I. STRUCTURE OF THE ADMINISTRATION AND FACULTY
- COLLEGE CHARTER
- BYLAWS OF THE CORPORATION, SWARTHMORE COLLEGE
- ADMINISTRATIVE ORGANIZATION
- MEMBERSHIP IN THE FACULTY
II. ACADEMIC AND ADMINISTRATIVE POLICIES AND PROCEDURES
II-A. GENERAL POLICIES
- EQUALITY OF OPPORTUNITY IN EDUCATION AND EMPLOYMENT
- ACADEMIC FREEDOM AND RESPONSIBILITY
- CONVENTIONS OF THE COLLEGE COMMUNITY
- PRESERVATION OF PRIVACY AND CONFIDENTIALITY OF RECORDS
- SURVEYS AND QUESTIONNAIRES
- PROHIBITION OF DISCRIMINATORY HARASSMENT AND SEXUAL ASSAULT
- RIGHTS AND RESPONSIBILITIES OF EXPRESSION AT SWARTHMORE
- POLICY ON CONSENSUAL RELATIONSHIPS WITHIN THE CONTEXT OF SUPERVISION
- DRUG-FREE CAMPUS POLICY
- SMOKE-FREE CAMPUS POLICY
- PET POLICY
- COPYRIGHT POLICY
- INTELLECTUAL PROPERTY POLICY
1. COLLEGE CHARTER
Provisions of Charter of Swarthmore College, December 1977
Section 1. Be it enacted by the Senate and House of Representatives of the Commonwealth of Pennsylvania in General Assembly met, and it is hereby enacted by authority of the same: That James Martin, John M. Ogden, Ezra Michener, Mahlon K. Taylor, Thomas Ridgway, James Mott, Dillwyn Parrish, William W. Longstreth, William Dorsey, Edward Hoopes, William C. Biddle, Joseph Powell, Joseph Wharton, John Sellers, Clement Biddle, P. P. Sharples, Edward Parrish, Levi K. Brown, Hugh McIlvain, Franklin Shoemaker and their associates and successors forever be, and they are hereby made and constituted a body politic and corporate, under the corporate title of SWARTHMORE COLLEGE, and under the name shall have perpetual succession, and are hereby empowered and made capable in law to purchase, take, hold and enjoy to them and their successors real and personal estate, without limitation as to amount; and to sell, demise, convey, assure, transfer and dispose of their estate or interest therein, and also to improve and augment and apply the same with the rents, issues, profits and income thereof to the purposes of their institution; and the said corporation by the name aforesaid shall and may sue and be sued, plead and be impleaded, answer and be answered, defend and be defended in all courts of law and equity, and shall have power to make, have and use a common seal and the same to change, alter and renew at their pleasure and also to make and execute such By-Laws, ordinances and regulations not contrary to the laws and constitution of this Commonwealth as to them shall seem meet.
Section 2. That the said corporation be authorized to establish and maintain a school and college for the purpose of imparting to persons of both sexes knowledge in the various branches of science, literature and the arts, and the Board of Managers shall have power to confer upon the graduates of the said College and upon others when by their proficiency in learning they may be entitled thereto, such degrees as are conferred by other colleges and universities in the United States.
Section 3. So much of the Charter of Swarthmore College as provides for the representation of the property and franchises of the corporation by means of a capital stock divided into shares is hereby annulled. The affairs of the corporation shall hereafter be managed by a board of not less than fifteen or more than thirty-nine Managers, who shall have power to elect their successors and appoint the chair of the Board, Secretary and Treasurer and other officers of the Corporation and adopt such by-laws as may be necessary for the management of the business. The President of the College shall be an ex officio member of the Board of Managers. The government and direction of the said College, the appointment and employment of professors and other officers concerned therewith and the general management of the affairs of the College shall be entrusted to the Board of Managers, who shall have all the powers of directors and members of a Pennsylvania non-profit corporation, and who shall have power to enact such rules and regulations not inconsistent with the Charter and amendments thereto as they shall see fit. The President and Secretary shall affix the corporate seal and attest all documents as may be directed by the Board of Managers. Women single or married may be members of said corporation and managers and officers thereof.
Section 4. None of the assets or income of the corporation shall ever be divided among the members thereof or be diverted from the objects for which it was incorporated.
Original charter is Act of Assembly approved April 1, 1864, P. L. 185. Supplemental Act of Assembly approved April 14, 1870, P. L. 1161. Amendments by the Court of Common Pleas of Delaware County approved April 8, 1889, February 1, 1892, February 26, 1908, January 23, 1909, October 22, 1910, July 17, 1931, C. P. Delaware County, June Term, 1931, No. 515, recorded at Media in Charter Book H, page 357, etc., and February 10, 1956, C. P. Delaware County, December Term, 1955, No. 1225 recorded at Media in Charter Book N, page 149, etc. Amendment filed with the Secretary of the Commonwealth December 1977. Amended October 6, 1990. Amended March 1, 2003.
2. BYLAWS OF THE CORPORATION, SWARTHMORE COLLEGE
Board of Managers
- The Board of Managers (hereinafter termed the “Board”) shall have responsibility for the general management of the affairs of the College, subject to the Charter and these bylaws. The Board shall have the responsibility for choosing and appointing the President of the College and for reviewing and approving all recommendations of the Committee on Academic Affairs with respect to tenure of members of the faculty.
- The Board shall hold a minimum of three and a maximum of four regular meetings during each academic year, as determined from year to year at the annual meeting; including an annual meeting to be held in April or May, provided, however, that the Chair of the Board may, with respect to any academic year in which three regular meetings have been scheduled, increase the number to four if in the judgment of the Chair the additional meeting is necessary for the proper carrying out of the Board’s business. At the annual meeting, the Board shall also set the dates, times and place of the three or four regular meetings to be held in the following calendar year.
- Special meetings of the Board may be called by the Chair of the Board when the Chair deems them necessary and shall be called by the Chair on the written request of five members of the Board (hereinafter termed “Managers”). The notice of a special meeting shall state its purpose and no business other than that stated shall be transacted. Written notice of the date, time and place of each special meeting shall be given to each Manager at least 3 days prior to the meeting, personally or by sending a copy thereof by first class or express mail, electronic mail, courier service or facsimile transmission, with postage or other charges prepaid.
At all meetings of the Board the number of Managers equal to one-third (1/3) of the total number of Managers then serving on the Board shall constitute a quorum for the transaction of business.
a. The Board shall consist of a maximum of thirty-nine members in the following categories: (i) a maximum of twenty-seven Term Managers; (ii) a maximum of eight Alumni Managers and (iii) a maximum of four Young Alumni Managers. All Managers shall be elected by the Board for terms of four years from candidates nominated by the Nominating and Governance Committee; provided, however, that Alumni Managers shall be nominated following the procedure described in Section 5(c) of this Article I.
b. Term Managers shall be eligible for election for three successive terms and may not be re-elected for one year after the expiration of the third such term, except that on the recommendation of the Chair of the Board, the Nominating and Governance Committee may defer that one-year requirement in extraordinary circumstances when it finds that deferral would serve the best interests of the College. If a Term Manager is elected to fill a vacancy for the balance of a term of which two years or less remains, such remaining period shall not be counted against the foregoing limit of three successive terms. When such a deferral is granted, it shall be for four years, but it may be renewed if a similar finding is made.
c. Alumni Managers shall be elected under the following procedure: (i) the Nominating and Governance Committee, after consultation with the nominating committee of the Swarthmore College Alumni Council, shall propose to the Alumni Council nominating committee two candidates for each Alumni Manager position to be filled from time to time; (ii) said nominating committee shall select one of the two candidates for each Alumni Manager position and report same to the Nominating and Governance Committee; and (iii) alumni Managers shall serve for a single term and may not serve as Managers for a period of one year after the expiration of such term, except that on the recommendation of the Chair of the Board, the Nominating and Governance Committee may defer that one-year requirement in extraordinary circumstances when it finds that deferral would serve the best interests of the College. When such a deferral is granted, it shall be for four years, but it may be renewed if a similar finding is made.
d. Young Alumni Managers shall be elected from candidates nominated by the Nominating and Governance Committee who have graduated from the College within the preceding seven-year period. Young Alumni Managers shall serve for a single term and may not serve as Managers for a period of two years after the expiration of such term, except that on the recommendation of the Chair of the Board, the Nominating and Governance Committee may defer that two-year requirement in extraordinary circumstances when it finds that deferral would serve the best interests of the College. When such a deferral is granted, it shall be for four years, but it may be renewed if a similar finding is made.
e. Terms of Managers, Officers of the Corporation, and Chairs of Standing Committees shall begin at the conclusion of the Annual Meeting at which they are elected and shall end at the conclusion of the Annual Meeting in the last year of their term.
f. The President of the College and the President of the Alumni Council shall be
ex officio members of the Board, but shall not have the right to vote or be counted in determining the total number of Managers serving from time to time.
g. All vacancies during a Manager’s term caused by death, resignation or removal or inability to act shall be filled by election by the Board from candidates nominated by the Nominating and Governance Committee; provided, however, that in the case of Alumni Managers the procedure described in Section 5(c) of this Article I shall be followed.
- Anyone who has served as a Manager sixteen or more years in the aggregate or who reaches the age of sixty-five during active service on the Board may be recommended by the Nominating and Governance Committee to be elected a Manager Emeritus. A Manager Emeritus shall not be considered in determining the number of Managers under Section 5(a) of Article I.
- The Nominating and Governance Committee may, under special circumstances, recommend that a Manager who does not meet the foregoing criteria be elected a Manager Emeritus.
- A Manager Emeritus shall receive notice of all meetings of the Board, may be appointed to any Standing Committee or ad hoc committee of the Board, shall be entitled to attend all meetings of the Board and shall have all the privileges of a Manager except the right to vote.
Officers of the Corporation
The Officers of the Corporation shall be Chair of the Board, Vice Chair of the Board, Secretary, Treasurer, Assistant Secretary and Assistant Treasurer, all of whom except the Treasurer, Assistant Secretary and Assistant Treasurer shall be Managers. The Officers of the Corporation shall be elected for a one-year term at each annual meeting of the Board to serve at the pleasure of the Board and until their successors are elected and qualified. Officers of the Corporation shall be eligible for re-election at the expiration of their annual terms. In case of the death, resignation or inability to act of any Officer, the Board may appoint an officer pro tempore until the vacancy be filled or the disability be removed.
2. Chair of the Board
The Chair of the Board shall preside at all meetings of the Board and may execute official deeds, contracts and other documents, on behalf of the College as “Chair of the Board.” The Chair of the Board shall be an ex officio non-voting member of all Committees of the Board.
3. Vice Chair of the Board
The Vice Chair of the Board in the absence of the Chair of the Board shall discharge all the duties of the Chair of the Board and shall otherwise perform such functions as may be delegated to him or her by the Chair of the Board.
4. Secretary and Assistant Secretary
The Secretary shall keep, in a book provided for the purpose, accurate minutes of all proceedings of the Board. The Secretary shall mail notices of all regular meetings of the Board at least five days prior thereto to all Managers and Managers Emeritus at their addresses last known to the Secretary.
The Assistant Secretary in the absence of the Secretary shall discharge all the duties of the Secretary and shall otherwise perform such functions as may be delegated to him or her by the Secretary.
5. Treasurer and Assistant Treasurer
a. The Treasurer shall have custody of all funds of the College, including all funds of which it is fiduciary, and shall receive all income from investments and all money paid to the College and shall deposit the same in such institutions as the Board may direct.
b. The Assistant Treasurer in the absence of the Treasurer shall discharge all the duties of the Treasurer and shall otherwise perform such functions as may be delegated to him or her by the Treasurer.
a. The Standing Committees of the Board shall be:
- Academic Affairs
- Development and Communications
- Nominating and Governance
- Social Responsibility
- Student Affairs
b. The Standing Committees shall be under the control of and directly responsible to the Board. Members of the Standing Committees, except for the members of the Executive Committee and the Nominating and Governance Committee, need not be restricted to Managers. The Chairs of all Standing Committees shall be Managers. Managers who cease to be such while serving as members of Standing Committees may continue to serve on such Committees until the end of the academic year following the academic year in which they ceased to be Managers. The Standing Committees shall keep minutes of their proceedings and shall report to the Board at its regular meetings.
- The Chair of the Board may from time to time appoint ad hoc committees or task forces for such purposes as the Board shall determine, the members of which need not be restricted to Managers. The chairs of ad hoc committees and task forces shall be Managers or Officers of the College. Ad hoc committees and task forces shall keep minutes of their proceedings and shall report to the Board as and when the Board shall direct.
- Each Standing Committee and any ad hoc committee or task force may function through such sub-committees as it may determine from time to time. All sub- committees shall keep minutes of their proceedings to be incorporated with the minutes of the parent body.
The Standing Committees
- Academic Affairs
a. The Committee on Academic Affairs shall advise with the appropriate officers of the College on the care and oversight of all academic affairs, including the Libraries, not delegated by the Board to the Faculty or the President of the College.
b. Working closely with the Provost to generate broad policy discussions of educational philosophy, goals, and practices, the Committee, acting on behalf of the Board, shall (i) review all faculty appointments and promotions, including tenure decisions and endowed professorships; provided, however, that tenure decisions must be approved by the Board following review by the Committee, (ii) consult on guidelines for yearly faculty salary increases, and (iii) approve granting of degrees for graduation.
c. Working closely with the appropriate officers of the College, the Committee shall have oversight responsibility of the athletic programs at the College; provided, however, that to the extent the exercise of such responsibility addresses the experience of students in or with the athletic programs, the Committee shall consult with the Committee on Student Affairs.
d. The Committee shall also review the evolving role of technology as it relates both to the Libraries and to the classroom.
e. Where appropriate, the Committee shall review issues on quality of life and other human resources issues with respect to the faculty.
- Development and Communications
a. The Development and Communications Committee shall confer with the appropriate officers of the College with respect to all current and long-term development for the College and, working closely with the officer in charge of the College’s development activities, shall have responsibility for the raising of funds to meet the College’s annual needs and periodic capital needs.
b. Working closely with the appropriate officers of the College, the Committee shall review and advise regarding the ways in which (i) the College communicates its mission, priorities and needs both within and outside the College community and (ii) receives input from, and encourages involvement in the life of the College of, the various constituencies comprising the College community.
a. The Executive Committee shall provide a practical working group to serve as a resource for informal counseling to the Chair of the Board and the President of the College and shall undertake emergency or interim actions for the whole Board when necessary. Except as otherwise provided by law, the Committee shall also have all the power of the Board between meetings of the Board.
b. The Chair of the Board shall be Chair of the Committee and the Vice Chair of the Board shall be Vice Chair of the Committee. The other members of the Committee shall be the Secretary of the Corporation, the Chairs of the other Standing Committees, the President of the College and not more than three other Managers appointed from time to time by the Chair of the Board.
c. The Committee shall convene by call by the Chair, the Vice Chair or the President of the College or at the request of any two members of the Committee. Six or more members of the Committee shall constitute a quorum for the transaction of business.
a. The Finance Committee shall have the responsibility of reviewing the annual operating and capital budgets submitted by the President of the College, and when such budgets are approved by such Committee, they shall be recommended by such Committee to the Board for final action. The Committee shall have authority to authorize changes in the budgets and the making of unusual expenditures as may from time to time be recommended by the President of the College, but such changes or expenditures shall be reported at the next meeting of the Board.
b. The Committee shall also have responsibility for the administration of all trusts where the College is the fiduciary, including the allocations and distributions of principal and income of the various trusts to beneficiaries and to funds and endowments of the College. Subject to the approval of the Board, the Committee may provide for and establish common trust funds for some or all of the trusts where the College is the fiduciary.
c. The Chair of the Committee, on behalf of the Board, shall have oversight of the finances of the College, shall recommend to the Board, in conjunction with the Investment Committee, a guideline for spending endowment returns, shall be empowered to call for and receive from any officer or employee reports on the condition of the finances of the College and the various funds of the College, including funds of which the College is a fiduciary.
d. The Committee shall work closely with the Vice President of Finance and Treasurer in reviewing the College’s five-year plans and other financial planning materials and the College’s financial aid programs.
e. The Committee shall maintain at all times a subcommittee called the Audit Subcommittee. Its primary function shall be to assist the Committee in fulfilling its oversight responsibilities by reviewing the College’s auditing, accounting, risk management and financial reporting processes and the system of internal controls. The members of the Audit Subcommittee shall be three members of the Committee, the Chair of the Committee (ex officio), and the Chair of the Board (ex officio). Members of the Audit Subcommittee shall be dedicated to understanding and analyzing accounting and finance issues, principles, and practices relevant to the College’s financial affairs. The Chair of the Audit Subcommittee shall serve a term of no more than five consecutive years. The Audit Subcommittee shall meet at least three times per year and report to the Committee at its next meeting. At any time, the Audit Subcommittee may request to meet with the Board or any of its members as it deems appropriate.
The responsibilities of the Audit Subcommittee shall be:
Arranging for an annual audit by independent accountants of all the College’s accounts, reviewing the College’s annual audited financial statements, and recommending acceptance of these statements to the Committee, and, upon completion of the audit, reviewing separately (without management present) with the external auditors any significant issues encountered during the audit, including any restrictions to the scope of work or access to required information;
Approving any non-audit services provided by independent accounting firms, which services should be provided by firms other than that providing the annual audit unless approval is given by the Audit Subcommittee prior to
Monitoring the internal controls of the College, including assessing the information system controls and security;
Reviewing any certifications, reports, or opinions rendered by the external auditors, including an annual management letter, as well as management’s response to such letter;
Reviewing and approving, if appropriate, major changes to the College’s accounting, reporting, and internal control practices;
Monitoring risk management at the College including on an annual basis, reviewing the College’s insurance coverage and reviewing risk exposure to ensure adequate coverage of key areas of risk;
Monitoring Board and employee conflict of interest policies and administering an annual survey of Board members and key administrators;
Establishing procedures for the receipt, retention, and treatment of any complaints regarding accounting, auditing, and internal accounting control issues, including procedures for confidential, anonymous submissions of such complaints by employees;
Conducting an annual self-assessment of the Audit Subcommittee’s work.
3. ADMINISTRATIVE ORGANIZATION
Swarthmore College has not traditionally emphasized administrative hierarchy or precise and exclusive definitions of function. The prevailing administration practices are collegial and depend heavily on mutual consultation. This is possible because of the relatively small number of strictly administrative functions and because of the relatively small size of the College community. It has seemed desirable because few important problems and needs for administrative services occur consistently in forms susceptible of precise and exclusive definition. The College catalog contains a complete and largely self-explanatory list of administrative offices and staff. The following account is neither full nor comprehensive, but is intended to indicate to faculty members in a general way where to turn for information and service. Many of the other sections of the Handbook make more specific references.
Functions of Principal Administrative Officers
Subject to the ultimate responsibility of the Board of Managers, the President is the principal administrative officer of the College. He or she is the normal channel for communication of College concerns to and from the Board of Managers and for relating the College in its general, institutional concerns to agencies and publics beyond the campus. The President superintends directly or indirectly all administrative functions of the College and is ultimately responsible for them under the Board of Managers. The President is the chair of the Committee on Faculty Procedures and the Committee on Promotion and Tenure and is a member ex officio of the Council on Educational Policy. The President is responsible to the Board for the quality and integrity of the academic program, for the conditions of campus life and work, for administrative performance, and for matters of the College’s fiscal well-being, budget and personnel.
The Vice President for Finance and Treasurer is, in accordance with the College By- Laws, responsible under the President for financial management. This position is an officer of the College and works closely with the Finance, Audit, and Investment Committees of the Board of Managers. This office has jurisdiction over: the Business Office, the Investment Office, and the Office of Institutional Research. It oversees the financial aspects of the Financial Aid Office (which reports to the Dean of Admissions and Financial Aid). The Vice President is responsible for endowment investment, institutional research, and accounting and internal control. This latter includes developing business policies and procedures as they relate to budgeting, purchasing, reimbursements, and travel matters--as well as other related matters. The Vice President for Finance chairs the College Budget Committee and acts as the campus convener of the Committee on Investor Responsibility (which is chaired by the Chair of the Investment Committee of the Board of Managers). The Provost and the Vice President for Finance are the administrative officers with whom academic departments deal in formulating their operating budgets and who review and sign grant applications to which the College is an administrative party.
The Business Office provides faculty members and departments with regular (monthly) reports on budget and research fund activity. The Provost’s Office serves as the point of contact for faculty members for questions about administration of grants, travel/reimbursement issues, departmental equipment matters, and supplies.
The Human Resources department, directed by the Vice President for Human Resources, works to promote an environment which attracts talented staff and which challenges all staff to perform at the highest level of achievement, contributing in meaningful ways to the mission of the College. This is accomplished through the functions of employment, payroll, benefits, compensation, employee relations and employee/organization development.
The Vice President for Alumni and Development has primary responsibility for fundraising, donor and alumni records, alumni relations, publications and communications with the general public through news media. The Vice President is assisted by the Directors of Alumni Relations, Alumni Development, Leadership Giving, Corporate, Foundation and Government Relations, Advancement Services, and Communications. Contributions are sought from alumni/ae, parents, friends, foundations, corporations and government. Gifts generally are of four types: annual, unrestricted (for operating expenses), capital (either for construction or endowment), and planned or deferred (realized by the College at the death of the donor). Alumni Relations includes annual Reunion Weekends, Alumni College, regional events, the Alumni Council, and Connections (in certain large cities). Communications comprises the Bulletin (catalog), development and admissions materials, and various brochures and reports. It also provides press releases, internal schedules and notices, press and media relations, campus publications, and sports information (in collaboration with the physical education and athletics department).
The Executive Assistant to the President & Vice President for College and Community Relations works closely with the president in addressing the expressed needs of all College constituencies, including faculty, students, staff, alumni, parents, friends, and other external audiences. The VP serves as a member of the President’s senior staff, coordinates its meetings as well as the quarterly meetings of the Board of Managers, is an officer of the College, serves as Assistant Secretary to the Board, staffs its Nominating Committee, Executive Committee and, with the Executive Director of the Lang Center, the Committee on Social Responsibility, and manages/coordinates Commencement Weekend.
The Provost is the principal academic officer of the College, under the President. The Provost works with department chairs on appointments, reappointments, and tenure and promotion decisions, and oversees other aspects of personnel policy pertaining to the faculty. The Provost is responsible for the academic program, including the libraries, information services, and athletics; chairs the Council on Educational Policy and the Curriculum Committee; and is a member of the Committee on Faculty Procedures, the Committee on Promotion and Tenure, and various other committees. The Provost’s office is the point of contact, short of the President, for matters of general academic policy and faculty personnel policy. The Associate Provost is a faculty member who serves for three years in a partial (3/5 time) administrative capacity. The AP’s duties include organizing faculty lunches and lectures, new faculty orientation, updating the Handbook for Instructional Staff, and working on special projects for the Provost.
4. MEMBERSHIP IN THE FACULTY
The following hold full membership in the faculty of Swarthmore College:
- the President, the Provost, the Librarian of the College; those full-time Professors, Associate Professors, Assistant Professors, Instructors,1 and members of the Athletics faculty who have taught at the College in the prior year or have an appointment of more than one year;
- those Vice Presidents, Deans, the Registrar, the Director of Athletics, other administrative officers, and librarians designated by the President and approved by the Committee on Faculty Procedures and by the Board of Managers;
- Professors, Associate Professors, Assistant Professors, and Instructors who hold joint appointment with Bryn Mawr College, Haverford College or the University of Pennsylvania;
- others who, because of their special qualifications, are recommended by the President and approved by the Committee on Faculty Procedures and by the Board of Managers.
Those invited to participate in Faculty meetings, but who will have no vote, include:
- emeritus faculty; 2
- full-time, temporary academic appointees of any rank who do not have full faculty membership as defined above;
- lecturers teaching full-time, and those other members of the instructional staff who teach half-time or more, whose principal employment is with Swarthmore College and where there is reasonable expectation of continued employment on some regular basis;
- others who, because of their special qualifications, are recommended by the President and approved by the Committee on Faculty Procedures.
The Instructing Staff, customarily invited to the first faculty meeting of the academic year, includes the faculty and all others who are engaged in teaching courses and seminars. (Adopted by the Faculty 27 April 1987).