature, unique in higher education, is its capacity as a national and master's program in the 2002–03 academic year international university to turn ideas into action resulted in the termination of some programs and the and action into service by emphasizing the arts and redirection of resources toward the remaining ones. sciences, then connecting them to the issues of con- New and innovative programs, as well as changes in temporary public affairs writ large, notably in the existing programs, have brought AU’s graduate offer- areas of government, communication, business, law, ings more into line with its academic mission. Many and international service. of AU’s graduate programs have achieved national or international recognition and a number have been In 2001 President Benjamin Ladner said that AU highly rated in external evaluations. would implement three integrated priorities: “the quality of academic inquiry, the quality of student Overall, the curriculum fulfills the mission of the insti- experience, and the quality of extensive engagement tution by “emphasizing the arts and sciences, then with Washington and global affairs.” These priorities connecting them to contemporary public affairs writ are discussed below: large.” Students affirm their satisfaction in a number of ways, including their responses to student evaluations Quality of Academic Inquiry of teaching, the Campus Climate Survey and the grad- Over the past 10 years both student and faculty qual- uation census. Most importantly, evidence gathered ity have increased. The university has become more from the first stage of the institution’s assessment of selective in its students while maintaining the diversity learning outcomes finds that programs have missions of the student body. consistent with the institution and that these missions are being met. Most impressive is the university-wide AU faculty are both excellent teachers and outstanding dedication to continuous improvement of the aca- scholars. Like faculty from larger research institutions, demic experience. AU faculty are productive scholars who are respected by their peers and who make important contributions Quality of the Student Experience to their field. At the same time, faculty take their In the nearly 10 years since the last self-study there has teaching responsibilities seriously, giving students the been a tremendous increase in the quality of the stu- level of attention and support one would expect at a dent experience. This is evidenced not only in the small liberal arts colleges. What sets AU apart is the growth and quality of services but also in ineffable degree to which faculty are engaged in the application qualities, such as the sense of pride and belonging that of their discipline locally, nationally, and internation- students feel towards the institution. ally. “Ideas into action and action into service” is not just a phrase that applies to students. It is an ideal that While the discussion of athletics has played a relatively describes the faculty as well. small role in this self-study, the move from the Colonial Athletic Association to the Patriot League is Much progress has been made in improving academic an example of how the institution is willing to make classrooms and in improving access to technology for bold moves and firm commitments to improving educational purposes. Nearly every faculty member has student experience. This has been true not only for the a private office, and four major classroom buildings athletes but for the fans. have undergone extensive renovation. The move of the College of Arts and Sciences into its own building has The commitment to improving services is university- resulted in increased opportunity for cooperation and wide. According to the Campus Climate Survey, the collaboration between faculties of many disciplines. main assessment tool in this area, most student

Conclusion 145 services have shown increases in student satisfaction 1) To make improvements to the overall student since the last self-study. These improvements did not experience while at the same time preserving the come about by chance. They are the result of con- many facets of the current curriculum that make certed efforts by units across campus. American University such an excellent institution Two examples illustrate this point. The university We conclude this self-study during a period of library made tremendous strides in improving its serv- unprecedented change and renewal. Even as the insti- ices to students and faculty. It created its own assess- tution recognizes the incredible richness of the student ment committee, analyzed the Campus Climate Survey, experience, it continues to search for ways to improve. administered the national Libqual survey, and held As such, a number of important initiatives are under- focus groups to better understand student needs and way. These include the development of the University concerns. In response to student complaints about the College, the exploration of changes to the institution’s registration and advising process, the university made study abroad requirements, and the continuous on-line registration a top priority and included student improvements made to programs as a result of the advising as one of the 15 points in the strategic plan. assessment of learning objectives. As we move forward on these projects, conflicts in goals may arise. The The reorganization of student services into the Office challenge is to fit the many facets of engagement into of Campus Life is another accomplishment that has a rigorous academic curriculum. It is important that important implications for improved delivery of serv- the institution find ways to preserve the current ices. Now, more than ever, the institution is poised to strengths of its undergraduate education, such as the integrate student life with academic life. It places stu- General Education Program and opportunities to dents at the center of the institution. intern or double major, while at the same time making Quality of Extensive Engagement adjustments in the curriculum designed to fulfill our mission. It will be important for the institution to con- The idea of engagement permeates all aspects of the tinue to develop assessment indicators that enable it to university. Engagement is not limited to extra-curricular carefully monitor our progress. activities but can be found in the classroom, in the residence halls, and in faculty offices. In can be found 2) To lessen our dependence on tuition and in the courtrooms, soup kitchens, and housing proj- generate new sources of revenue ects where students volunteer. Engagement at There is no question that the financial health of the American University ranges from faculty and student institution is stronger than ever. However, as men- collaboration in research to the president’s efforts at tioned in previous self-studies, the institution’s educational diplomacy in North Korea and elsewhere. dependence on tuition makes fulfilling its goals diffi- Throughout the city, country, and world, American cult. Tensions exist between making the institution University has left its mark, turning “ideas into action, smaller and more selective while at the same time action into service.” reducing teaching loads, improving faculty salaries, Among the steps forward has been the commitment to providing funding for graduate stipends, and improv- institutionalize the importance of global engagement by ing student service facilities. establishing a position of vice president of international The University Library may be a good example of how affairs. In the last decade, many efforts have been made this tension plays out. In the past 10 years much throughout campus to establish programs, centers, and progress has been made in improving library services learning communities focused on service and interna- and increasing the library collection. The University tional understanding. The activities have increased the Library has done an excellent job of strategic planning. opportunities and venues for engagement, substantially As a result, it has successfully targeted select areas of its improving the student and faculty experience. collection for improvement so as to make the most of No better measure of the results of the institution’s the limited funds available. Despite its many successes, focus on engagement can be found than our alumni. the library still lacks the funding necessary to build its Students who graduate from American University are collection to the recommended size. In order to enhance the quality of academic inquiry and to meet academically prepared and intensely aware of the the needs of the university community, the library must importance of using their education to engage others have additional funding. in the betterment of society. With limited sources of revenue, the library, like so RECOMMENDATIONS many others on campus, finds that fulfilling its mis- While the overall health of the university is strong, the sion is difficult. The lack of adequate funds outside of self-study has provided the institution with an oppor- tuition continues to have implications for the univer- tunity to explore ways in which its mission can be sity and further efforts need to be made to decrease the more fully realized. In the years to follow, three main institution’s tuition dependence. While the primary challenges for American University exist: responsibility for fund raising rests with the president,

146 Conclusion the Board of Trustees, and the Office of Development, have enabled faculty to focus their energies on the it is the responsibility of everyone at the university to thing most important—academic excellence. look for innovative ways to increase the revenue At the same time, the current planning model makes stream. This should include new revenue centers (as communication difficult. The process relies on com- mentioned in point 14 of the 15-point plan) and the municating priorities down through the institution increased generation of indirect cost recovery from from the top. For those who do not hear the annual grants and contracts. goals directly, there is sometimes confusion about the 3) To improve the channels of communication and reasoning behind decisions and the thought processes provide even more opportunities for input into used to set priorities. Some feel disconnected from the decision-making and planning processes of decisions and believe that priorities are imposed with- the institution out much consultation. American University is fortunate to have an experi- The university should make every effort to improve enced, committed team of individuals leading the communication so that the reasoning behind decisions institution. It is this team’s vision and sense of purpose, is better understood. It should, whenever possible, along with the commitment of countless faculty and improve opportunities for those interested in getting staff, that have enabled American University to make more involved in the decision-making process. An so much progress in the past 10 years. There is a sense annual address to the university on the status of strate- that current planning mechanisms and governance gic planning, along with opportunities for discussion structures have improved operating efficiency and and comment, would be helpful.

Conclusion 147 4400 Massachusetts Avenue, NW Washington, DC 20016

An equal opportunity, affirmative action university.