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Faculty Handbook

KING ABDULLAH UNIVERSITY OF

SCIENCE AND TECHNOLOGY

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Contents

1.1 Vision ....................................................................................................................................................... 6

1.2 Mission .................................................................................................................................................... 6

1.3 KAUST Values .......................................................................................................................................... 6

1.4 Equal Opportunity in Education and Employment ................................................................................. 7

1.5 Academic Freedom/ Legal Autonomy ..................................................................................................... 7

1.6 University Governance & Administration ............................................................................................... 8

Board of Trustees ...................................................................................................................................... 8

President ................................................................................................................................................... 8

Executive Vice President for Administration and Finance ........................................................................ 8

Vice President for Academic Affairs .......................................................................................................... 9

Vice President for Innovation and Economic Development ..................................................................... 9

Vice President for Research ...................................................................................................................... 9

Academic Divisions ................................................................................................................................... 9

Research Centers .................................................................................................................................... 10

1.7 Standing Committees ............................................................................................................................ 11

University Executive Committee ............................................................................................................. 11

Academic Committees ............................................................................................................................ 11

Academic Council ........................................................................................................................................ 11

Promotions and Appointments Committee ............................................................................................ 11

2. Faculty Life .............................................................................................................................................. 12

2.1 Faculty ............................................................................................................................................... 12

2.2 Academic Calendar ........................................................................................................................... 12

2.3 Responsibility of Faculty ................................................................................................................... 12

2.4 Academic Appointment .................................................................................................................... 13

2.5 Performance Evaluation .................................................................................................................... 14

2.6 Promotion ......................................................................................................................................... 14

2.7 Visiting Professors ............................................................................................................................. 15

2.8 Academic Administrative Appointments .......................................................................................... 15

2.9 Faculty Benefits ................................................................................................................................. 16

2.10 Resignation...................................................................................................................................... 16

2.11 Academic Leave .............................................................................................................................. 16

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2.11.1 Sabbatical Leave ............................................................................................................................. 17

2.11.2 Leave Without Pay ......................................................................................................................... 17

2.12 Grievances ...................................................................................................................................... 17

2.13 Professional Development and Skills Training ................................................................................ 18

2.14 Faculty Travel .................................................................................................................................. 18

2.15 Retirement ...................................................................................................................................... 18

3. Teaching .................................................................................................................................................. 19

3.1 Teaching Responsibilities/Duties ...................................................................................................... 19

3.2 Student Academic Conduct ............................................................................................................... 20

3.3 Student Advising ............................................................................................................................... 20

3.4 Students with Disabilities .................................................................................................................. 21

3.5 English Language Requirements ....................................................................................................... 21

4. Research .................................................................................................................................................. 22

4.1 Research Funding Framework .......................................................................................................... 22

4.2 Research Centers .............................................................................................................................. 22

4.3 Research Safety ................................................................................................................................. 24

4.4 Collaborations (Internal and International) ...................................................................................... 24

4.5 Research Facilities and Infrastructure .............................................................................................. 25

4.5.1 Individual PI Laboratories .................................................................................................................. 25

4.5.2 Research Center Laboratories ............................................................................................................ 25

4.5.3 Core Laboratories ............................................................................................................................... 25

4.6 Allocation of Laboratory Space, Office Space, and Equipment ........................................................ 26

5. Ethics and Professional Conduct ............................................................................................................. 27

5.1 Conflict of Interest and Conflict of Commitment ............................................................................. 27

5.2 Consulting and Outside Activities ..................................................................................................... 27

5.3 Publishing and Plagiarism ................................................................................................................. 28

5.4 Student-Advisor Academic Relationship ........................................................................................... 29

5.5 Misconduct and Disciplinary Matters ............................................................................................... 29

5.6 Student-Advisor Personal Relations .................................................................................................. 29

5.7 Gifts ................................................................................................................................................... 29

5.8 Whistleblower Protection Policy....................................................................................................... 30

6. Innovation & Economic Development .................................................................................................... 31

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6.1 Intellectual Property and Technology Transfer ................................................................................ 31

6.2 Support for Startups ......................................................................................................................... 33

6.3 Industry-Sponsored Research ........................................................................................................... 33

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March 21, 2018

Dear Faculty,

Faculty members are expected to participate in a wide array of activities as part of their professional

duties. These activities are typically described as falling into the multi-part duties of teaching, research,

service and economic development. These duties often require a broad understanding of the operation

and procedures of the university, which can change from time to time.

The goal of the Faculty Handbook is provide a resource for faculty in support of the many questions that

often arise as part of serving the mission of the university. This handbook does not list policies or

procedures in great detail, but it does provide quick overviews into many of the aspects of the university

and serve as a reference for where to find the official, complete details on a topic should they be needed.

We hope that you find this Handbook useful.

Sincerely,

James A. Calvin

Vice President for Academic Affairs

PS We are committed to improving the coverage and value of the Handbook through periodic updates.

If you have any suggestions on what new topics should be included or what topics might be

expanded, please let us know by sending you suggestions to facultyaffairs@kaust.edu.sa so that

they may be considered in the next version of this handbook.

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1.1 VISION

KAUST aspires to be a destination for scientific and technological education and research. By

inspiring discoveries to address global challenges, we strive to serve as a beacon of knowledge that

bridges people and cultures for the betterment of humanity.

1.2 MISSION

KAUST advances science and technology through distinctive and collaborative research

integrated with graduate education. We are a catalyst for innovation, economic development and

social prosperity in Saudi Arabia and the world.

We exist for the pursuit and advancement of scientific knowledge and its broad dissemination and

benevolent application. We strive to enhance the welfare of society with a special focus on four

areas of global significance – food, water, energy, and the environment.

1.3 KAUST VALUES

At KAUST, we attract people from Saudi Arabia and around the world who want to create impact

beyond their own achievements. Irrespective of their national origins, the people of KAUST are

“people of the world” who uphold our values of achievement, passion, inspiration, citizenship,

diversity, integrity, and openness.

Those who join us are drawn here by the:

Desire to collaborate with people who share the belief that tackling global challenges is a

worthy endeavor;

Opportunity to contribute to science and innovation within an historic enterprise; and

Prospect of living in a uniquely international community where they and their families can

thrive.

In return, we invest in our people to help them fulfill their intellectual and personal potential.

Together we are guided by these principles:

Advancement of science and technology for the public good. We encourage collaboration

among scientists, researchers, students, and staff from different disciplines, nationalities,

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and cultural backgrounds. We leverage these global partnerships in pursuit of excellence

to support the nation’s aspirations and address global challenges.

Environment where inquiry and debate can take place with purpose, passion, and respect.

We are committed to the highest standards of moral, ethical, and professional conduct in

our scholarly and research activities, and in our daily lives throughout the community.

Dedication to academic and professional best practices that uphold transparency and

meritocracy in the recruitment, development, and advancement of our people. We are

committed to excellence across all of our activities and embrace global benchmarks for

performance.

Combined, these values and guiding principles act as a unifying and energizing force bridging

peoples and cultures in a collegial, open, and transparent community. In education, research, and

innovation, KAUST acts globally and delivers both locally and internationally.

1.4 EQUAL OPPORTUNITY IN EDUCATION AND EMPLOYMENT

As an integral element of its aspiration to become a globally renowned research-intensive

institution and attract leading academic staff, scholars and students, the University’s Articles of

Governance codify its commitment not to discriminate against any person on the basis of race,

color, religion or gender.

1.5 ACADEMIC FREEDOM/ LEGAL AUTONOMY

The University is established as an independent, non-profit, research-intensive, post-graduate

science and technology higher education institution that is not subject to the regulations

applicable to other universities in the Kingdom of Saudi Arabia and that is not subject to the

jurisdiction of the Ministry of Higher Education.

The University has financial, administrative and academic autonomy; it is empowered to achieve

its objectives and manage its affairs under the direction of its Board of Trustees.

Academic personnel enjoy the rights and privileges of freedom of academic inquiry and pursuits

balanced by the associated responsibilities and accountabilities within the legal framework of

Saudi Arabia. Faculty members shall use such rights and freedom to boost student’s development,

improve their scientific skills and enrich their knowledge.

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1.6 UNIVERSITY GOVERNANCE & ADMINISTRATION

The University Executive team includes the President, the General Counsel, the Executive Vice

President for Administration and Finance, the Vice President for Academic Affairs, the Vice

President for Innovation and Economic Development and the Vice President for Research.

Board of Trustees

The Board of Trustees is ultimately responsible for the conduct of the University’s activities (which

are carried out under the direction of the President) and for monitoring the progress and

development of the University. Importantly, the Board of Trustees is also charged with

responsibility for protecting the independence of the University and supervising its assets,

including but not limited to the financial endowment.

The University is organized into faculty and staff, Academic Divisions, Research Centers, and

other such units that the Board of Trustees may approve from time to time based on

recommendations made by the President.

President

The President of the University serves as the University’s Chief Executive Officer and is

responsible for providing overall supervision of its affairs. The President also serves as a

University Trustee. The President exercises administrative authority over all University

personnel. The President’s powers include developing a plan for the organization of the

University; recommending faculty appointments for Board approval at the rank of Associate

Professor and Professor; appointing Assistant Professors and Executives in non-academic

positions; developing an annual plan for the University’s financial operations and budget; and

providing periodic reports to the Board on the state of the University and its needs,

accomplishments, and obstacles faced, along with recommendations to address them.

Executive Vice President for Administration and Finance

The Executive Vice President for Administration and Finance (VPAF) serves as the University’s

chief administrative officer and is responsible for directing all business, financial, and

administrative functions to support the University’s academic and other programs. The Executive

Vice President is also responsible for all aspects of the University’s physical infrastructure.

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Vice President for Academic Affairs

The Vice President for Academic Affairs (VPAA) drives the education strategy and upholds

educational standards across divisions, centers and core laboratories. Working in close

collaboration with the Deans who are responsible for their own Division’s programs, the VPAA

monitors and ensures the quality and trans-disciplinarity of the education provided throughout

the University. The VPAA also has a range of management responsibilities that include and are

not limited to: Academic and Graduate Affairs; Registrar; Faculty Affairs; International Programs

(including the Visiting Student Research Program); Enrichment Programs and the University

Library.

Vice President for Innovation and Economic Development

The Vice President for Innovation and Economic Development (VPI&ED) directs the University's

activities in relation to innovation, economic development and technology transfer, including

industry collaboration and sponsored research. The VPI&ED oversees the Office of Technology

Transfer and the development of the Research and Technology Park, subject to the President's

approval and, when required, the Board's approval.

Vice President for Research

The Vice President for Research (VPR) drives the research strategy and upholds research

standards across divisions, centers and core laboratories. Working in close collaboration with the

Deans who are responsible for their own Division’s programs, the VPR monitors, evaluates and

ensures the quality and trans-disciplinarity of the research performed throughout the University.

The VPR has also a range of management responsibilities that include and are not limited to:

proposing and implementing competitive funding arrangements; optimizing the research

investment at KAUST; managing the balance between basic research, goal-oriented research and

service-oriented research; managing the Office of Sponsored Research and advising on research

infrastructure and space.

Academic Divisions

Academic Divisions develop and apply fundamental knowledge in science and engineering while

creating opportunities for ideas and innovation to flourish. The University's people, and the ideas

they generate, are sustained through a funding model designed for long-term research, reflecting

the University's belief in the intellectual potential of curiosity and exploration.

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Academic Divisions develop deep scientific and engineering capabilities through graduate

education underpinned by cutting-edge research. The University's graduate students contribute

to the research environment through their work with the University's outstanding faculty and

access to unrivaled facilities designed to extend their educational horizons. Upon graduation, our

alumni utilize their education and training to help to develop the knowledge economy and

innovation ecosystem in Saudi Arabia and in over 40 countries around the world.

All Faculty are appointed to at least one of the three Academic Divisions. These Academic

Divisions are:

Biological and Environmental Science and Engineering (BESE);

Computer, Electrical and Mathematical Science and Engineering (CEMSE); and

Physical Science and Engineering (PSE).

Each division operates under the executive direction of a Dean who is a member of the Faculty of

the University. The Deans of the Academic Divisions are responsible for the general vision and

operation of their divisions, including recommending faculty appointments, academic salaries

and promotions; setting the division’s teaching and research schedule and teaching assignments;

and managing divisional budgets, degree programs and research centers in collaboration with the

center directors.

Research Centers

The University's research centers invest in major projects and provide thematic focus and critical

mass to pursue goal-oriented research that addresses complex science and technology challenges

in priority research and development areas for the University and for the Kingdom. They

invigorate graduate education by fostering creative and problem-solving approaches in an

interdisciplinary, team-based environment. They also serve as hubs for engagement of private-

sector partners.

Research centers are administered within Divisions. Each research center implements an

interdisciplinary vision through the leadership of a director, who is appointed by the President

and is a member of the University’s Faculty. The director is responsible for the general

management of the center, including the resources provided by the Vice President for Research.

Generally, the Dean responsible for a center’s management is the Dean of that center's director.

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Successful research centers attract faculty and gather resources from one or more divisions as well

as from the offices of the Vice President for Research and Vice President for Academic Affairs.

Faculty members may be affiliated with one or more centers.

Each research center is advised by a scientific advisory panel. These panels comprise independent,

internationally recognized scientists who have expertise in a center’s research focus. These panels

provide advice to research center directors, academic and other staff regarding research at the

forefront of the field. Panel members also identify development issues that may impact a research

center’s agenda and activities. Panel members are nominated by each research center director

and approved by the Vice President for Research.

1.7 STANDING COMMITTEES

University Executive Committee

The University Executive Committee comprises the President, the Executive Vice President for

Administration and Finance, the General Counsel, and up to three additional persons designated

by the President at the Vice President level or above. Chaired by the President, the University

Executive Committee acts in an advisory role to the President on matters concerning the

formulation and implementation of major University plans, programs and policies.

Academic Committees

Academic Council The Academic Council provides advice and recommendations to the President regarding matters

pertinent to the academic life of the University. The President or his delegate chairs the Academic

Council. Academic Council members are elected by faculty. The Vice President for Academic

Affairs, Vice President for Research, and the four Deans are ex-officio members of the Academic

Council.

Promotions and Appointments Committee The Promotions and Appointments Committee reviews all recommendations for faculty

appointments and promotions. The President serves as Chair of the Faculty Promotions and

Appointments Committee with members including the Vice President for Academic Affairs, the

Vice President for Research, the Deans, and four other faculty members appointed by the

President.

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2. FACULTY LIFE

2.1 FACULTY

Academic staff at the University in the ranks of Assistant Professor, Associate Professor,

Professor, Research Professor and Professor of Practice are collectively referred to as the Faculty.

Faculty and non-academic staff are also referred to by the generic and all-inclusive term

personnel.

Deans – usually denotes academic heads of the divisions.

Center Directors – lead the University's research centers.

2.2 ACADEMIC CALENDAR

The University has adopted an academic calendar currently consisting of two semesters:

a fall semester that typically extends from late August through mid-December; and

a spring semester that typically extends from early February through mid-May.

The University also has:

three enrichment programs that run in the fall (FEP), winter (WEP) and spring (SEP).

These programs consist of special short courses offered by visiting faculty; workshops;

symposia; and other scholarly activities; and

a summer session, an eight week period extending from early June through early August,

during which intensive courses are offered.

All dates are approximate and are adjusted annually to begin and end on appropriate weekdays.

Each semester may include scheduled holidays. The academic calendar can be found at

http://www.kaust.edu.sa/academic-calendar.html.

2.3 RESPONSIBILITY OF FACULTY

KAUST is based on three pillars - Teaching, Research, and Innovation - that fulfill its mission and

serve as guidelines to recognize faculty contributions. In addition, all faculty are expected to

participate actively in a full range of service activities directed toward transmitting existing

knowledge and generating new knowledge and understanding.

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The University recognizes that to attract and retain well-qualified faculty, staff and students, it

must provide the highest standards of teaching, learning, research and innovation to equip

students with the skills, knowledge and understanding they need to advance their careers in

academia, industry or other sectors. These skills include the most recent outcomes in the

disciplines and fields of study in which students and University faculty are engaged as well as the

communication, critical thinking, problem solving, team-working and entrepreneurial skills that

are increasingly required in the development of economies and societies more generally.

All duties undertaken by members of the University’s faculty toward achieving these goals are

normally carried out via broad general direction from a Dean, who receives this authority from

the President. Duties and responsibilities are directly related to the expertise and competence of

individual faculty members.

2.4 ACADEMIC APPOINTMENT

Faculty are typically appointed through one of the academic divisions. Appointments are usually

proposed by the Deans through the Promotion and Appointments Committee and require the

approval of the President and, depending on the rank of appointment, the approval of the Board

of Trustees or its Executive Committee.

Faculty are appointed on rolling or fixed-term contracts, the terms of which are set out in the

appointment letter. All faculty appointments include a baseline allocation of funds for research

activity. This baseline allocation is determined by the level of academic appointment and

particular research requirements. Typically, direct affiliation with a Center generates additional

support for the faculty that comes from resources allocated by the Center Director or the Vice

President for Research. Allocation of additional research funds is possible through competitive

research funding schemes available from the Office of Sponsored Research and other external

sources as described in the Research section.

An Assistant Professor is allowed six years to gain promotion to Associate Professor. At any time

during his/her appointment, an assistant professor may seek promotion to Associate Professor

with the support and approval of the Dean of the Division.

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An Associate Professor is allowed seven years to gain promotion to Professor. At any time during

his/her appointment, an Associate Professor may seek promotion to Professor with the support

and approval of the Dean of the Division.

Professors are usually offered five-year rolling contracts until they turn 60 years of age where it

will turn into a 5 year fixed contract.

Research Professors and Professor of Practices are usually given fixed term contracts subject for

renewal.

2.5 PERFORMANCE EVALUATION

Performance in teaching, research, innovation and service is evaluated periodically to assess

progress, to establish expectations for future performance, and to provide a basis for merit

increases.

Each year, each faculty member completes an annual activity report that highlights his/her main

achievements in all areas in which they are expected to contribute. An annual evaluation is

performed by the Dean in collaboration with, when relevant, the center director. Every three

years, the evaluation is more detailed and involves the President.

The Deans meet individually with each faculty member to discuss the evaluation and future

individual learning and development plans and progress. Each faculty member receives a copy of

his/her evaluation.

2.6 PROMOTION

Faculty who are appointed as assistant professors may be considered for promotion to associate

professor at any time during their contract with the Dean's approval but must be confirmed as

associate professors within six years of joining the University. The promotion procedure is

initiated by the faculty member, who should solicit the Dean’s support to prepare a promotion

package. The promotion package is submitted to the office of Faculty Affairs, who then presents

the promotion file to the Promotion and Appointments Committee. If promotion is granted, a new

contract as Associate Professor with a new research support package may be extended. If

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promotion is denied, the faculty member may request a terminal contract extension of up to one-

year to make plans for the next step in his/her career.

Faculty who are appointed as associate professors may be considered for promotion to Professor

at any time, but must be confirmed as Professors within seven years of becoming an associate

professor. There is no minimum waiting period after the previous promotion, but candidates

must be able to demonstrate substantial additional, recognized accomplishments since their last

promotion. The procedure is similar to that for assistant professors and must be initiated by the

faculty member with the Dean’s support. If promotion is denied, the faculty member may request

a terminal contract extension of up to one-year to make plans for the next step in his/her career.

Each division follows established procedures to propose faculty for promotion, based on

excellence in teaching, research, and service to the University, the profession and society. More

details on Faculty Promotion can be found in the Promotion Guidelines issued annually by the

office of Faculty Affairs.

2.7 VISITING PROFESSORS

Visiting members of the University’s Faculty may be appointed as Visiting Professors, with the

approval of the Vice President for Academic Affairs, for a duration specified in a letter of

appointment, to fulfill temporary teaching, learning, research, and/or operational needs.

Appointments of visiting faculty members are made at a level commensurate with the candidate's

background and experience and are subject to the same standards that apply to full-time members

of the University’s faculty.

Visiting faculty are typically employed at other academic institutions or research organizations

and are compensated for their service at the University according to the section on Visiting

Appointments, which is included in the University’s Human Resources Employment Manual.

2.8 ACADEMIC ADMINISTRATIVE APPOINTMENTS

The University may appoint members of the faculty to senior administrative posts such as

Associate Dean or Associate Director/Director of a Research Center. These appointments are

typically for fixed periods and will be in addition to the faculty member's primary academic

appointment.

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2.9 FACULTY BENEFITS

The University offers a wide range of benefits including healthcare, vacation, employee assistance

program, health and life insurance, savings and pension plans and community facilities. For a

comprehensive list of benefits, see the University’s Human Resources Benefits Program.

2.10 RESIGNATION

If a full-time faculty member intends to terminate his or her employment with the University,

reasonable notice must be given in writing to the Dean, who will forward the letter to the Vice

President for Academic Affairs for processing.

If a resigning faculty member holds research grants or contracts from outside agencies, the Vice

President for Research should be consulted for proper arrangements for the liquidation or

transfer of grant funds and for the disposition of any equipment secured under the grant or

contract, in compliance with the terms and conditions of each grant or contract.

Faculty who resign their positions at the University must fulfill all obligations to their division

before final departure, and the relevant dean must confirm in writing that the faculty member has

fulfilled his or her obligations before being entitled to receive their final compensation payment

from the University. Such obligations include turning in all papers, examinations, grades, etc.,

related to the faculty member's final semester of teaching at the University.

Faculty who resign on good terms may, upon mutual agreement, remain engaged with KAUST

through an unpaid adjunct appointment to maintain connection to allow for the completion of a

student advising relationship and/or to continue an existing research project.

2.11 ACADEMIC LEAVE

Faculty are entitled to all types of leave listed in the Human Resources Leave-Vacation-Holidays

Manual such as (Annual leave, Emergency leave, sick leave, Hajj leave, paternity or maternity

leave and others). In addition, the following categories are of particular relevance to faculty:

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2.11.1 Sabbatical Leave

Sabbatical leave is normally available to all eligible faculty who are Associate Professors

or Professors. Sabbatical leave and the timing thereof are not granted automatically.

Eligible faculty must apply for sabbatical through an application form and must comply

with appropriate procedures. Full details of the qualifying criteria and benefits are

contained in the Sabbatical Leave Policy, available on the KAUST policy portal.

2.11.2 Leave without pay

Leave without pay is not a right of appointment as a faculty member; however, such a leave

may be granted at the discretion of the Vice President for Academic Affairs. Applications

for leave without pay must be submitted in writing to the VPAA through the appropriate

Dean, from whom written approval and support are required. The maximum length of a

leave without pay is one academic year. A leave request must include details of the reasons

for requesting a leave and assurance by the Dean that all duties have been covered and will

be able to be performed through other mechanisms. Further details are contained in the

Human Resources Leave-Vacation-Holidays Manual.

2.12 GRIEVANCES

The University is aware that, from time to time, grievances may arise and that there is a need to

ensure these are dealt with promptly and appropriately to avoid escalation into significant

conflict.

Before pursuing any formal grievance procedure, effort will be made by supervisors to resolve the

matter by informal discussions with the concerned personnel, if appropriate. Minor cases of

dispute may best be dealt with by informal advice, coaching and support rather than through the

formal grievance procedure. Supervisors should discuss problems with the concerned personnel

with the objective of solving them informally whenever possible.

Commencement of the formal process will only take place if a grievance cannot be resolved using

the informal process or in situations where the informal process is not appropriate. The

complainant must provide the details of the formal grievance in writing to his/her supervisor with

a copy to Human Resources within five (5) working days of notification of the outcome of the

informal process, in the event that there has been an informal process. If the supervisor of the

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department is part of the grievance, the concerned personnel must provide the details in writing

to the functional Vice President (if the functional Vice President is part of the grievance, then the

EVP or President). The grievance should be signed and dated. For more information on formal

grievances see Grievance Policy and Procedure.

2.13 PROFESSIONAL DEVELOPMENT AND SKILLS TRAINING

The University is committed to supporting faculty in continuing their professional education or

development in order to maintain their technical and professional knowledge base and skills.

Faculty are encouraged to discuss their developmental plans with their Deans and seek approval.

Faculty are eligible for the reimbursement of their annual membership costs for one professional

association, where such membership is required to keep faculty up to date within their profession.

2.14 FACULTY TRAVEL Faculty are expected to travel as part of their core duties; to disseminate new knowledge, acquire

additional skills, establish/maintain international connections, recruit students, consult with

external entities, provide service to their disciplines and promote the activity of the University.

The travel is triggered by the needs of the University and any travel undertaken will be in the

interests of the University. Further details are contained in the Business and Academic Travel

Procedure – Faculty.

2.15 RETIREMENT

The retirement age for faculty is sixty-five years of age (Gregorian calendar). Fixed contract

extensions beyond the age of sixty-five may be granted if the faculty continues to be scientifically

active and his/her retention is in the University's interest. For additional details on retirement,

see the University’s Human Resources Retirement Policy.

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3. TEACHING

3.1 Teaching responsibilities/duties

University Faculty members are responsible for:

providing timely advice and information on course materials such as textbooks, reference

books, software and laboratory supplies;

teaching assigned courses that conform to published descriptions in the University

catalogue or other materials; and

providing students with a course syllabus and any other relevant materials addressing

course content, methods of assessment and other matters.

A syllabus used in the University will normally contain:

details about the University’s assessment and related policies for particular courses,

general course expectations, and class contact and/or meeting times;

information about how to contact Faculty responsible for teaching and learning and their

normal office hours.

Faculty are responsible for meeting scheduled class times and for holding regular office hours and

making reasonable efforts to meet the needs of students who may have time conflicts with the

office hours outlined in a syllabus and/or other material.

Faculty are also responsible for evaluating and reporting on student work, providing students with

adequate and timely feedback on their performance throughout the semester, and assigning any

final grades within required deadlines. Documents relating to any grading process and student

performance must be retained for at least one semester from the completion of the course, or until

otherwise specified by University policy.

In case of emergencies such as illness or accident, which prevent a scheduled class from meeting,

faculty must inform their Dean or nominee promptly so that students can be informed and,

wherever possible, must make alternative arrangements for scheduled teaching and learning

activities.

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Faculty are required to be available on campus during academic sessions unless absent while

pursuing academic or other university business, in which case they are responsible for arranging

to have classes made up at other times, or covered by another faculty member who is competent

in the subject matter. Absences by faculty from classes for which they are responsible must be

minimized; extended absences must be approved by their Dean. Travelling Faculty must create a

travel plan in the Business Travel system. The travel plan must include the dates and purpose of

the travel, a full justification and details of how teaching/advising commitments will be handled

during the absence. See Academic travel in Business & Academic Travel Procedure.

3.2 Student academic conduct

Faculty are responsible for making all reasonable efforts to foster and encourage honest and

ethical academic conduct among students and to ensure that assessment of student work reflects

the merit and outcome of their endeavors.

Faculty are responsible for ensuring that plagiarism and the use of unfair means in assessment

including examinations are avoided and that students are aware of the penalties for such

practices. Any supervisor, examiner or other faculty or staff member who discovers evidence of

plagiarism, fabrication of results, or other research misconduct in a student’s work must report

the matter immediately to the their Dean.

In turn, the Dean may direct cases of student academic misconduct to a conduct officer who will

determine if a disciplinary hearing or conference is warranted. Disciplinary procedures associated

with academic misconduct are detailed in the University’s Student Code of Conduct, which is part

of the University’s Student Handbook.

3.3 Student advising

As an integral part of their regular academic and related responsibilities, Faculty will normally

serve as advisors to students in the following capacities, including, but not limited to:

academic advisors, who provide advice on selecting courses and programs of study;

research advisors, who oversee student thesis and research projects;

committee members on student thesis; and

mentors, who provide informal advice on career paths and development.

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It is normal practice in the University for Faculty to be assigned as academic advisors for students

working within their discipline area. Academic advisors play a significant role in shaping students'

early and lasting impressions of the University, and the role of the academic advisor is particularly

important for assistance in course planning at the beginning of a student’s program of study. For

an overview of the processes and procedures surrounding matriculation at KAUST, refer to the

Advisor Handbook available from your Program.

Faculty occupy a unique position in students’ lives and their students may confide personal

problems or issues to them. Faculty should maintain confidentiality and, if necessary, refer

students to the Health, Wellness, and Counseling office, where expert staff are available to discuss

such problems.

3.4 Students with disabilities

As part of its ambition to offer world-class teaching, learning and research opportunities as widely

as possible, the University takes steps to ensure that students with disabilities are able to enroll

in its programs.

When the University receives a request from a prospective student with special needs, the

University will attempt to make reasonable accommodation to provide him/her with assistance

according to relevant University policies enabling participation in university programs. Faculty

should contact the office of Graduate Affairs for further assistance when dealing with students

who may have disabilities.

3.5 English language requirements

As teaching, learning and research at the University take place exclusively in English, the

University believes that it is in students’ best interests for their English language skills to have

reached an appropriate level prior to beginning courses at KAUST. Students must be able to

communicate in English at a level and in an idiom suitable to the subjects or discipline they intend

to pursue. Students whose first language is not English are required to pass a high-level English

test before their admission is confirmed.

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4. RESEARCH

4.1 Research funding framework

The University makes available multiple sources of research funding to its Principal Investigators

(PIs). At the time they join the University, all faculty members receive 3 to 5 years of baseline

funding support for a research plan submitted to the Dean and normally agreed by the Vice

President for Research. In addition, Faculty members are offered the opportunity to submit

individual or collaborative proposals to competitive research programs offered from time to time

by the Office of Sponsored Research. Funding for competitive, proposal-based research is

provided for in the University’s budget, primarily from the University Research Fund. The

President reviews and endorses all competitive research fund allocations based on

recommendations from the Office of Sponsored Research. These research grants cover awards to

KAUST Faculty and researchers, Research Centers (including research initiatives) as well as

external collaborators.

Faculty are also encouraged to apply to major national (e.g., KACST) and international peer-

reviewed funding programs.

Within the Office of Sponsored Research, Research Services facilitates research by providing

information to all PIs on funding opportunities, assisting in proposal and budget development,

negotiating agreements, accepting and managing contracts and grants, interpreting guidelines,

and promoting compliance with applicable University policies through its pre-award and post-

award services. Research proposals to all sponsors must be internally reviewed and approved

prior to submission. It is therefore crucial that PIs contact Research Services as early as possible

in the proposal development process to ensure sufficient time for all relevant institutional

approvals to be obtained.

4.2 Research Centers

A typical Research Center may consist of 8-10 faculty members and involve students, research

scientists, engineers and technical staff, post-doctoral researchers, visiting researchers (including

resident and visiting scientists from industry) and administrative personnel.

Research Centers are strategic and focus on topical areas that drive research projects toward

achieving their goals. Current Research Centers focus on:

23 2017-18

Advanced Membranes and Porous Materials

Catalysis

Clean Combustion

Computational Bioscience

Desert Agriculture

Extreme Computing

Red Sea

Solar and Photovoltaics Engineering

Upstream Petroleum Engineering

Visual Computing

Water Desalination and Reuse

Research Centers have Center Directors who report to their Dean but have broad autonomy and

responsibilities. Center Directors are responsible for developing and implementing the vision of

their Center. They are accountable within a matrix to their Dean for personnel and academic

matters and to the Vice President for Research for matters related to Center-wide activities and

funding. The responsible Dean is normally the Dean of the Center Director, although the President

may nominate another Dean.

The main responsibilities of Center Directors are to administer the Center’s baseline and scientific

budgets; to manage access to the common space and equipment of the Center; to serve on faculty

search committees in the field of their Center; to approve affiliation of faculty to the Center; and

to hire and manage dedicated research staff. Center Directors may also be asked to provide the

Dean with an evaluation of the contributions of each Faculty member involved in the Center.

Finally, Center Directors work with the Vice President for Innovation and Economic Development

to establish and manage industrial relations in the field of their Center and with the Vice President

for Academic Affairs to develop education programs and directed research in the field of their

Center.

When publishing papers pertaining to the field of a Center or using Center resources, faculty

should acknowledge the Center, their Division and the University.

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4.3 Research safety

Faculty have particular responsibilities for ensuring appropriate health and safety standards in

their teaching, research and supervisory activities. They are responsible for ensuring that research

performed under their leadership is conducted in an ethical manner that protects laboratory

personnel, facilities, and the University (see Code for the Responsible Conduct of Research). In

performing these duties, faculty must also comply with health and safety procedures and

regulations established by the University’s Department of Health, Safety and Environment,

including the collection, use, storage, and disposal of biological specimens, hazardous chemicals,

radioactive isotopes, and waste (see Appendix 1 in the Laboratory Safety Manual for a list of lab

safety responsibilities).

All studies conducted under the auspices of the University involving human or animal subjects

(including those involving surveys, questionnaires, behavioral research, and clinical trials) must

be submitted to and approved by the Institutional Biosafety and Bioethics Committee before the

studies are conducted.

No use of radioactive sources can proceed without the knowledge and approval of the Institutional

Radiation Safety Committee. In addition, the Diving Control Board oversees all scientific diving

operations to ensure that they are conducted safely and in compliance with KAUST policies and

applicable laws, as well as with internationally accepted standards and best practices.

4.4 Collaborations (internal and international)

The University aims to foster and sustain relationships with universities and other institutions

worldwide and to build collaborative associations and partnerships with commercial and other

entities. This means that the research in which University personnel may be involved may entail

a range of collaborations and partnerships within the University, between it and other institutions

locally and internationally, and with potentially diverse business and other partners.

Prior to engaging in inter-institutional, commercial, or other relationships, the University

requires that a formal agreement between the partners of any joint research project regarding

management of the research be enacted. These written agreements are facilitated by Research

Services and should be signed by a person in the University who has the authority to commit it to

such arrangements (refer to the University’s Schedule of Delegations & Authorities). Such

25 2017-18

agreements must address intellectual property, confidentiality and copyright issues; sharing

commercial returns; responsibility for ethics and safety clearances; and reporting to appropriate

agencies. They should also address the protocols to be followed by respective partners when

disseminating research and/or related outcomes, and how primary research materials and

research data are to be managed. Each participating faculty member must be aware of and

understand the policies and agreements governing research collaborations.

4.5 Research facilities and infrastructure

There are three general types of research laboratories at the University:

4.5.1 Individual PI laboratories

Typically, PIs involved in experimental science or engineering at the University have their own

laboratory space and the equipment necessary to develop their research program. In the early

stages of their appointment at the University, PIs work with the Office of the Vice President for

Research and the Office of Engineering & Project Management to determine the configuration,

equipment and fit out of appropriate lab space. In most cases, lab fit out will be highly flexible in

space generically designed for biological, chemical, materials or engineering research. The

University will provide facilities in which new faculty can make a quick start on their research;

this does not preclude more specific fit out when deemed necessary by the PI, the Dean and the

Vice President for Research.

4.5.2 Research Center laboratories

Research Center labs are available to support the research of any faculty member affiliated with a

given Center. They provide specialized facilities that support the main research thrusts of the

University. When appropriate, faculty members not affiliated with a Center may be provided

courtesy access to specialized Center equipment under the supervision of the Center Director.

Typically, Center laboratories have limited PI space, but offer clusters of equipment whose cost or

specificity requires a more centralized location and management than generic or personal

equipment found in PI labs.

4.5.3 Core Laboratories

The Core Labs offer state-of-the art research equipment operated by more than one hundred

expert staff scientists and engineers to support KAUST's research community through training

26 2017-18

and services. Under the Office of the Vice President for Research, the Core Labs comprise seven

labs as well as central workshops. These labs support the University’s mission by facilitating

research through an equitable model of shared services, expertise, instruments and training. The

Core Labs support the research of all academic users, including faculty and students, and their

services may also be accessed by other approved users, including government and industrial

partners. With advice from user committees, the Director of Core Labs is accountable for the

overall performance of Core Lab staff, assets, safety and services. These user committees are

chaired by selected expert faculty nominated by the Vice President for Research.

4.6 Allocation of laboratory space, office space, and equipment

The University has established the Academic Space and Equipment Planning Committee to

evaluate requests and allocate individual PI laboratory space, office space, and equipment usage.

For details on the process and guidelines, see the Academic Space and Equipment Planning

Committee Charter.

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5. ETHICS AND PROFESSIONAL CONDUCT

5.1 Conflict of interest and conflict of commitment

A conflict of interest exists when there is a divergence between the individual interests of a person

and their professional responsibilities to the University such that an independent observer might

reasonably conclude that the professional actions of that person are unduly influenced by their

own interests.

Faculty are expected to give their primary professional allegiance to the University and to act in

the best interests of the University and the furtherance of its mission. When facts known to faculty

members reasonably suggest a potential, actual, or apparent conflict of interest or commitment,

they must, in good faith, disclose the circumstances to avoid or manage the potential conflict in a

manner that is consistent with the spirit and objectives of this policy. They must not allow external

activities or external financial or other interests interfere with, or appear to interfere with, these

obligations.

Faculty are required to complete a conflict of interest and commitment form annually. Additional

details can be found in the the University's Faculty and Staff Member Policy on Conflict of

Interest and Conflict of Commitment.

5.2 Consulting and outside activities

As a general principle, the University expects that full-time Faculty will devote their primary

professional time and energy to teaching, research, and administrative responsibilities linked to

their academic appointment at the University. Accordingly, faculty should arrange outside

activities and any financial interests so as not to interfere with these commitments.

Decisions about external activities will be made according to section 3 of the University's Faculty

and Staff Member Policy on Conflict of Interest and Conflict of Commitment, which states that

full-time Faculty members must seek prior approval to engage in outside professional activities.

Time allowed for outside professional activities will be determined by the appropriate Dean;

Deans’ and Center Directors’ outside professional activities will be determined by the

President/VPAA. Determinations will be made on a case-by-case basis, considering a Faculty

28 2017-18

Member’s performance in research and teaching, assigned duties and other applicable criteria.

However, no more than twenty percent (20%) of a full-time faculty member's total professional

effort may be directed to outside work.

For details on issues of conflict of interest or commitment, see the University's Faculty and Staff

Member Policy on Conflict of Interest and Conflict of Commitment.

5.3 Publishing and plagiarism

The University's Code for the Responsible Conduct of Research stipulates that “researchers must

clearly state KAUST as their primary affiliation in any of their publications”. In order to comply

with this policy, researchers must include the proper KAUST affiliation on all published work

strictly adhering to the following elements, order and structure:

As a research-intensive University, safeguarding its reputation for academic and research probity

and high ethical standards is paramount. The University's Code for the Responsible Conduct of

Research requires that Faculty members refrain from plagiarism or other unfair or inappropriate

activities in carrying out research and in submitting it for publication or other purposes.

This means that no faculty member shall, with intent to deceive, represent the work of another

person as their own in any academic writing, essay, thesis, research report, or project or represent

as their own an entire essay or work of another, whether the material so represented constitutes

a part or the entirety of the work submitted.

Plagiarism by faculty members is considered a serious matter and allegations thereof normally

result in a detailed and comprehensive investigation. Should a member of the faculty be found to

King Abdullah University of Science and Technology (KAUST),

Center Name (Acronym),

and/or

Division Name (Acronym),

(+ Program name if wished)

and/or

Core Laboratory Name,

Thuwal, 23955-6900, Saudi Arabia

29 2017-18

have committed plagiarism, the University may impose sanctions up to and including dismissal

from the University.

5.4 Student-advisor academic relationship

The Student Handbook states that faculty advisors share responsibility with graduate students in

creating a professional academic student-advisor relationship. Mutual respect, honesty, and

effective communication will help cultivate a successful relationship. Early in the student-advisor

relationship, graduate students and faculty advisors should discuss expectations of the

relationship, and both should discuss not only academic, research, and professional goals but also

issues pertinent to academic and research circumstances, including schedules, work-life balance,

and personal and family responsibilities. Both graduate students and faculty advisors are

responsible for communicating as necessary.

5.5 Misconduct and disciplinary matters

All faculty have an obligation and responsibility to proactively promote an environment free of

bullying and intimidation whether it is between faculty themselves, between faculty and staff or

between faculty and students. Faculty must subscribe to and display high ethical standards in the

community. The University will investigate all allegations of misconduct. Additional information

on policy and procedures related to misconduct and discipline in professional and community life

are contained in the Disciplinary Policy and Procedure. Formal disciplinary actions brought

against faculty will be heard by a Faculty Disciplinary Hearing Committee.

5.6 Student-advisor personal relations

The Code of Conduct at the Thuwal Campus states that social interaction among faculty, staff,

students and others through work and personal conduct within the Thuwal campus must be done

in a manner consistent with the University vision as a world-class educational and research

institution and the local laws and customs. In general faculty members should not enter into an

intimate relationship with a student over whom she/he exercises, has exercised or may exercise

in the future, academic authority or influence.

5.7 Gifts The University has placed limits on giving and receiving gifts. It does not prohibit the acceptance

by its personnel of small gifts, but a potential recipient will not accept a gift seemingly offered

30 2017-18

with an ulterior motive, or one that is not in conformity with the requirements of the University’s

applicable Conflict of Interest policies. Further information can be found in the Policy on

Receiving Gifts.

5.8 Whistleblower Protection Policy Integrity is one of the core values that guide the actions, decisions and behaviors of members of

the University community. Inherent in this core value is upholding high standards of ethical and

professional conduct.

To provide assurances that such standards are upheld, it is important to the University that

individuals disclose substantive acts of wrongdoing they may observe without fear of retaliation.

The University encourages individuals who live or work in the University community to report

concerns of wrong-doing to an appropriate University official.

Wrong-doing can include, but not be limited to, accounting irregularities; breaches of privacy;

misuse of assets; fraud; creating or ignoring safety/environmental hazards; or violations of

University policy.

Faculty may direct their concerns to the Director of the Internal Audit Department, the General

Counsel or to a confidential e-mail address dedicated for such purpose,

confidential@kaust.edu.sa. For more information please refer to the Whistleblower Protection

Policy.

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6. INNOVATION & ECONOMIC DEVELOPMENT

The mission of Innovation and Economic Development is to assist in maximizing KAUST’s

contribution to the economic diversification of the Kingdom of Saudi Arabia and its

transformation to a knowledge-based economy.

This mission is fulfilled by:

• commercializing and protecting the University's intellectual property – leading to licenses,

new products and companies in the Kingdom;

• enabling a strong culture and mindset of entrepreneurship in the University and

generating new technology and knowledge-based businesses;

• attracting industry to the University to collaborate on research, employ the University's

graduates and participate in bringing new technology to the Kingdom; and

• creating a hub of innovation, research and technology development in KAUST’s Research

and Technology Park.

6.1 Intellectual property and technology transfer

The University protects its intellectual property rights and also assists faculty in pursuing their

intellectual property rights through invention disclosure, pursuit of patent registration and

licensing, as appropriate.

Faculty, students and research scientists are required to submit an invention disclosure form to

the Technology Transfer Office for any discoveries, ideas or inventions before publishing or

otherwise sharing those findings with third parties. Disclosing to a third party before disclosing

to the Technology Transfer Office may result in the loss of rights for both the University and the

inventor.

All discoveries, ideas, inventions and know-how created using the University's resources and

facilities are protected and owned by the University (excluding traditional academic works:

coursework, published papers, theses and dissertations). The Technology Transfer Office works

closely with inventors to commercialize these inventions and transfer the rights by licensing to a

third party or to a startup company led by the inventor(s).

32 2017-18

All members of the University community are encouraged to refer to the KAUST Intellectual

Property Policy, which provides guidance for the effective management, protection and

commercialization of intellectual property created at KAUST.

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6.2 Support for startups

Starting a business requires more than just good ideas. It takes careful planning and foresight,

market knowledge, funding and ongoing support. The University helps entrepreneurs at all stages

of the process, from ideation to launch to funding and beyond.

The KAUST Entrepreneurship Center offers a variety of teaching and learning opportunities,

accelerator programs, and mentorship for startups. Faculty, students or staff who wish to start a

company based on technologies developed at the University can apply for financial support from

the Innovation Fund. The Innovation Fund provides investments in startups from seed level (up

to $200,000) to early-stage (up to $2 million) and becomes a long-term strategic partner of these

ventures.

In addition to helping entrepreneurs with recruiting, business development and incorporation,

the University also provides technology-based companies with space in the Research and

Technology Park and connections with investors and industry partners through the Industry

Engagement Office.

6.3 Industry-sponsored research

The University was founded with industry collaboration as a mandate.

Through a variety of industry engagement programs and events, the University cultivates

productive relationships with industry partners who are interested in sponsoring, co-developing

or licensing the University's inventions.

The Industry Engagement Office keeps the University's thriving network of industry partners

current on ongoing research and newly disclosed inventions, links them with University faculty

and researchers through periodic match-making workshops and research symposia and scopes

industry-sponsored research projects to achieve the most benefit for all parties.

To learn more about Innovation and Economic Development at the University, visit

innovation.kaust.edu.sa.

34 2017-18

35 2017-18

Appendix:

List of useful documents

1. Academic Space and Equipment Planning Committee Charter

2. Code for the Responsible Conduct of Research

3. Grievance Policy and Procedure

4. Faculty Promotion Guidelines

5. HR Policies Link

6. Intellectual Property Policy

7. Laboratory Safety Manual

8. Medium Term Visiting Appointments

9. Policy on Conflict of Interest and Commitment

10. Policy on Receiving Gifts

11. Sabbatical Leave Policy

12. Schedule of Delegations & Authorities

13. Student Handbook