The Dean of the Faculties Office is the administrative office of the Bloomington Campus responsible for all matters pertaining to persons holding academic rank and title. A listing of the academic ranks and titles which may be used in the Indiana University system is contained in two documents, one approved by the University Faculty Council on March 11, 1978, and the second approved by the Trustees of Indiana University on February 7, 1981. (See DOCUMENT A-I.)
Academic ranks and titles are assigned to individuals directly involved in carrying out the academic mission of Indiana University. In addition to the titles set out in
DOCUMENT A-I, one additional title, Teacher, is employed for persons involved in instruction at pre-University level. (Academic titles for graduate students are discussed in Section C of this guide.)
The appropriate title for faculty positions is governed by the credentials of the appointee measured against the Faculty Council criteria for promotions (see DOCUMENT E-VII) and is agreed upon by the appointing unit, the School Dean, and the Dean of the Faculties. Only tenure-line positions may be filled using faculty (Instructor, Assistant Professor, Associate Professor, Professor), or lecturer titles. Full-time service in faculty rank counts in reckoning eligibility for sabbatical leave and the end of a tenure probationary period. (See also Section B-convertible lecturers.)
In 1990-91 the Bloomington Faculty Council considered the advisability of creating non-tenure-track faculty appointments. The Council took action in January, 1991, reaffirming that no changes in faculty status could occur without BFC approval, and expressing a commitment to review the status of teaching in the University. The subsequent review resulted in modifications to statements on teaching criteria (see Section E) but not in creation of non-tenure-track faculty status. (See DOCUMENT A-XVII.)
Use of the professional librarian titles (Affiliate Librarian, Assistant Librarian, Associate Librarian, Librarian) is governed by the criteria for librarian promotions and must be approved by the Dean of University Libraries. (See DOCUMENT E-VIII.) Professional librarian titles are used only on tenure-line positions. Full-time service in these ranks counts in reckoning eligibility for sabbatical leave and the end of a probationary period.
OTHER TITLE APPROVAL
Choice of appropriate titles for all other academic positions is proposed by the unit and the School Dean and reviewed by the office of the Dean of the Faculties at the time a new or vacated position is to be advertised. A listing of available academic titles and rank codes appears on the following page.
In the case of persons with two titles, only one rank code is assigned. For faculty-administrators, the administrative title is reflected in the third digit of the IRXX rank code; for other titles, the first two letters identify the primary responsibility. All personnel matters relating to academic rank codes are administered by the office of the Dean of the Faculties rather than by Human Resources Management; personnel records of PAXX or PBXX appointments are handled by Human Resources Management.
Two types of appointments typically are used for part-time faculty or lecturer appointees; non-limited (automatically renewing) and limited. For persons with a non-limited part-time appointment, the appointment continues automatically until the administrator initiates action to end the appointment. In such cases, it is recommended that the person be given at least a calendar year's notice that the appointment will expire. For individuals with limited part-time appointments, the administrator must initiate action to continue the appointment. Both types of part-time appointees are eligible for promotion through the same channels as full-time faculty. Without special written agreements to the contrary, time in such status does not count toward tenure or toward eligibility for sabbatical leave.
PART-TIME RANK CODES
Whenever the first title (primary responsibility) is that of a faculty member or lecturer, the primary activities should be those normally associated with such titles, usually including a significant amount of teaching as well as research and service. In those cases where the first title is not appropriately part-time faculty or lecturer, the rank code must be
other
than
IR01-5. If a reasonable case exists for a
secondary
title as a part-time faculty member or lecturer, use the rank code appropriate to the primary title. Fringe benefit determination, the case of a 1.00 FTE appointment, is made in accordance with the assigned
rank
code
corresponding to the primary title.
PART-TIME POLICY
The Bloomington administration and the Bloomington Faculty Council have approved for this campus policy for part-time faculty, lecturers, and librarians. (See DOCUMENT A-II.) The Bloomington part-time policy has, however, no formal approval from the University Faculty Council or the Trustees of Indiana University; at the present time there is no provision for part-time faculty or librarian tenure at Indiana University.
As with all other academic appointments, the unit recommends appropriate visiting titles, and the proposal is reviewed by the Dean of the School and the Dean of the Faculties in light of the appointee's credentials and the Faculty Council's criteria for promotion. (See DOCUMENT E-VII.) Visiting appointments are on a yearly basis and can be renewed for no more than a second year. (See DOCUMENT A-I.) In fairness to the individual and to the unit, should an appointment beyond two years be desired, the individual is to be considered, along with other candidates, for any regular non-visiting vacancies which may occur in the unit.
Instructional Staff . . . . . Rank Code
Faculty
Special Professorship . . . . . IR00
Professor . . . . . IR01
Associate Professor . . . . . IR02
Assistant Professor . . . . . IR03
Instructor . . . . . IR04
Part-time . . . . . IRP-
Visiting . . . . . IRV-
Adjunct . . . . . IRA-
Clinical . . . . . IRM-
Emeritus . . . . . IRE-
Faculty with Administrative Title
President . . . . . IRK-
Vice President . . . . . IRQ-
Associate Vice President . . . . . IRS-
Assistant Vice President . . . . . IRR-
Chancellor . . . . . IRC-
Vice Chancellor . . . . . IRD-
Associate Vice Chancellor . . . . . IRG-
Assistant Vice Chancellor . . . . . IRH-
Dean . . . . . IR1-
Associate Dean . . . . . IR2-
Assistant Dean . . . . . IR3-
Chairperson . . . . . IR4-
Director . . . . . IR5-
Acting 1-5 . . . . . IR6-
Lecturer . . . . . IR05
Teacher . . . . . IR92
Librarians
Librarian . . . . . LI01
Associate Librarian . . . . . LI02
Assistant Librarian . . . . . LI03
Affiliate Librarian . . . . . LI04
Librarian, Part-time. . . . .LIP- Visiting . . . . . LIV-
Adjunct . . . . . LIA-
Emeritus . . . . . LIE-
Research
Senior Scholar/Scientist . . . . . IR95
Associate Scholar/Scientist . . . . . IR96
Assistant Scholar/Scientist . . . . . IR97
Research Associate . . . . . IR93
Postdoctoral Fellow . . . . . IR98
Other
Associate to the Chancellor . . . . . IRAC
Other Academic (title determined by function) . . . . . PC--
Counselor . . . . . PC--
Health Center Physician . . . . . MD00
Residents & Interns . . . . . RI00
Instructional
Associate Instructor . . . . . IR81
Non-Instructional
Research Assistant . . . . . AA88
Graduate Assistant . . . . . AA82
Faculty Assistant . . . . . AA81
Student Counselor (student) . . . . . AA83
The adjunct title on the Bloomington Campus is used for an individual whose primary employment is outside the appointing department or outside the University system, e.g., practicing lawyer, judge, state or city librarian, doctor, accountant, psychologist, etc., and whose contribution to Indiana University, usually on a part-time basis, emanates from her/his professional expertise or status. The adjunct title may also be used for IU faculty from other departments who do not formally teach the unit's courses, but make contributions in other ways. Appointments may be with or without compensation.
The prefix "Clinical" is used for appointees with the rank of Lecturer through Professor who may be appointed as full-time salaried, part-time salaried, or volunteer members in positions where their primary duties are teaching students and residents/fellows and providing professional service in the clinical setting. Full-time clinical rank faculty may be involved in research which derives from their primary assignment in clinical teaching and professional service; however, continued appointment and advancement in rank must be based on performance in teaching and service, and promotion in rank must go through normal campus procedures. (See Document A-I.) Part-time and volunteer clinical rank faculty are covered by other provisions governing part-time academic appointments. (See Document A-II.)
To enhance its competitive recruitment situation for doctoral level researchers, Indiana University in 1981 instituted a three-tier system of Research Ranks. The complete policy statement is included in DOCUMENT A-III. For those researchers who typically hold the terminal degree and postdoctoral experience (or its equivalent), who are appointed to research positions with no instructional responsibilities, and who qualify under the criteria of this policy, appointments are made under the following rank and titles codes:
- Sciences . . . . . . . . . . . . . . . Arts and Humanities
IR97 . . . . . Assistant Scientist . . . . . Assistant Scholar
IR96 . . . . . Associate Scientist . . . . . Associate Scholar
IR95 . . . . . Senior Scientist . . . . . . . .Senior Scholar
RESEARCH POSITION CREATION
Recommendations from department chairpersons or institute directors for creation of a research rank position are reviewed and acted on by the school dean and the Dean of the Faculties. The appropriateness of the use of these ranks may be discussed with the Dean of the Faculties. Appointments at the rank of Assistant Scientist/Scholar normally are for one year, renewable contingent on evaluative review and funding. Associate and Senior Scientists/Scholars may be appointed for longer periods, dependent upon the nature of the assigned research mission, the individual's responsibilities, and funding prospects.
RESEARCH PROMOTION
While holders of research ranks are not eligible for sabbatical leaves or tenure-track/tenured status (except as successful applicants for faculty tenure-line positions), they are, as are faculty, eligible for promotion in rank, for voting in and for election to the Faculty Council, and participation in the IU Retirement Plan. They will not have teaching duties except on a released-time basis and with the award of a part-time faculty title.
The titles and rank codes available for non-student appointments to positions wholly involved in research for individuals who do not qualify for the three research ranks set forth above are Research Associate/IR93 and Postdoctoral Fellow/IR98. The title Postdoctoral Fellow is reserved for the temporary employment (1-3 years normally) of persons who hold the doctorate and are seeking research experience in preparation for pursuing a career in academe or elsewhere. In contrast, the Research Associate title may be a continuing one (dependent on evaluative reviews and funding) for individuals who will be employed under the supervision of a faculty member or holder of a research rank. The appropriateness of these titles in specific cases should be discussed with the Dean of the Faculties.
Short-term appointments of more senior visitors, with or without salary, in a research/creative activity capacity are made under titles such as Visiting Scholar, Visiting Scientist, Visiting Artist, etc., using the IR93 rank code. The credentials of those appointees normally include the terminal degree or its equivalent and stature within the profession or discipline appropriate to an appointment on the Bloomington Campus. Visitors who come to interact with departmental faculty in connection with their own research project, e.g., during a sabbatical or other leave, may be accorded such a visiting title. The credentials of proposed visitors will be reviewed by the Dean of the Faculties.
On the Bloomington Campus the Emeritus title is granted to retirees upon recommendations of the department, school, and campus administration and upon approval by the Trustees of Indiana University,
In 1937 the Trustees of Indiana University established a mandatory retirement age of 70 for all employees covered by the University's Retirement Plan. Federal law effective 1/1/94 eliminates a mandatory retirement age. While faculty and librarians must retire from administrative duties at age 65 (see DOCUMENTS A-VI and A-VII) they may continue with professorial and librarian duties. IU Retirement Plan participants between the ages of 64 and 70 and who were appointed prior to 1/1/89 may apply for "early retirement" under the University's "18-20 Plan." The plan is available to qualifying participants who have completed at least 18 years of participation in Retirement Plan 15 and 20 years of appointed full-time service at Indiana University (DOCUMENT A-XI).
OCCASION OF RETIREMENT
A campus committee is appointed each year to plan a dinner for retiring members of the faculty and retiring librarians, at which time recognition is given not only to those who are retiring but also to retirees generally. Acknowledgment of accomplishments in research, teaching, and services made for each new retiree at the dinner. Indiana University, Bloomington, provides to its retired faculty and librarians privileges and perquisites in recognition of their years of service to the University. This practice should facilitate the scholarly activities and participation of those emeriti who wish to remain active in the life of the campus. The faculty and administration of the Bloomington Campus endeavor to maintain policies and practices that are responsive to the needs of retirees.
The privileges and perquisites for retirees set forth below (based on Bloomington Faculty Council recommendations contained in DOCUMENT A-VIII) are reviewed periodically by the Bloomington Faculty Council in consultation with representatives of the emeriti and the Dean of the Faculties.
Statements describing health care coverage plans, the life insurance plan, the retirement plan, and other benefits are included in DOCUMENT A-IX. These statements are based on actions of the Trustees of Indiana University as of January 1, 1995. A summary of the value of benefits for a recent year appears in Section B of this guide. One can contact the office of the Dean of the Faculties or the University Benefits Office for current benefits information.
PART A
LISTING
1. Mailing Lists: Upon retirement retirees will be asked by the office of the Dean of the Faculties whether they prefer to remain on the regular faculty mailing lists. Those who retain a campus address may be kept on the regular lists.
2. University Publications.
a. Retired faculty members and librarians are listed in the electronic Indiana University Register.
b. Retired faculty members and librarians who remain active in academic programs shall be listed in Indiana University bulletins of under graduate and graduate programs under the appropriate college and departmental listings.
c. As appropriate, and in consultation with emeriti, they may be listed in promotional literature and other publications of the University.
PART B
PARTICIPATION
Retired faculty members and librarians shall be encouraged to participate in the life of the University.
2. Retirees in the Bloomington area are invited to participate in ceremonial occasions such as Founders Day and Commencement.
3. Retirees are invited to submit Annual Reports, listing their achievements and honors.
PART C
USE OF A UNIVERSITY OFFICE, LABORATORY, OR STUDIO SPACE
a. All retired faculty and librarians who plan to continue or resume full-time academic work on campus will be entitled to office, laboratory, or studio space using the same standards as for the faculty and librarians generally.
b. All retired faculty and librarians, who plan to be less than fully active in their research and/or teaching will be entitled to regular office, laboratory, or studio space only if available. If private office, laboratory, or studio space is not available, they will be entitled to appropriate common space to be shared with other retirees. Such common space will be designed so as to be suitable for the activities of these retirees and will offer appropriate support services and amenities including security of materials and privacy when using the facility. These common spaces will be decentralized throughout the campus to allow retirees convenient access to their departments or other facilities important to their research and creative activity and/or teaching. Opening in the fall of 2003, the Emeriti House at 1015 East Atwater will offer additional work stations and clerical support for Emeriti.
c. In order to continue to qualify for private office, laboratory, or studio space, retirees will be required to submit annual reports of their activities and to reapply for such space every two years.
d. Upon returning to full-time academic work, the retiree is eligible to apply for office, laboratory, or studio space: this also applies to faculty who retire and leave Bloomington for a period of time and then return to IU Bloomington.
2. The following procedure shall pertain to the assignment of regular office, laboratory, or studio space:
a. The departmental chairperson is directed to consult (as soon as possible) with a prospective retiree when the chairperson receives notification of his or her decision to retire in order to ascertain the needs of the retiree for office, laboratory, or studio space and to determine whether the retiree plans to continue to be active in research and creative activity and/or teaching. Unit heads shall notify the Office of Space Management when retirees qualify for private or common space.
b. Unless special circumstances arise, all retirees are entitled to remain in their present offices, laboratories, or studios for 60 days after retirement to allow them to sort through papers and files and to make arrangements for their removal.
c. If it is impossible for retirees who plan to be fully active in their research and creative activity and/or teaching to remain their offices/laboratories/studios used before retirement, the chair will undertake to provide an alternative office, laboratory, or studio in or near the departmental location after due recognition of the special needs of the teaching faculty to be housed near the center of departmental activity.
d. If office, laboratory, or studio space assigned to the department is not available, the chair will request a space allocation from the Office of Space Management, and it shall be the responsibility of the Dean of Faculties with the help of the Director of Space Management to try to arrange for suitable office, laboratory, or studio space elsewhere on campus. In locating such office, laboratory, or studio space, every effort should be made to house the retiree as near his or her home department as possible.
3. With the advent of Responsibility Centered Management, it will be the responsibility of the Vice President, Bloomington, to absorb the charges for all retiree office, laboratory, or studio space from an account so designated and funded.
4. Because of the expected increase in the number of retirees, they have a special obligation to return office space within 60 days if they do not plan to use it as anticipated, or if the use is interrupted for a continuous period of four months during the academic year.
5. Any unresolved complaint from a retiree about office, laboratory, or studio space shall be referred to the Retiree Office/Laboratory/Studio Allocation Committee for mediation and, if necessary, recommendation to the Dean of the Faculties. The Retiree Office/Laboratory/Studio Allocation Committee shall be composed of three members appointed by the Bloomington Faculty Council and four retirees who shall be elected by the faculty and librarian members of the Indiana University Annuitants Association. The Governors of the Indiana University Annuitants Association shall be responsible for the conduct of the election of the retiree members.
6. The Retiree Office/Laboratory/Studio Allocation Committee shall report annually on the operation of these procedures to the Bloomington Faculty Council.
PART D
LIBRARY
The same rules governing use of library carrels and other library facilities and regular faculty and librarians shall apply to retired faculty and librarians.
PART E
SPECIAL BENEFITS
With an ID card the following benefits shall be extended to retired faculty and librarians and their spouses as well as spouses of deceased faculty:
2. Free University bus passes.
3. Reduced rates for "A" parking decals.
4. Right of admission to university-sponsored or campus-sponsored events-public lectures, concerts, athletic events, etc., on the same basis as academic appointees generally.
5. Discounted fees at the Optometry Clinic.
6. 100% discount on comprehensive hearing evaluation at the Robert Millisen Speech, Language and Hearing Clinics.
7. Free membership in the University Club. (Note that all University Club members receive discounted IMU parking and discounted meals in the Tudor Room.)
In April, 1992, the BFC, in reaction to suggestions from the administration that a flexible benefits plan should be developed, passed a resolution to the Trustees that the faculty should be consulted before any move is taken that would have such tremendous impact.
The Council also expressed opposition to a policy of shifting compensation from benefits to salary. The UFC expressed similar concerns in 1992, citing especially retirement plan changes. (See DOCUMENT A-XVIII.)
The University provides, and covers the full cost of, life insurance for full-time academic appointees on at least an academic-year (or 9 month) appointment. The amount of coverage is twice the budgeted base salary rate to a maximum of $50,000 until age 65, whereupon coverage is reduced to 1.3 times the salary rate to a maximum of $32,500. The Life Insurance coverage also includes payments in the case of permanent disability prior to age 60 based on the face of the policy up to a limit of $20,000 over a 5-year period. See Section F for coverage provisions during periods on leave from the University. Upon termination from a University appointment, a 31-day period of coverage is provided for conversion to an individual policy. Premiums are paid by the individual based on attained age. Application for such conversion must be made within 31 days after termination. The conversion period starts from the official date of termination--often the end of an academic year or the end of the summer. Insured academic-year appointees whose regular appointments terminate at the end of the academic year but who are then given appointments in the following summer session may continue membership in the plan during the summer session provided they pay their share of the premium through their campus Human Resources Office. When a covered employee is terminated, group coverage may be converted to individual coverage with the same insurance and without evidence of insurability.
A supplemental life insurance plan is available for full-time employees to purchase additional life insurance coverage at the employee's expense.
Health care coverage is available to full-time appointees on at least academic-year (or 9 month) appointments. The cost is shared by the University and the appointee in a fixed amount determined periodically. The total cost changes annually and is announced each year by the University Benefits Office. Federal law (COBRA) allows employees or their dependents to continue in the group health care insurance plan, for specified periods, upon termination of employment, divorce, death, or dependent children reaching the cut-off age. (See DOCUMENT A-IX.)
Alternative plans for full-time employees are continually under discussion. In 1993 the UFC approved the creation of a commission on Health Care to focus on health care issues (DOCUMENT A-XVIII).
Worker's Compensation Insurance, Federal Social Security, and Unemployment Insurance are discussed in DOCUMENT A-IX; the IU Retirement Plan is described in DOCUMENT A-X.
A Tax Saver Benefit Plan, available to full-time employees, permits exemption from taxation of certain insurance premiums and health and dependent care expenses. A variety of options for tax deferred annuities is available. There is also a Pre-Tax Commuting Expense Plan. These plans are elaborated on in DOCUMENT A-IX.
One of five retirement programs is available to full-time and part-time academic professional employees, depending on the type of appointment, beginning date of appointment and percent of time employed.
Basically, eligibilities for the program are:
Plan 15. Full-time employees (faculty, librarians, research rank appointees, clinical rank appointees, university physicians, or professionals) grade 16 and above hired before 1/1/89.
Plan 12. Full-time employees grade 16 and above hired between 1/1/89 and 6/30/99.
Plan 11. 25. All professional academic and staff employees grade 15 and below and other academic and professional staff with 50% FTE for 12-pay status, 60% FTE for 10-pay status, or 65% FTE for 9-pay status hired before 7/1/99, as well as those who began prior to 7/1/89, who were enrolled in PERF, and who chose not to remain in PERF.
Plan 10. All academic and professional staff employees appointed to positions of at least 50% or more hired after 6/30/99.
PERF Plan. Those not eligible for Plans 15, 12, 11.25, or 10, or those who were enrolled in PERF prior to 7/1/89 and chose to remain in PERF.
Further elaboration on the various plans and information about remuneration profiles and eligibility or benefits may be obtained from Human Resources Management.
Two early retirement programs are available for certain participants in the IU Retirement Plans. The 18-20 Plan (DOCUMENT A-XI) is available to Plan 15 participants; the Supplemental Early Retirement Plan (DOCUMENT A XIX) is available to Plan 12 participants hired prior to July 1, 1999. Administrators of academic units seeking information about the availability or applicability of the 18-20 Plan for individual academic appointees should consult with the Dean of the Faculties or the University Benefits Office.
Qualifying participants in the IU Retirement Plan may upon separation or retirement elect to receive accumulations in cash, providing a "hold harmless" agreement is signed and other specified requirements are met. (DOCUMENT A-XX).
The University's Income Continuation Plan for certain Plan 12 and Plan 15 participants1 includes a provision for monthly benefits during a long-term disability. The monthly income benefit under this plan shall be 60% of covered monthly salary, except that the benefit shall be reduced by (1) the amount of excess by which the sum of the montly benefit and the primary monthly Social Security disability income benefit exceeds 70% of covered monthly salary; (2) the single life annuity then available from the IU Retirement Plan from standard premiums paid during IU employment assuming that all such premiums were invested in the TIAA Traditional Annuity option; and (3) any monthly disability benefit available under Workers' Compensation, occupational disease or similar law. Coverage is subject to a length-of-service requirement. Monthly income begins after the disability has continued for six consecutive months (DOCUMENT A-XII).
All full-time appointed employees are eligible to participate in the Voluntary Long-Term Disability Program, a program funded by the employee. The program offers payroll deduction group rates based on age, salary, and plan selected. New employees may enroll within 60 days without proof of insurability, but after the 60 day period expires the applicant must be in good health to qualify. After meeting the waiting period for the plan selected, the disability income benefit payable is 60 percent of budgeted salary with $10,000 maximum benefit per month, ; the income benefit will be reduced by any disability payments from Social Security or employer sponsored pension plans. The Long-Term Disability Plan also includes an optional level of benefits that provides for additional retirement annuity accumulations (as well as income benefits) and is not limited by a cap. Details are available from Human Resources Management and the University Benefits Office website at http://www.indiana.edu/~uhrs/benefits/.
The University maintains liability insurance to provide financial protection for itself and for members of its faculty and non-medical staff (executive officers, trustees or employees while acting within the scope of their duties as such) from claims alleging bodily injury, property damage, or personal injury. Coverage includes the cost of providing legal services to defend the University and its faculty and staff, as well as any court-awarded damages or settlements reached, including court costs.
IU EAP Services is a confidential supervisory resource which can help supervisors and managers with troubled employees, substance abuse issues, stress-related concerns, transitioning employees back into the workplace, the threat of workplace violence and critical incident debriefing. (Phone 1-888-234-8327, toll-free.)
http://www.indiana.edu/~uhrs/pubs/books/feecourt.pdf
http://registrar.indiana.edu/Services/resdncy.html
SPOUSE FEE COURTESY
http://www.indiana.edu/~uhrs/pubs/books/feecourt.pdf
http://registrar.indiana.edu/Services/resdncy.html
DEPENDENT CHILD FEE COURTESY
http://www.indiana.edu/~uhrs/pubs/books/feecourt.pdf
http://registrar.indiana.edu/Services/resdncy.html
A vacation policy for 12-month academic appointees has been approved by the Faculty Council and by the Trustees of Indiana University. (See
DOCUMENT A-XV.) Vacations for academic-year appointees are expected to fall in with the academic year calendar, including some portion of the summer. For 12-month academics, the policy provides a one-month vacation each calendar year. This is generally interpreted as 22 working days of vacation. Faculty Council discussion suggests that an appointee should be expected to work a full year before being eligible for the first vacation, and that vacations are encouraged with the purpose of increasing efficiency rather than as a reward for personal service. They are therefore not cumulative. During vacation periods no compensation may be received for other employment; vacations may not be taken back to back; additional compensation cannot be expected in lieu of vacation. In 1967 the Faculty Council and the Trustees of Indiana University acted specifically to permit terminal vacation pay.
Librarians should consult the Bloomington Library Faculty Handbook, which contains the vacation policy for librarians (approved by the BLFC on January 21, 1999).
Official holidays for 12-month academic appointees are: New Year's Day, Martin Luther King Day, Memorial Day, July 4th, Thanksgiving Day, and Christmas Day. (Classes are in session on Labor Day so it is not recognized as a holiday for academic appointees.) Additional time (after Thanksgiving or Christmas) must be taken as vacation days.
Access to employee records is governed by State law (Indiana Code 5-14-3), commonly referred to as the Access to Public Records Law, and by University policy. (See DOCUMENT A-XVI.)
Identification cards are provided at no cost to all University employees. Academic appointees may obtain IDs by going to the ID office any weekday between 9:00 am and 4:00 pm. Appointment status will be verified, a picture taken, and a laminated ID card provided.
BENEFIT TABLES
Conditions and perquisites associated with each of the academic titles are shown in the following tables:
ACADEMIC INSTRUCTIONAL*
| Title |
Term of
Appointment |
Termination Notice Due |
Retirement
Plan** |
Insurance
Programs |
Sabbatical
Leaves |
Leaves Without Pay | Sick Leave Plan | Tenure |
Annual
Review |
|
IR00-04
Faculty **** Professor Associate Assistant Instructor (full-time) |
Non-Tenured:
Initial appt 1-3 years Subsequent, 1 academic year
Tenured:
|
Non-Tenured:
1st yr - 3 mo 2nd yr - 6 mo thereafter 12 mo Tenured: Not applicable |
Plan 10
if appointed at 50% FTE or greater |
Life :
****** ***** Provided by IU (2 X salary to $50,000 maximum till age 65) Medical: ****** Optional (IU pays a portion) |
Non Tenured
Eligible in 7th year, given favorable tenure decision Tenured: Eligible for one sabb during each 7 yr period of full-time service |
Non-Tenured
and Tenured: Eligible to apply |
Non Tenured and Tenured:
****** *** 6 wks @ full pay; balance of semester @ half pay |
Non Tenured:
Tenure decision must be made prior to the end of 6th year of full time service in this status, with tenure effective beginning of 8th year |
Non-Tenured:
Required Tenured: Required for ranks below Professor |
|
IR05
Lecturer (Full-Time) |
1 year or less |
in 1st yr - 3 mo in 2nd yr - 6 mo thereafter - 12 mo |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU- (2X salary to $50,000 maximum till age 65) Medical: ****** Optional (IU pays a portion) |
Not eligible- time in this rank will not count toward sabbatical if subsequently converted to faculty rank |
Eligible to apply |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible- time in this rank will not count toward tenure if subsequently converted to faculty rank |
Encouraged but not required |
** All non-student academic positions, part-time and full-time, are covered under the Federal Social Security Program (FICA).
*** No accumulation of time countable toward sick leave.
**** These policies and practices also apply to faculty members who assume administrative positions.
***** Optional accident insurance and supplemental life insurance plan available at employee's expense.
******Eligible if appointed at 100% FTE for 9 months or longer.
|
Title
|
Term of
Appointment |
Termination Notice Due |
Retirement
Plan** |
Insurance
Programs |
Sabbatical
Leaves |
Leaves Without Pay | Sick Leave Plan | Tenure |
Annual
Review |
|
IRP1-5
Part-time Faculty and Part-time Lecturers |
Normally 1 yr or less |
At least 1 pay period prior to end of present appointment is required; notice comparable to that required for faculty is encouraged |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU-(2X salary to $50,000 maximum till age 65) Medical: ****** Optional (IU pays a portion) |
Not eligible - time in this rank will not count toward sabbatical if subsequently obtains a faculty appointment |
Eligible to apply |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible - time in this rank will not count toward tenure if subsequently converted to faculty rank |
Encouraged but not required |
|
IRA1-5
Adjunct Faculty & Lecturers |
Normally 1yr or less |
At least 1 pay period prior to end of present appointment; notice comparable to that required for faculty is encouraged |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU (2X salary to $50,000 maximum till age 65) Medical: ****** Optional.(IU pays a portion) |
Not eligible- time in this rank will not count toward sabbatical if subsequently obtains a faculty appointment |
Eligible to apply |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible |
Not required |
** All non-student academic positions, part-time and full-time, are covered under the Federal Social Security Program (FICA).
*** No accumulation of time countable toward sick leave.
**** These policies and practices also apply to faculty members who assume administrative positions.
***** Optional accident insurance and supplemental life insurance plan available at employee's expense.
****** Eligible if appointed at 100% FTE for 9 months or longer.
| Title | Term of Appointment | Termination Notice Due | Retirement Plan ** | Insurance Programs | Sabbatical Leaves | Leaves Without Pay | Sick Leave Plan | Tenure | Annual Review |
|
IRV1-5
Visiting Faculty & Lecturers |
1 yr or less ( 2 yr max) |
At least 1 pay period prior to end of present appointment. Notice comparable to that required for faculty is encouraged. |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU (2X salary to $50,000 maximum till age 65) Medical: ****** Optional.(IU pays a portion) |
Not eligible- time in this rank will not count toward sabbatical if subsequently obtains a faculty appointment |
Not eligible |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible |
Not required |
|
IRM1-5
Clinical Ranks |
Normally 1 yr or less |
At least 1 pay period prior to end of present appointment. Notice comparable to that required for faculty is encouraged. |
Plan 10
if appointed at 50% or greater |
Life:
****** ***** Provided by IU (2X salary to $50,000 maximum till age 65) Medical: ****** Optional (IU pays a portion) |
Not eligible- time in this rank will not count toward sabbatical if subsequently obtains a faculty appointment |
Eligible to apply |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible |
Not required |
** All non-student academic positions, part-time and full-time, are covered under the Federal Social Security Program (FICA).
*** No accumulation of time countable toward sick leave.
**** These policies and practices also apply to faculty members who assume administrative positions.
***** Optional accident insurance and supplemental life insurance plan available at employee's expense.
****** Eligible if appointed at 100% FTE for 9 months or longer.
| Title | Term of Appointment | Termination Notice Due | Retirement Plan** | Insurance Programs | Sabbatical Leaves | Leaves Without Pay | Sick Leave Plan | Tenure | Annual Review |
|
IR95-97
Senior, Associate, Assistant Scientist/ Scholar |
As permitted by funding |
At least 1 pay period prior to end of present appointment. Notice comparable to that required of faculty is encouraged. |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU (2X salary to $50,000 maximum till age 65) Medical: ****** Optional (IU pays a portion) |
Not eligible- time in this rank will not count toward sabbatical if subsequently obtains a faculty appointment |
Eligible to apply |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible- time in this rank will not count toward tenure is subsequently obtains a faculty appointment |
Encouraged but not required |
|
IR93
Research Associate |
1 year or less |
At least 1 pay period prior to end of present appointment. Notice comparable to that required of faculty is encouraged. |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU (2X salary to $50,000 maximum till age 65) Medical: ****** Optional (IU pays a portion) |
Not eligible- time in this rank will not count toward sabbatical if subsequently obtains a faculty appointment |
Eligible to apply |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible- time in this rank will not count toward tenure if subsequently obtains a faculty appointment |
Encouraged but not required |
** All non-student academic positions, part-time and full-time, are covered under the Federal Social Security Program (FICA).
*** No accumulation of time countable toward sick leave.
**** These policies and practices also apply to faculty members who assume administrative positions.
***** Optional accident insurance and supplemental life insurance plan available at employee's expense.
****** Eligible if appointed at 100% FTE for 9 months or longer.
| Title | Term of Appointment | Termination Notice Due | Retirement Plan** | Insurance Programs | Sabbatical Leaves | Leaves Without Pay | Sick Leave Plan | Tenure | Annual Review |
|
IR98
Postdoctoral Fellow |
1 year or less (3 yr maximum) |
At least 1 pay period prior to end of present appointment. Notice comparable to that required of faculty is encouraged |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU (2X salary to $50,000 maximum till age 65) Medical: ****** Optional (IU pays a portion) |
Not eligible- time in this rank will not count toward sabbatical if subsequently obtains a faculty appointment |
Eligible to apply |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible- time in this rank will not count toward tenure if subsequently obtains a faculty appointment |
Encouraged but not required |
|
MD00
Physician |
Normally 1 yr (Indefinite by special arrangement) |
At least 1 pay period prior to end of present appointment. Notice comparable to that required of faculty is encouraged |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU (2X salary to $50,000 maximum till age 65) Medical: ****** Optional (IU pays a portion) |
Not eligible |
Eligible to apply |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible- time in this rank will not count toward tenure if subsequently obtains a faculty appointment |
Encouraged but not required |
** All non-student academic positions, part-time and full-time, are covered under the Federal Social Security Program (FICA).
*** No accumulation of time countable toward sick leave.
**** These policies and practices also apply to faculty members who assume administrative positions.
***** Optional accident insurance and supplemental life insurance plan available at employee's expense.
****** Eligible if appointed at 100% FTE for 9 months or longer.
| Title | Term of Appointment | Termination Notice Due | Retirement Plan** | Insurance Programs | Sabbatical Leaves | Leaves Without Pay | Sick Leave Plan | Tenure | Annual Review |
|
IR92
Teacher |
1 yr or less (Indefinite by special arrangement) |
At least 1 pay period prior to end of present appointment. Notice comparable to that required of faculty is encouraged |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU (2X salary to $50,000 maximum till age 65) Medical: ****** Optional (IU pays a portion) |
Not eligible |
Eligible to apply |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible |
Encouraged but not required |
** All non-student academic positions, part-time and full-time, are covered under the Federal Social Security Program (FICA).
*** No accumulation of time countable toward sick leave.
**** These policies and practices also apply to faculty members who assume administrative positions.
***** Optional accident insurance and supplemental life insurance plan available at employee's expense.
****** Eligible if appointed at 100% FTE for 9 months or longer.
| Title | Term of Appointment | Termination Notice Due | Retirement Plan** | Insurance Programs | Sabbatical Leaves | Leaves Without Pay | Sick Leave Plan | Tenure | Annual Review |
|
LI00-4
Librarians: Librarian Associate Assistant Affiliate (Full-time) |
Non-Tenured:
Initial: 1 yr Tenured: Indefinite |
Non-Tenured:
in 1st yr- 3 mo in 2nd yr- 6 mo thereafter- 12 mo Tenured: Not applicable |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU (2X salary to $50,000 maximum till age 65) Medical : ****** Optional (IU pays a portion) |
Non Tenured:
Eligible in 7th year, given favorable tenure decision
Tenured: Eligible for 1 during each 7 yr period of full-time service |
Non-Tenured and Tenured:
Eligible to apply |
******
*** 6 wks @ full pay; balance of semester @ half pay |
Non Tenured:
Tenure decision must be made prior to end of 6th year of full-time service in this status. Effective for 8th year.
|
Non-Tenured:
Required Tenured: Required for ranks below Librarian |
|
LIV1-4
Visiting Librarian |
1 yr or less ( 2 yr max) |
At least 1 pay period prior to end of present appointment. Notice comparable to that required of faculty is encouraged |
Plan 10
if appointed at 50% FTE or greater |
Life:
****** ***** Provided by IU (2X salary to $50,000 maximum till age 65) Medical: ****** Optional (IU pays a portion) |
Not eligible- time in this rank will not count toward sabbatical if subsequently changed to non-visiting |
Not eligible |
****** *** 6 wks @ full pay; balance of semester @ half pay |
Not eligible |
Not required |
** All non-student academic positions, part-time and full-time, are covered under the Federal Social Security Program (FICA).
*** No accumulation of time countable toward sick leave.
**** These policies and practices also apply to faculty members who assume administrative positions.
***** Optional accident insurance and supplemental life insurance plan available at employee's expense.
****** Eligible if appointed at 100% FTE for 9 months or longer.
DOCUMENT A-I
ACADEMIC APPOINTMENTS
(Approved: UFC 4/11/78; Trustees 2/7/81, 8/7/84; Amended: UFC 2/10/87; Trustees 3/7/87; UFC 3/26/96)
The Purpose and Use of Academic Ranks
The academic work of Indiana University is done by individuals holding academic appointments in different categories. Each tenured and tenure-probationary faculty member has responsibilities in the areas of teaching, research, and service. Full-time academic appointees holding other ranks generally have responsibilities in some but not all of the three areas. Associate instructors, part-time faculty, and volunteer faculty also play an important role in our academic programs. While all academic appointees make valuable contributions to achieving the mission of the University, the ultimate responsibility for the integrity of the academic programs of the institution and the authority for university faculty governance lies with those who have tenured and tenure-probationary appointments. It is critical to the productive use of resources in our efforts to achieve academic excellence and safeguard the basic nature of the University that the purpose and definition of each type of academic rank be clearly understood and that academic ranks be used appropriately. The chief academic officer and the faculty governance body on each campus will review each year the use of all academic ranks in the academic units on that campus, and each January they will issue a report to the chief academic officer of the University and the University Faculty Council.
[UFC AGENDA COMMITTEE COMMENT: The tenuring process requires that faculty demonstrate their understanding of competency in, and dedication to the University's diverse missions in teaching, research, and service, and tenure allows the faculty member to exercise the independent judgment in academic governance that is critical to the well-being of the institution. Tenure-probationary faculty are appointed with the expectation that they will demonstrate the abilities pertaining to all the University's missions that will qualify them for tenure. Accordingly, it is the tenured and tenure-probationary faculty in whom the University vests the ultimate responsibility for the integrity of its academic programs. The review of the use of academic ranks should include not only the numbers of individuals in each rank in each academic unit and the functions assigned to them, but also other aspects of the use of ranks as directed by the campus chancellor and faculty governance body, such as demographic information, trends over time, and the appropriateness of rank assignments. In the course of analyzing the use of ranks, the inappropriate use of academic ranks is likely to be discovered, and it is expected that some transitional period of adjustment in faculty appointments will be necessary.]
All campuses of the Indiana University system use ranks and titles for full-time academic appointees uniformly. Various ranks and titles for part-time academic appointees are used in ways which are appropriate to the academic missions and programs of the campuses and in ways which are traditional throughout academia.
No regular academic rank or title may be conferred in connection with an administrative appointment unless that appointment is identified with an existing unit and the regular procedures for the conferral of academic rank and title are followed.
Appointees to deanships and other administrative positions at Indiana University retain academic titles held at Indiana University at the time of their appointment to administrative office, unless otherwise specifically stipulated.
Tenured or Tenure-Probationary Appointments
Only full-time service in the following ranks counts in reckoning (1) eligibility for sabbatical leaves and (2) the permissible number of years of probationary appointment prior to the tenure decision.Faculty
Full-time faculty are appointed in the ranks of Professor, Associate Professor, Assistant Professor, and Instructor and in several distinguished ranks. The rank of the initial appointment is determined by such factors as teaching, research, other relevant experience, public service, and degrees held.
Full-time librarians are appointed in ranks analogous to and modeled on faculty ranks. These are: Librarian, Associate Librarian, Assistant Librarian, and Affiliate Librarian. The status of librarians holding titles under this rank system is closely analogous to that of full-time faculty. The rank of initial appointment is determined by such factors as professional activities, experience, and degrees held.
Non-Tenured, Non-Probationary Instructional Appointments
The following system of ranks may be employed for other instructional staff. Individuals holding these titles are not on the tenure track except where noted.
Emeritus
The Emeritus title may be conferred upon a retired faculty member or librarian if recommended by the unit and appropriate administrators and approved by the Trustees of Indiana University. The term "Emeritus" follows the designation of rank. The Emeritus faculty member has some of the rights and privileges of regular faculty members. See campus-specific documents for specific procedure.
Visiting Appointees
The term "visiting" is used in instances where an individual faculty member, librarian or lecturer, is (1) on leave from another place of employment, (2) employed on a temporary basis, or (3) being considered for a permanent position or is considering acceptance of a permanent position. These appointments may be on a full-time or part-time basis. Although an individual may be reappointed as a visiting appointee, the title is not be to used for more than two successive years. The visiting appointee is normally appointed at a rank which would have been given were that individual being considered for the full-time tenured or tenure-probationary appointment--but at a rank not higher than that held by the individual at his/her home institution. All changes from a visiting to a tenured or tenure-probationary appointment follow the customary university procedures.
The visiting appointee does not enjoy all of the rights and privileges of full-time appointees--such as voting rights; eligibility for Faculty Council membership; sabbatical leaves; and access to research, travel, or other special funds reserved for regular, full-time appointees.
The university is not obligated to count service as a visiting appointee as credit toward tenure if the appointment is later changed to a regular appointment, but exceptions may be made in accordance with the procedures used by the university in making regular academic appointments.
Lecturers
This title normally is used in the appointment of a full-time instructional position of an individual who lacks some of the credentials (often the terminal degree) usually expected of a tenured or tenure-probationary faculty member within the unit.
Most lecturer appointments will be converted to faculty appointments upon completion of the terminal degree. Provided that the individual has gone through the procedures expected of a prospective Instructor or Assistant Professor, the initial appointment may specify that conversion to a higher rank will be automatic. Such conversion should occur at the beginning of the semester following completion of all requirements for the terminal degree. Under special circumstances, some Lecturers may remain in this status because of various factors (no expectations of completing the terminal degree, honorific nature of the appointment, etc.).
Lecturers do not normally enjoy all the rights and privileges accorded regular faculty members. Please see campus policies for specific provisions.
Service as a Lecturer is not to be counted as credit toward tenure or sabbatical leave if the individual is subsequently given a tenure-probationary appointment.
Part-time Academic Appointees
The following additional titles are used for part-time academic appointees. Where ranks are included in the title, appointment should be at the rank which would be given were that individual being appointed as a lecturer, faculty member, or librarian. Changes from these appointments to regular faculty or librarian appointments should follow the customary University procedures. Where an individual is employed in these positions on a continuing or recurrent basis, promotion in rank must go through normal University procedures.
These appointees usually do not enjoy all the rights and privileges of full-time faculty or librarians--such as voting rights; eligibility for Faculty Council membership; sabbatical leave; and access to research, travel, and other special funds reserved for regular, full-time appointees.
The University is not obligated to count service in these positions as credit toward tenure if the appointee is later appointed to a full-time appointment. Exceptions may only be made in accordance with the procedures used by the University in making regular academic appointments.
The term "Adjunct" precedes the designation of rank. It is often used to signify that the individual's primary employment is not with the University or is not with the unit giving the adjunct title. It is often a complimentary title and in some cases does not involve a stipend from the University.
The term "Part-time" follows the designation of rank. These appointees devote only part of their time to the duties of a lecturer, faculty member, or librarian. They may also be gainfully employed in other activities, either with the University or elsewhere (or be advanced students teaching more than the normal load of an Associate Instructor).
Clinical Ranks.
I. Definition and Use of Clinical Ranks; Limitation of Number of Clinical Ranks Appointees
The prefix "Clinical" is used for appointees with the rank of Lecturer through Professor who may be appointed as full-time salaried, part-time salaried, or volunteer members in positions where their primary duties are teaching students and residents/fellows and providing professional service in the clinical setting. The following policy applies to the full-time clinical rank faculty, and in the text below the term "clinical rank faculty" is meant to indicate full-time clinical rank faculty. The part-time and volunteer clinical rank faculty are covered by other provisions governing part-time academic appointments.
Clinical rank faculty may be involved in research which derives from their primary assignment in clinical teaching and professional service; however, continued appointment and advancement in rank must be based on performance in teaching and service.
[UFC AGENDA COMMITTEE COMMENT: Clinical rank faculty teach and practice full-time in the clinical professional setting. It follows that appointments to clinical ranks will be limited to academic units (and departments within academic units) in the professional-client service disciplines. Clinical rank faculty may contribute to the research efforts of a unit through their clinical work, but they are not expected to do individual research. Faculty who, in addition to teaching and service, have portions of their time allocated to doing research for which they are a principal or co-principal investigator, who have research laboratories, or who are otherwise expected to do individual research should be in tenured/ tenure-probationary positions. While individual faculty members hired in tenure-probationary ranks may switch to the clinical ranks during the first five years of their probationary period, such a switch must involve giving up the research component of their faculty work, except for their clinical role in collaborative research trials. Clinical ranks are not intended as a means of retaining tenure-probationary faculty members who will not be able to demonstrate the performance levels in teaching, research, and service required for the granting of tenure.]
The maximum number of full-time salaried clinical rank faculty in the health sciences schools shall be determined by vote of the tenured and tenure-probationary faculty of the School, provided that the tenured and tenure-probationary faculty shall constitute no less than 60% of the full-time faculty of the School. The maximum number of full-time salaried clinical rank faculty in other schools shall be determined by vote of the tenured and tenure-probationary faculty of each school, provided that such clinical appointees shall represent no more than 20% of the total full-time faculty of each school.
[UFC AGENDA COMMITTEE COMMENT: Having the majority of full-time faculty holding tenured and tenure-probationary ranks will help protect the basic academic nature of the institution. Although in the health sciences schools, up to 40% of full-time faculty could be non-tenured/tenure-probationary faculty (including clinical rank faculty, research scientists, lecturers, and some other non-tenurable academic appointments), the percentage will not necessarily be that high, and setting the percentage of clinical rank faculty in the school remains under the control of the tenured/tenure-probationary faculty. Similarly, other schools may have up to 20% clinical faculty in the full-time faculty ranks, but only by decision of the tenured/tenure-probationary faculty in the school.
These standards do not specify how they apply to multi-campus clinical discipline schools or to departments with clinical training which are part of a school (or division or campus) that is not generally clinically oriented. In principle, authority to make decisions and limitations on numbers regarding clinical faculty should apply to the academic units which independently maintain clinical programs. Thus, in the case of a clinical department in a generally non-clinical school, the department would be the relevant unit. Similarly, if an academic unit that has been an integral part of a multi-campus school becomes substantially independent, the newly autonomous unit would be the relevant faculty. However, structural circumstances vary so widely across the University that drafting standards that would be most appropriate for all academic units has not been possible. Conflicts which may arise regarding the application of these standards should be resolved through procedures established for the resolution of University structure issues. This comment applies as well to authority to decide questions of "Rights and Privileges" and the terms of long-term contracts for clinical faculty retained beyond the probationary period, as provided below.]
II. Rights and Privileges
Clinical rank faculty are expected to follow and be protected by University policies, including those pertaining to faculty hiring and faculty annual reviews. The faculty salary policies of the University, campus, school, and department shall apply to clinical rank faculty. Clinical rank faculty have the right to petition the campus faculty board of review. Clinical rank faculty are not eligible for University sabbatical leave, but schools may provide sabbatical-like leaves for their clinical rank faculty to provide opportunities for professional learning and collaboration with colleagues.
Participation in University and campus faculty governance is governed by the Constitution of the Faculty of Indiana University and the faculty constitutions on each campus. The role of clinical rank faculty in governance within the School shall be determined by vote of the tenured and tenure-probationary faculty of the school. The academic integrity of the school and its programs ultimately is the responsibility of tenured and tenure-probationary faculty. The rights of clinical rank faculty and the regulations concerning their roles within each school shall be written and available to the school faculty. A copy of all rights and regulations shall be filed with the campus chief academic officer and with the campus faculty governance body.
[UFC AGENDA COMMITTEE COMMENT: The University Faculty Constitution defines the voting faculty as "all faculty members on tenure or accumulating credit toward tenure." The Constitution further states that "the voting members of individual campuses may extend voting privileges to others on matters of individual campus significance." The rationale for the distributions of rights and privileges is to leave the responsibility for the preservation of the most basic academic interests of the institution in the hands of those with the greatest protection of their academic freedom for the purposes of teaching, research, and service - including the service of faculty governance; i.e. those with tenure. Clinical rank faculty otherwise should have as many faculty privileges as is consistent with their qualifications and responsibilities.]
Clinical rank faculty are not eligible for academic administrative appointments at and above the department chair level.
[UFC AGENDA COMMITTEE COMMENT: The integrity of the academic programs will be best served by requiring that those individuals holding administrative appointments with direct authority for academic programs have the full range of academic qualifications associated with the tenure track, as well as the fuller protection of academic freedom that tenure provides.]
III. Appointment and Advancement
Initial appointment in the clinical ranks should be at the level of rank appropriate to the experience and accomplishments of the individual. The process for appointment to clinical rank probationary status or to clinical rank with a long-term contract shall go through the ordinary procedures for faculty appointments. Promotion in rank should go through the normal faculty procedures appropriate to the unit of the university, including peer review by the primary, unit, and campus promotion (and tenure) committees. The criteria for promotion in the areas of teaching and service shall be the same for tenured/tenure-probationary faculty and for clinical rank faculty. The clinical rank faculty shall not be evaluated in the area of research.
IV. Protection of Academic Freedom
Clinical appointees are not eligible for tenure; however, in order to protect their academic freedom, individuals appointed as full-time clinical rank faculty shall be given long-term contracts after a probationary period of not more than seven years. The exact mechanism for this shall be determined by the dean and the faculty governance body within each school using the clinical faculty ranks and be approved by the chancellor, but the mechanism should be a long-term contract of not less than five years or be some equivalent, such as a rolling three year contract. The criteria for granting long-term contracts after a probationary period shall be the same as the criteria for granting tenure, except that clinical rank faculty shall earn the right to a long-term contract on the basis of their excellence in teaching and/or service only. Each school will establish procedures and specific criteria for review of individuals concerning the renewal of long-term contracts or their equivalent.
Clinical faculty appointments during the probationary period shall be subject to the same policies and procedures with respect to appointment, reappointment, non-reappointment, and dismissal as apply to tenure-probationary faculty during the probationary period. Dismissal of a clinical rank faculty member holding a longer term contract after the probationary period may occur because of closure or permanent down-sizing of the clinical program in which the faculty member teaches and serves; otherwise, dismissal of such clinical faculty shall occur only for reasons of professional incompetence, serious misconduct, or financial exigency. Non-reappointment of clinical faculty may occur for the foregoing reasons or may occur as well for reason of changing staffing needs of the clinical program. Non-reappointment decisions regarding clinical faculty holding a longer term contract after the probationary period must be made with faculty consultation through processes established by the school's faculty governance institutions. The jurisdiction of campus faculty grievance institutions includes cases of dismissal and non-reappointment of clinical faculty.
[UFC AGENDA COMMITTEE COMMENT: The University is not obliged to relocate within the institution clinical rank faculty whose positions are eliminated because of closure, permanent down-sizing, or changing staffing needs of their clinical programs.]
(Approved: Trustees 2/7/81, 2/2/93)
Service in these positions does not count as credit toward tenure.
Research Ranks
A three-rank system exists for those full-time and part-time researchers who typically hold the terminal degree and postdoctorate experience (or its equivalent) and who are employed by Indiana University for strictly research responsibilities. It is suggested that the research ranks be given the following rank codes and titles:
IR97 . . . . . Assistant Scientist (or Assistant Scholar)
IR96 . . . . . Associate Scientist (or Associate Scholar)
IR95 . . . . . Senior Scientist (or Senior Scholar)
A separate rank code and title should be used for those individuals with lesser qualifications who are assigned to research jobs which are routine and supervised but call for qualifications and responsibilities greater than those of technicians (rank code TE). In addition persons working at Indiana University as postdoctoral fellows shall be designated as postdoctoral fellows (rank code IR98).
The three-rank system is regarded as a career ladder framework, with appropriate policies and procedures for appointment, annual review, and promotion. The creation of positions within the three-rank system, advertising for qualified candidates, selection and appointment procedures, annual review, promotion, and termination would be under well-defined procedures administered through academic units by the Dean of the Faculties and the Dean for Research and Graduate Development [now Vice President for Research and the University Graduate School] and further subject to the policies, rules, and procedures of the Campus Affirmative Action Plan as administered by the Affirmative Action Officer. Postdoctoral Fellows are eligible to apply for a position in one of the research ranks under certain conditions upon satisfactory completion of the terms of the postdoctorate. Qualified research appointees are eligible to apply for openings in the three-rank system but are not considered automatically for promotion to the beginning rank. The policies and procedures of the University Affirmative Action Plan would apply in determining eligibility for any of the research ranks and for determining eligibility of a person holding a research rank for any other University appointment.
Additional Academic Appointments
The title "Resident" is used for individuals who have completed the academic requirements for the M.D. or D.D.S. degree and wish to further develop the knowledge and skills acquired as a medical or dental student. This period of graduate education extends between one and seven years, depending on the specialty chosen. This training is usually obtained in the university-owned or affiliated hospitals.
The title "Clinical Fellow" is to be used only by the Medical Center for those individuals with doctoral degrees pursuing additional training in a specialized area. No degree is sought or given. Compensation is made in recognition of services performed or the achievement of prescribed objectives during a specified period.
The title "Physician" is used only for medical doctors employed in the Student Health Center.
While the above categories cover most academic appointees, they are not exhaustive. Certain University officers who do not hold faculty ranks and interns in various programs are academic appointees. The above listing seeks simply to identify the major categories of appointees who participate in and help to perform the academic mission of the University.
Associate Instructor. This title is used for graduate students who are part-time appointees and who engage in activities typical of a teacher. An Associate Instructor is responsible for assigning grades for at least a portion of a course and has direct contact with students. Typical activities include--but are not necessarily limited to--lecturing, tutoring, and laboratory instruction.
Other Student Academic Personnel. Students hold positions as Research Assistants, as Undergraduate Assistants, and as Faculty Assistants. All student appointments are part-time and temporary.
POLICY ON PART-TIME FACULTY, LECTURERS, AND PROFESSIONAL LIBRARIANS
(Approved: BFC 4/22/75)
(Not yet approved by University--never implemented)
A. Policy Statement
For some time Indiana University has had a limited number of part-time faculty, lecturers and professional librarians. It now appears to be advantageous to consider part-time appointments on a somewhat more regular although still limited basis. Part-time appointments shall be permitted both for personal reasons and as a means of building distinction and strength in ways that may not be possible on a full- time basis. An important advantage of part-time appointments is that they may facilitate the appointment of more women and minority group scholars. The U.S. Department of Health, Education and Welfare's Office for Civil Rights has suggested that creating more part-time opportunities is an integral part of a good Affirmative Action Plan. The policy which follows does not apply to adjunct and visiting part-time appointments; however, it does apply to adjunct part-time professional librarians who meet the requirements of B.1.b. below.
B. Policy for Regular Part-time Appointments
- Definitions
a. Indiana University recognizes a variety of part-time appointments applicable to faculty, lecturers and professional librarians: adjunct and visiting appointments may be made on a part-time basis. No policy changes are made for these appointments:
(1)
Adjunct part-time appointments: persons whose primary career is outside the University; no fringe benefits; no tenure or sabbatical accrual; often no stipend.
(2)
Visiting part-time appointments: The term Visiting is used in instances where an individual is (a) on leave from another place of employment; (b) employed on a temporary basis; or (c) being considered for a permanent position or is considering acceptance of a permanent position. No fringe benefits; not eligible for sabbatical leave.
b. Two types of part-time appointments for faculty, lecturers and professional librarians should be regularized to further affirmative action efforts:
(1)
Regular non-tenure-track part-time appointments
for faculty, lecturers and professional librarians. These career-oriented individuals are appointed for specific and limited academic tasks. They are not expected to perform the normal range of tenure-track academic responsibilities. (If the definition of the position includes teaching, research [or creative activities] and service, the individual must be appointed to .50 or greater FTE and as a part-time tenure-track faculty member or tenure-track professional librarian. See below.) Appointees to these positions shall be expected to meet academic standards commensurate with the restricted definition of their assignment.
(2)
Regular tenure-track part-time appointments
for faculty and professional librarians. These individuals are appointed to positions that are similar to tenure-track full-time positions in every way except the amount of time worked. Thus, they are expected to perform in all areas of tenure-track academic responsibility--teaching, research/creative activities and service. They must be appointed at .50 or greater FTE. These individuals occupy slots that are a continuing part of the unit's budget and of its total FTE. Appointees to these positions shall be expected to meet the same academic standards with regard to teaching, research/creative activities and service, as are required of tenure-track full-time appointees. (See
C. Additional Policy on Tenure-Track Part-Time Faculty and Professional Librarians, below.)
2.
Recruitment and Employment
Applicants for both types of part-time appointments shall be recruited and hired using appropriate academic appointment and affirmative action procedures:
a. It shall be specified by the hiring unit whether the position is tenure-track or non-tenure-track at the time that approval to recruit is requested. The Affirmative Action Officer should be notified when a unit has been authorized to fill any such position.
b. A job description as required by the Indiana University Affirmative Action Plan shall be formulated before active recruitment is actually commenced. If the position is non-tenure-track part-time, the restricted assignment must be specified.
c. Good faith advertising efforts must be made actively to seek qualified minority group and women candidates. This may be accomplished through local, regional or national advertisement, depending on the type of position being filled. The advertisement for the position shall state whether the position is tenure-track or non-tenure-track.
d. The recruiting unit shall submit to the appropriate administrator (Vice President, Chancellor, Vice Chancellor or Dean) and the Campus Affirmative Action Officer the Bloomington Campus Recruitment and Employment Form before scheduling formal interviews. An interview may be scheduled if no objection has been lodged by the appropriate administrator or by the Campus Affirmative Action Officer within three working days of the receipt of the request for an interview.
3.
Fringe Benefits
Fringe benefits available to full-time faculty and professional librarians shall be available to all regular part-time faculty and professional librarians who are at .40 FTE or above; those benefits available to full- time lecturers will be available to all part-time lecturers who are at .40 FTE or above. Benefits shall be pro-rated where appropriate.
4.
Determination of Full-Time Equivalent (FTE)
Guidelines for determining FTE should be developed by each School and the Libraries and by the Dean of the Faculties. Part-time appointments for regular part-time faculty, lecturers and professional librarians should normally be made at no less than .40 FTE in order that those persons may be eligible for fringe benefits. For those appointments below .40 FTE, there shall be a review of the FTE at the time of appointment and a biennial review of FTE thereafter conducted by the Dean of the Faculties.
5.
Conditions of Employment
Policies governing full-time faculty and professional librarians with respect to terms of initial appointment, annual review, promotion, equity review, reappointment and non-reappointment, and the grievance procedures shall apply to part-time tenure-track faculty and professional librarians. Policies governing full-time faculty, lecturers and professional librarians with respect to promotion, equity reviews and grievance procedures shall apply to non-tenure-track part-time faculty, lecturers, and professional librarians.
Unit heads are encouraged to give early notice of non-reappointment to regular non-tenure-rack faculty and professional librarians.
All part-time faculty and professional librarians should be reviewed for promotion. Each School's and the Libraries' Promotion Committee should determine its own guidelines, as allowed by all-university policies. Part-time tenure-track faculty and professional librarians will be held to the same standards of performance as are full-time faculty and professional librarians with, however, appropriate notice taken of the fact that they are on a part-time status. Non-tenure-track part-time faculty, lecturers and professional librarians shall be judged on the basis of their performance of the tasks assigned to them by the terms of their appointments.
Unit heads should advise non-tenure-track part-time appointees of the terms and conditions of their appointments and their rights under this section.
6.
Changes in FTE
All part-time faculty, lecturers, and professional librarians may petition their units to initiate a change in FTE. These changes may be temporary or permanent; they require approval of the Dean of the Faculties.
-
Policy Statement
Tenure-track part-time appointments at the professorial and librarian ranks must be made at a percentage of full-time, not less than .50 FTE, continuing throughout the academic year. (For professional librarians, the appointment at no less than .50 FTE will be based on a l2-month appointment.) The .50 FTE figure was chosen because it is felt that at a lower FTE the individual would not be participating sufficiently in the life of the department to justify the granting of tenure. The individual who holds a .50 or greater FTE position shall be expected to devote that portion of the usual amount of time to teaching, to research/creative activities and to service.
-
Tenure Decision
Tenure decisions for tenure-track part-time faculty and professional librarians shall be made no later than the end of the second semester of the ninth academic year (eighteenth semester of tenure-track service) and shall take effect at the beginning of the eleventh academic year of tenure-track service, thus permitting compliance with the one-year notice requirement for full-time faculty and professional librarians. The same procedures used for tenure decisions for full-time faculty or professional librarians shall apply to tenure-track part-time faculty or professional librarians. Tenure-track part-time faculty and professional librarians shall be held to the same standards of quality for receiving tenure as full-time faculty and professional librarians in the areas of teaching, research/creative activities and service, with appropriate notice taken of the fact that they are part-time.
-
Tenure Status
A tenured part-time faculty member or professional librarian shall have the same rights and obligations and be subject to the same conditions for dismissal as full-time faculty and professional librarians, with the reciprocal obligations of the faculty member or professional librarian and of the University based on a .50 FTE, unless changed by negotiation and by the Dean of the Faculties.
-
Sabbatical Leave
Tenure-track part-time faculty and professional librarians shall be eligible to apply for sabbatical leave to commence in the tenth year of tenure-track service, and thereafter every seventh year. Application procedures are the same as for full-time faculty or professional librarians. Leaves may be requested for a full academic year at half the budgeted salary, or for a half academic year at full budgeted salary. (For professional librarians, the leaves will be based on the calendar year.)
D. Review of Current Part-time Positions and of Current Part-time Faculty, Lecturers and Professional Librarians
1. Determination of Status of Current Part-Time Positions
All faculty, lecturer and professional librarian part-time positions shall be reviewed by the unit to determine their appropriate status. The decisions shall be reviewed by the Dean of the Faculties Office.
All faculty or professional librarian part-time positions at .50 or greater FTE shall be assumed to be tenure-track if they have been continuing budget items for five years or more. Should a unit wish to continue a current non-tenure- track part-time position beyond five years, written justification should be sent to the Dean of the Faculties and approval should be obtained from the Dean of the Faculties Office.
2. Consideration of Current Part-Time Faculty, Lecturers and Professional Librarians
a. Review of FTE: All part-time faculty, lecturers and professional librarians shall be reviewed by their units to determine their appropriate FTE. The unit's determination shall be reviewed by the Dean of the Faculties.
b. Review of Qualifications: All persons in non-tenure-track or tenure-track part-time positions established by this review shall be reviewed by the School's or Libraries' Promotion Committee, which will recommend an appropriate rank. The dossier considered by the Promotion Committee shall be prepared in consultation with the individual. Each decision shall be by the Dean of the Faculties.
Persons in part-time positions designated as tenure-track part-time positions by this review who wish a tenure-track part-time appointment shall be reviewed by the School's or Libraries' Promotion Committee to determine whether they are qualified for tenure-track positions and to recommend the number of years to be credited toward tenure. The final decision about the number of years counted toward Tenure shall be negotiated using the same administrative procedures as are used for full-time faculty and professional librarian appointments.
Persons currently holding these positions who do not wish to be put on the tenure track or who do not meet the standards for a tenure-track position may remain in the positions they now hold as non-tenure faculty, lecturers or professional librarians, with a resultant restriction in job assignment to coincide with the policy on non-tenure-track part-time appointments.
RESEARCH RANKS AT INDIANA UNIVERSITY
(Approved: BFC 3/18/80; Trustees 2/7/81)
Background
There is a need to create a more adequate system of ranks for full-time research specialists than the present single designation "Research Associate" (IR93). The need arises from two general problems. First, those academic units which have major research projects requiring highly-qualified research specialists on a full-time basis find it increasingly difficult to recruit and retain researchers for these positions because of Indiana University's lack of a defined career-ladder structure and reward system for non-faculty researchers who hold the doctorate. With major universities (especially those with the largest total research and development expenditures) adopting systems of research ranks for such persons, this university's competitive recruitment situation has become more difficult.1Indiana University's capacity for serving the scientific community and other clienteles (e.g., industry, education, governmental agencies) depends in part on being able to maintain facilities and organizations which are staffed by stable, well-qualified, cadres of research personnel.
Such facilities as the Cyclotron, the Bureau of Evaluative Studies and Testing, the Workshop in Political Theory and Policy Analysis, and the various research and development operations of SPEA must be able to attract and retain top-flight researchers for non-faculty positions.
Another problem arises from the University's need to define and assure career ladder opportunities to full-time research employees in keeping with affirmative action policies. The l979 report of a subcommittee of the Bloomington Faculty Council Affirmative Action Committee points out that over the last five years various university committees have repeatedly found the university's policies concerning research associates (IR93s) inadequate for recruitment, retention, and the evaluation of salary inequities and have recommended a variety of corrective hierarchy and representation of full-time researchers on policy bodies.
Categories
A three-rank system exists for those full-time researchers1
who typically hold the terminal degree and postdoctorate experience (or its equivalent) and who are employed by Indiana University for strictly research responsibilities. It is suggested that the research ranks be given the following rank codes and titles (the choice of "Scientist" or "Scholar" would be determined by discipline):
IR97 . . . . . Assistant Scientist (or Assistant Scholar)2
IR96 . . . . . Associate Scientist (or Associate Scholar)2
IR95 . . . . . Senior Scientist (or Senior Scholar)2
A separate rank code and title should be used for those individuals with lesser qualifications who are assigned to research jobs which are routine and supervised but call for qualifications and responsibilities greater than those of technicians (rank code TE). In addition persons working at Indiana University as postdoctoral fellows shall be designated as postdoctoral fellows (rank code IR98).
The three-rank system is regarded as a career ladder framework, with appropriate policies and procedures for appointment, annual review, and promotion. The creation of positions within the three-rank system, advertising for qualified candidates, selection and appointment procedures, annual review, promotion, and termination would be under well-defined procedures administered through academic units by the Dean of the Faculties and the Vice President for Research and Dean of the University Graduate School and further subject to the policies, rules, and procedures of the Campus Affirmative Action Plan as administered by the Affirmative Action Officer. Postdoctoral Fellows are eligible to apply for a position in one of the research ranks under certain conditions upon satisfactory completion of the terms of the postdoctorate. Qualified research appointees are eligible to apply for openings in the three-rank system but are not considered automatically for promotion to the beginning rank. The policies and procedures of the University Affirmative Action Plan would apply in determining eligibility for any of the research ranks and for determining eligibility of a person holding a research rank for any other University appointment.
Qualifications for Rank
The qualifications for each of the three research ranks are roughly equivalent to those set forth in the area of research for members of the faculty. Typically a candidate for the rank of Assistant Scientist would have to have completed the terminal degree in his or her discipline and, in some fields, have at least one year of successful postdoctoral research experience. A person at this rank would be fully capable of original, independent research work but would typically work under thedirection of a senior faculty member or an Associate Scientist or a Senior Scientist.
A person at the rank of Associate Scientist would have begun to establish a national reputation through published work and would typically have responsibility for carrying out independently, as principal investigator, projects of his or her own devising. Normally a person should have achieved a minimum of three years of successful research as reflected in published work in refereed sources before attaining or being appointed to the rank of Associate Scientist.
A Senior Scientist would have shown a career of continued growth in scholarship which has brought a national or international reputation as a first-class researcher who has made substantial contributions to his or her discipline.
Promotions in rank are considered by following procedures comparable to those for librarians and faculty. Explicit criteria for promotion will be developed by the Dean of the Faculties and the Vice President for Research and Dean of the University Graduate School, with the help of an advisory committee of faculty and current holders of senior research ranks. Promotion dossiers are prepared by the scientist's department or project unit and reviewed by the same review bodies, administrators, and advisory committees at the school and campus levels as those used for faculty. When promotion recommendations are considered by the Bloomington Campus Promotions Advisory Committee, the Dean of the Faculties should augment the committee with two persons holding the rank of Senior Scientist/Senior Scholar.
.
Benefits
Retirement Plan:
Persons holding the rank of Assistant Scientist, Associate Scientist, or Senior Scientist are eligible for immediate enrollment in the IU Retirement plans.
Insurance:
Persons holding the rank of Assistant Scientist, Associate Scientist, or Senior Scientist would participate in the same University life insurance plan as provided for faculty and librarians (twice salary to maximum of $50,000). Health insurance is available to persons holding research ranks at their option, with the University paying a portion as with faculty and librarians. Persons appointed to research ranks for periods less than nine months are not eligible for insurance.
Sick Leave:
Persons holding any of the three research ranks would receive up to six weeks of sick leave at full pay and the balance of the semester at half pay and may request an extension beyond the end of the semester to a maximum of nine weeks at half pay.
Vacation:
Persons appointed to research ranks for a 12-month period would be entitled to a 1-month vacation. No vacation with pay would be accorded persons on less than 12-month appointments.
Personnel Policies
The chairperson of the department in which a scientist's project is located (or the project or institute director, in the case of projects not directly under an academic department) initiate recommendations for the establishment of new positions, advertising plans, appointment renewals of appointment, and recommendations for promotion. These recommendations are reviewed and acted upon by the dean of the appropriate academic unit (e.g., College of Arts and Sciences, School of Business, School of Education, et al.) and both the Dean of the Faculties (for the Bloomington Campus) and the Vice President for Research and Dean of the University Graduate School. Assistant Scientists normally are on one-year, renewable appointments subject both to annual evaluative reviews by the chairperson or director and to the assurance of funding. Associate Scientists and Senior Scientists normally are appointed for periods of more than one year, depending upon the nature of the research missions to which they are assigned, their responsibilities, and funding prospects. It should be the policy of the University to provide optimal conditions of job security to Associate Scientists and Senior Scientists through the use of extended and open contracts, as funding permits.
Except for those persons holding research ranks who have been granted "research project tenure"1 (which carries a one-year termination period), the minimum notice of termination shall be the normal pay period (which is current policy for all non-tenure-line academic appointees).
Persons holding research ranks may not teach, except on a released-time basis and an appointment to a part-time faculty rank by the Dean of the Faculties. They are not eligible for sabbatical leave.
Persons holding research ranks are not be eligible for consideration for tenure-line faculty rank, except as successful applicants responding to a normal, advertised search along with other candidates under affirmative action procedures.
It is recommended that persons holding research ranks be eligible for election to campus councils and to the University Policy Council on the same terms as faculty and librarians.
In order to provide for an orderly and representative system of consultation and mediation (when needed) with the Dean of the Faculties and the Vice President for Research and Dean of the University Graduate School, those two deans shall appoint an advisory committee of research appointees with representatives from the major academic units employing researchers.
Part Time
(Approved: UFC 10/13/92)
The following additional title is used for part-time research appointees. Where ranks are included in the title, appointment should be at the rank which would be given were that individual being appointed as a research scientist. Changes from these appointments to regular research scientists should follow the customary University procedures. Where the individual is employed in these positions on a continuing or recurrent basis, reappointment and promotion in rank must go through normal University procedures.
The term "part-time" follows the designation of rank (e.g., Assistant Scientist--part-time). These appointees devote only part of their time to the duties of research scientist. They may also be gainfully employed in other activities, either with the University or elsewhere.
PROJECT TENURE
(Approved: Trustees 3/3/56)
In view of the number of research projects in effect in the whole university program, and to afford some employment security to the many individuals concerned in carrying out these projects, the following policy, designated as "Research Project Tenure," has been formally adopted with the approval of the University Administrative Committee and the concurrence of the academic deans.
Recognizing that some measure of security is desired and deserved by postdoctoral Research Associates (and perhaps others similarly situated) whose employment at Indiana University has had little or no connection with teaching duties, it is recommended:
2. That the directors of such projects be permitted to recommend, when they deem it proper--but not before the person to be recommended has served on the project for at least a year--members of their staff for "research project tenure." Such recommendation is his testimony that the project director has taken the decision that the persons recommended for "research project tenure" are so important to the project that in his opinion their employment on the project should be continued through the life of the project if the persons wish to continue being so employed.
3. That, when such a recommendation has been made by the appropriate campus administrative officials, the person shall be notified that he has been granted "research project tenure." Such designation, in addition to granting tenure during the life of the project save for termination for adequate cause, shall further assure each person so that he will be retained in the employ of Indiana University, at his customary salary rate, for a minimum of one year from the time it is decided--and he has been formally notified--that the project will be discontinued.
In implementing this policy the following procedures and criteria should be applied:
2. In recommending project tenure, the project director or unit head must provide satisfactory evidence that funding for the possible one-year termination period is assured within the budget of the recommending unit or from some outside funding source.
RETIREMENT
(Trustees: 5/18/37; 6/30/47)
Retirement Age
Effective January 1, 1994, Federal law prohibits the setting of a mandatory age at which employees must retire from the University.
RETIREMENT OF THE PRESIDENT, DEANS, AND HEADS OF DEPARTMENTS
(Trustees 5/18/37; 9/11/43; Administrative Practice)
Administrative Retirement Age
The President, deans, chairpersons, and heads of academic departments shall be retired from their administrative duties at the end of the academic year in which they attain the age of 65. Where administrative officers also hold faculty or library rank, they may continue to serve in their non-administrative capacity until they elect to retire from the University. There is no administrative retirement policy for administrative officers not holding faculty or library rank.
Policy rescinded as of May 3, 2002. See updated policy, Document A-XXVII
RETIREMENT POLICY FOR LIBRARY OFFICERS
(Trustees 6/5/64; Administrative Practice)
Administrative Retirement for Library Officers
Deans, directors, library department heads, and branch librarians shall be retired from administrative or executive duties at the end of the academic year in which they attain the age of 65. Where administrative officers also hold faculty or library rank, they may continue to serve in their non-administrative professional capacities as assigned by the Dean of Libraries. The salary of such reassigned personnel will be readjusted in the period of reassignment to a figure commensurate with the duties to be performed and taking into account the experience of the person reassigned.
Policy rescinded as of May 3, 2002. See updated policy, Document A-XXVII
THE STATUS AND PRIVILEGES OF RETIRED FACULTY MEMBERS AND LIBRARIANS
(Approved: BFC 11/21/78; 2/21/89; 1/15/99)
A. Listing:Retired faculty members and librarians shall be listed in the annual Indiana University Register and in the following publications of the Bloomington Campus:
1. The Indiana University Bulletins of Undergraduate and Graduate Curriculum under the appropriate College and Departmental Listings.
2. Promotional literature developed by offices of the university when departmental listings of faculty are made.
3. All other publications where appropriate.
B. Participation:
1. Retired faculty and librarians are invited to submit Annual Reports on the usual forms, listing their achievements and honors in the standard manner.
2. They are invited to participate in Founders' Day and Commencement ceremonies.
3. They are encouraged to participate in Faculty Council and university committees. Participation in department business is determined by the discretion of the department.
4. An annual survey should be circulated to Bloomington area retired faculty and librarians to determine their interest in committee work. This survey should be made by the Dean of the Faculties at the beginning of an academic year.
C. Use of a University Office, Laboratory, or Studio Space:
1. Each year, the Dean of the Faculties will assess the requirements of retired faculty and librarians for office, laboratory, or studio space according to the following standards, and will make provision to meet such needs:
a. All retired faculty and librarians who plan to continue or resume full-time academic work on campus will be entitled to office, laboratory, or studio space using the same standards as for the faculty and librarians generally.
b. All retired faculty and librarians, who plan to be less than fully active in their research and/or teaching will be entitled to regular office, laboratory, or studio space only if available. If private office, laboratory, or studio space is not available, they will be entitled to appropriate common space to be shared with other retirees. Such common space will be designed so as to be suitable for the activities of these retirees and will offer appropriate support services and amenities including security of materials and privacy when using the facility. These common spaces will be decentralized throughout the campus to allow retirees convenient access to their departments or other facilities important to their research and creative activity and/or teaching.
c. In order to continue to qualify for private office, laboratory, or studio space, retirees will be required to submit annual reports of their activities and to reapply for such space every two years.
d. Upon returning to full-time academic work, the retiree is eligible to apply for office, laboratory, or studio space: this also applies to faculty who retire and leave Bloomington for a period of time and then return to IU-Bloomington.
2. The following shall pertain to assignment of regular office, laboratory, or studio space:
a. The departmental chairperson is directed to consult (as soon as possible) with a prospective retiree when the chairperson receives notification of his or her decision to retire in order to ascertain the needs of the retiree for office, laboratory, or studio space and to determine whether the retiree plans to continue to be active in research and creative activity and/or teaching. Unit heads shall notify the Office of Space Management when retirees qualify for private or common space.
b. Unless special circumstances arise, all retirees are entitled to remain in their present offices, laboratories, or studios for 60 days after retirement to allow them to sort through papers and files and to make arrangements for their removal.
c. If it is impossible for retirees who plan to be fully active in their research and creative activity and/or teaching to remain in his or her office/ laboratory/ studio used before retirement, the chair will undertake to provide an alternative office, laboratory, or studio in or near the departmental location after due recognition of the special needs of the teaching faculty to be housed near the center of departmental activity.
d. If office, laboratory, or studio space assigned to the department is not available, the chair will request a space allocation form from the Office of Space Management, and it shall be the responsibility of the Dean of Faculties with the help of the Director of Space Management to try to arrange for suitable office, laboratory, or studio space elsewhere on campus. In locating such office, laboratory, or studio space, every effort should be made to house the retiree as near his or her home department as possible.
3. With the advent of Responsibility Centered Management, it will be the responsibility of the Vice President, Bloomington, to absorb the charges for all retiree office, laboratory, or studio space from an account so designated and funded.
4. Because of the expected increase in the number of retirees, they have a special obligation to return office space within 60 days if they do not plan to use it as anticipated, or if the use is interrupted for a continuous period of four months during the academic year.
5. Any unresolved complaint from a retiree about office, laboratory, or studio space shall be referred to the Retiree Office/Laboratory/Studio Allocation Committee for mediation and, if necessary, recommendation to the Dean of the Faculties. The Retiree Office/Laboratory/Studio Allocation Committee shall be composed of three members appointed by the Bloomington Faculty Council and four retirees who shall be elected by the faculty and librarian members of the Indiana University Annuitants Association. The Governors of the Indiana University Annuitants Association shall be responsible for the conduct of the election of the retiree members.
6. The Retiree Office/Laboratory/Studio Allocation Committee shall report annually on the operation of these procedures to the Bloomington Faculty Council.
D. Use of Library Carrels and Other Library Facilities:
The same rules governing regular faculty and librarians shall apply to retired faculty and librarians.
E. Special Benefits:
The following benefits shall be extended to retired faculty and librarians:
2. Free university bus passes.
3. Reduced rates for "A" parking decals.
4. Right of admission to university-sponsored or campus-sponsored events--public lectures, concerts, athletic events, etc.--on the same basis as academic appointees generally.
5. Discounted fees at the Optometry Clinic. 6. 100% discount on comprehensive hearing evaluation at the Robert Millisen Speech, Language, and Hearing Clinics. 7. Free membership in the University Club. (Note that all University Club members receive discounted IMU parking and discounted meals in the Tudor Room.)
BENEFITS
(Approved: Trustees, as negotiated; 10/14/88; Administrative Practice)
Various benefit plans are provided for Indiana University employees. Because these plans are subject to change by actions of the administration and of the Trustees of Indiana University and by legislation, individuals should contact their local Human Resources Office or the University Benefits Office for more current details.
HEALTH CARE COVERAGE
(For Full-Time Employees)
Comprehensive plans with dental care option and a prescription drug program are available to all full-time employees appointed for at least an academic year (or nine continuous months if not on an academic year appointment). Retired employees are eligible if they were covered through the IU Plan prior to retirement, with the retiree paying the full premium at group rate.
Employees may choose from three plans offered: Preferred Provider Plan, HMO, and Precision Point of Service. Four choices of membership level include employee only, employee and children, employee and spouse, and family.
During active employment, the University pays a significant portion of the premium. Academic- year appointees whose regular appointments terminate at the end of the academic year but who are then given appointments in the following summer session may continue membership in the plan during the summer session, provided they pay their share of the premium through their campus Human Resources Office.
Federal law (COBRA) allows employees or their dependents to continue in the group health care insurance plan, for specified periods, upon termination of employment, divorce, death, or dependent children reaching the cut-off age.
Plan descriptions and details are available from each campus Human Resources Office.
The University provides group life insurance to formally appointed full-time employees in positions of expected duration of one academic year (or a minimum of nine months, if not a teaching position) who have actively commenced and continue compensated employment. The University bears the full cost of premium payments. Coverage continues until employment is terminated except during leaves of absence without pay in excess of three months.
Employees age 65 and under are insured for an amount two times base salary to a maximum of $50,000 of insurance. After age 65, and for retirees, the amount of insurance is reduced. Other Provisions of the Group Life Insurance Contract:
a. Spouses of employees are insured for $3,000 and dependent children for $1,000. Each child must be at least 14 days of age and under age 19, or a full-time student under age 23.
b. A covered employee who becomes totally and permanently disabled before the sixtieth birthday may receive life insurance benefits in equal monthly disability installments. The number and amount of these are determined by the Master Policy, but the total amount thus paid is not to exceed the first $20,000 of coverage.
c. When a covered employee suffers accidental death or dismemberment the designated beneficiary, or the employee, normally receives an additional benefit, over and above the regular coverage.
d. Insured, academic-year appointees whose regular appointment has terminated at the end of the academic year but who are then given an appointment in the summer session, will continue to be insured through the summer appointment.
e. When a covered employee is terminated, group coverage may be converted to individual coverage with the same insurance carrier and without evidence of insurability. Premiums are paid by the individual based on attained age. Application for such conversion must be made within thirty-one days after termination.
f. After certain conditions of achieved age and length of University service, the employee's membership in the group may continue after retirement.
SUPPLEMENTAL LIFE INSURANCE
All full-time appointed employees may purchase additional group term life insurance beyond the University-provided $50,000. Enrollment must be made within 60 days of first eligibility, or upon proof of medical evidence of insurability.
FEDERAL SOCIAL SECURITY
Most employees of Indiana University are entitled to two categories of benefits: Old Age, Survivors, and Disability Insurance (OASI) and Medicare health insurance. By law, the University and the employee share equally in the payment of the Federal Income Contribution Act (FICA) tax on salary and wages. The tax rate (1996, 7.65% of each employee's pay up to $62,700 per year for OASI and 1.45% of each employee's pay above $62,700 per year for Medicare) is set by Congress and may be changed from time to time.
In the most general terms, Social Security benefits in this category are payable to (a) retired employees, 62 years or older; (b) dependents of employees who are disabled, retired, or deceased; (c) employees who have become disabled before reaching retirement age.
MEDICARE
This program provides hospital and medical insurance benefits for persons 65 years or older, the disabled, and those suffering from chronic kidney diseases. It is important to know that each person--employee and spouse separately, whether working or not--should file application for coverage with the Social Security Administration about eight weeks before the 65th birthday, or prior to retirement if that occurs later, to assure prompt coverage. For detailed information contact the local office of the Social Security Administration.
WORKERS' COMPENSATION AND OCCUPATIONAL DISEASE ACT
State law requires all employers to provide specific benefits for employees who are injured or diseased in the line of duty of their employment. The cost of the benefits is borne entirely by the University. Injuries should be reported to the employee's immediate supervisor and by the supervisor to the office on each campus which is responsible for property and casualty insurance. Medical expenses covered by this law are not covered under the health care benefits otherwise provided through University employment.
The Federal Social Security Act requires extension of the Indiana Employment Security Act to employees of the University who are not primarily students. Such employees are entitled to unemployment compensation under the same conditions that are provided by the Indiana law for employees of private industry, except that University employees in an instructional, research, or principal administrative capacity on a l0-month basis are not entitled to benefits during the interval between two successive semesters, terms, or academic years of employment.
PERSONAL ACCIDENT INSURANCE
Additional insurance up to $500,000 at a low premium rate, may be purchased by full-time employees for accidental death or disability, by payroll deduction or reduction. Spouses and children may also be covered under this plan.
This is a voluntary plan available to full-time appointed employees which exempts certain insurance premiums, and health and dependent care expenses from federal, state, local, and Social Security (FICA) taxes. The plan has three distinct parts.
Part A allows payment of the employee's share of the premium for any IU Group Medical, Dental, or Personal Accident Insurance Plan by payroll reduction, on a before tax basis, thus lowering the net taxable income.
Part B is for reimbursement of expenses for health and dental care not covered by insurance.
Part C reimburses expenses for dependent care during working hours. Under Parts B and C, employee's taxable salary is reduced by an agreed amount which is placed on account to reimburse the employee for eligible services after they are rendered.
Enrollment is permitted only within 60 days of initial appointment, and during the month of November for the following calendar year. Employees must re-enroll each November to continue participation in Parts B and C.
Continuing University employees may set aside extra money for retirement on a before-tax basis. Income taxes on the amount set aside, and on investment earnings, are delayed until the monies are withdrawn from the plan, typically at retirement.
This program is allowed under IRS Regulations which establish the maximum amount that can be set aside. The allowable amount depends on salary level, years of service, and prior tax-sheltered contributions. A wide range of investment options (over 50) are offered by five franchised vendors. Campus Human Resources Offices can provide the maximum allowable contribution and a list of the franchised vendors.
Pre-Tax Commuting Expense Plan
This plan covers all IU employees with a regular salary, taking advantage of changes in IRS regulations by reducing income and FICA taxes for certain amounts related to commuting to and from employment at the University. The plan consists of two components: Pre-tax Parking Expenses and Pre-tax Mass Transit Expenses:
Pre-tax Parking Expenses (effective July 1, 1999):
(1) Pre-tax expenses for parking, up to IRS maximum
(2) Automatic payroll "salary reduction" for new/renewed parking permits
(3) Option to pay fees directly to Parking Operations with after-tax funds
Pre-tax Mass Transit Expenses (effective January 1, 2000)
(1) Pre-tax expenses for bus and train, up to IRS maximum
(2) Payroll "pre-tax credit" upon submission of applicable receipts.
Expenses related to both plan components are exempt from federal and state income and FICA taxes, resulting in an increase in take home pay.
These pre-tax benefits do not impact other University benefits such a retirement and life insurance, except maximum employee contributions to TDA plan may be slightly reduced.
RETIREMENT PROGRAMS
Retirement Age
(Approved: Trustees 5/18/59; 4/5/86; Administrative Practice)
As of 1/1/94 federal law prohibits the setting of a mandatory age at which employees must retire from the University. Retirement benefits are determined by the retirement plan for which the appointee is eligible. For faculty, the IU Retirement Plan does not reference age, except for 18/20.
INDIANA UNIVERSITY RETIREMENT PLANS
(Administrative Practice)
The Trustees of Indiana University approved the original Retirement Plan on May 18, 1937; the Revised Plan incorporating a TIAA deferred annuity contract on June 30, 1947; and major revisions on May 18, 1959, May 5, 1986, and October 14, 1988. Other changes have been made periodically and now include investment funds at TIAA-CREF and Fidelity.
Descriptions of the five IU Retirement Plans (Plan 15, Plan 12, Plan 11.25, Plan 10, and PERF) follow. Details on the available investment venues may be obtained from the University Benefits Office (855-2985).
Eligibility.
Full-time employees with a commencement date of 12/31/88 or earlier were eligible as follows: Professors, associate professors, assistant professors, librarians, associate librarians, assistant librarians, senior scientists/scholars, associate scientists/scholars, assistant scientists/scholars, and full-time clinical rank appointees are eligible immediately upon appointment. Persons in administrative and professional positions ranked at level 16 or above and University physicians are eligible immediately upon appointment for a term of one or more years.
(Approved: Trustees 6/30/47, 11/17/50, 4/20/51, 4/25/70, 6/30/72, 4/5/80, 2/7/81, 10/14/88)
Contribution.
IU Contribution to individual participant-directed accounts equal to11% of the first $7,800 of Base salary (not including salary for summer appointments or supplemental pay) plus 15% of the remainder, not to exceed IRS limits.
(Approved: Trustees 7/1/60, 10/14/88)
Retirement.
Participants are eligible for the 18-20 Early Retirement Plan as revised on 10/14/88.
(Approved: Trustees 5/18/37, 4/5/86, 10/14/88)
Long Term Disability. Participants are eligible for the University-funded Long Term Disability Income Continuation Plan described in Document A-XII. (Approved: Trustees 6/17/77)
Eligibility. Full-time employees with a commencement date of 1/1/89 to 6/30/99 are eligible as follows: Professors, associate professors, assistant professors, librarians, associate librarians, assistant librarians, senior scientists/scholars, associate scientists/scholars, assistant scientists/scholars, and full-time clinical rank appointees are eligible immediately upon appointment. Affiliate librarians are also eligible immediately upon appointment provided they are appointed with tenure or for a term of one or more years. Persons in administrative and professional positions ranked at level 16 or above, as well as University physicians, are eligible immediately upon appointment for a term of one or more years.
Visiting faculty and visiting professional librarians are excluded from eligibility for Retirement Plan 12.
(Approved: Trustees 6/30/47, 11/17/50, 4/20/51, 4/25/70, 6/30/72, 4/5/80. 2/7/81, 5/4/81, 10/14/88; Administrative Practice)
Contribution.
IU Contribution to individual participant-directed accounts equal to 12% of Base Salary (not including salary for summer appointments or supplemental pay), not to exceed IRS limits.
(Approved: Trustees 7/1/60, 10/14/88; Administrative Practice)
Retirement.
Participants are eligible for the Supplemental Early Retirement Plan (IUSERP) (See
DOCUMENT A-XIX). Participants are not eligible for the 18-20 Early Retirement Plan.
(Approved: Trustees 5/18/37, 4/5/86, 10/14/88, 5/3/91)
Long Term Disability.
Participants are eligible for the University-funded Long Term Disability Income Continuation Plan described in
DOCUMENT A-XII.
(Approved: Trustees 6/17/77)
Eligibility.
All academic and staff employees who are permanent residents of the United States with a commencement date of 7/1/89 to 6/30/99 who (1) are not eligible to participate in Retirement Plan 12 or Retirement Plan 15, and (2) are appointed to positions of at least 50% FTE on a 12-pay schedule, or 60% FTE on a 10-pay schedule are eligible immediately upon appointment; and all academic and staff employees with a commencement date prior to 7/1/89 who were enrolled in PERF prior to that date and who do not choose to remain in the PERF Retirement Plan. (See below.)
(Administrative Practice)
Contribution.
IU contribution to individual participant-directed accounts equal to 11.25% of total Annual Salary, not to exceed IRS limits.
(Administrative Practice)
Retirement.
Participants are not eligible for early retirement plans.
(Approved: Trustees 10/14/88)
Long Term Disability.
Participants are eligible to apply for the employee-funded voluntary Long Term Disability Plan.
(Administrative Practice)
IU RETIREMENT PLAN 10
Eligibility. IU employees with an Academic or Professional Staff Appointment of 50% or more, effective July 1999, or later.
Plan Type. Defined contribution plan in accordance with IRC Section 403(b)
Contribution: IU contribution to individual participant-directed accounts equal to 10% of Base Salary (not including salary for summer appointments or supplemental pay), not to exceed IRS limits.
Investment Options: Investment fund options approved by Indiana University at TIAA-CREF and Fidelity Investments.
Vesting: Participants are immediately vested in IU contributions and any investment earnings.
(Approved: Trustees 10/30/98)
Eligibility.
The Public Employees' Retirement Fund (PERF) is a mandatory State Retirement Plan for employees who are citizens or permanent residents of the United States who are not eligible for any of the other IU Retirement Plans or who enrolled in PERF prior to 7/1/89 and are eligible to, but do not choose to transfer to IU Retirement Plan 11.25.
(State Regulations; Administrative Practice)
Contributions. The plan is a combination of defined contribution of the employee (3% of earnings, paid by the University) for the generation of a retirement annuity plus a retirement benefit provided by the State, with the University making a contribution to the State Fund of 8.5% of earnings.
Retirement.
Participants may retire at age 65 with at least 10 years of service credit with regular retirement benefits provided by the State. The annual retirement benefit is defined as 1.1% of the average annual earnings for the five highest years multiplied by years of creditable service. In addition, a portion of the value of the participant's annuity account, based on the value of the account at retirement and the cost of purchasing a lifetime income given retirement age, is added to the employer pension benefit. Participants with 15 or more years of service are eligible for early retirement between the ages of 50 and 65 at reduced benefits.
(State Regulations)
Long Term Disability.
With five or more years of service, participants who qualify for disability benefits from the Federal Social Security Administration are eligible to receive a monthly disability from PERF based on years of service, average salary, and the amount in the annuity account.
(State Regulations; Administrative Practice)
18-20 Rule (Early Retirement Plan)
(Approved: Trustees 5/18/59, 4/5/86, 10/14/88, 5/19/92)
The 18-20 Plan is not available to any employee with a commencement date later than December 31, 1988. If a participant has completed 20 years of full-time service at Indiana University, and l8 years of participation in the TIAA-CREF Annuity Plan, and if he or she becomes retired on or after the sixty-fourth birthday and prior to the seventieth birthday, the University plans to pay:
To the member: an "interim benefit" which (with benefit then available from Worker's Compensation and Occupational Disease Insurance, if any) will result in a total that is equal to benefits "expected five years from the date of retirement or at age 70, whichever comes first" as defined below.
To TIAA-CREF: annuity premiums for the recipient's account based on terminal salary which is the average annual base salary received during the final five years of employment at Indiana University.
It should be noted, however, that payment by the University of interim benefits and annuity premiums terminates on the earliest of the following dates: (a) the date of the recipient's death; (b) the date gainful employment is resumed, and for the period of such employment; © five years from the date of retirement or the recipient's 70th birthday, whichever comes first, at which time TIAA-CREF retirement annuity benefits may begin.
Definition. Benefits "expected five years from the date of retirement or at age 70, whichever comes first," refers to the single life annuity from regular contributions made under this plan, calculated assuming that all regular contributions were divided equally between TIAA and CREF. The assumption regarding the division of contributions, however, does not restrict the retiree from exercising options regarding actual allocations of investments between the fund options available under the TIAA system. Retirees may receive no more than 100% of their terminal base salary from Indiana University.
(Approved: Trustees 5/18/59, 4/5/86, 10/14/88)
Conditions and Procedures
In administering the 18-20 Year Rule, the following conditions and procedures apply.
I. General Conditions
A. An 18-20 Rule Retirement Benefit Application must be filed and duly approved before benefit payments begin.
B. The qualifying period of service must be continuous or with only one interruption of not more than two years, unless otherwise approved with the knowledge of The Trustees.
C. Interim benefits payable to the retiree shall be made monthly, on a 12- month basis, regardless of whether active service appointment was on an academic-year or 12-month basis. Check-mailing will normally commence at the end of the first month of the retirement year, unless there are deductible provisions as described in paragraph D.
D. For persons retiring from academic-year appointment the "retirement year" will begin January 1 for those retiring at the close of the first semester, and on July 1 for those retiring at the close of the second semester. *NOTE: This presumes that an academic-year appointee becoming retired in a Summer month might have rendered compensable service up to the beginning of the retirement year. Under all other conditions the "retirement year" will begin on the first day of the first month following the last month in which compensable service was (or might have been) rendered, provided that regular and terminal vacation pay (but not staff Honorary Service Vacation pay) up to but not exceeding the amount of the interim benefit shall be deducted from the interim benefit payment for each month or partial month of credited vacation time.
E. The check mailed at the end of the last month before the 70th birthday, five years from the date of retirement, or death, whichever comes first, will be the final interim benefit check. The final TIAA/CREF contribution will be likewise determined.
II. Interpretation of the "Gainful Employment" Proviso of the 18-20 Rule.
A. Restrictions on gainful employment will be limited to employment by Indiana University or institutions, agencies, or governmental units that are funded by the State of Indiana.
B. In the event that a retiree is employed by a state supported institution or agency, the payment of all benefits, including TIAA contributions will cease until the gainful employment rule is complied with.
III. Gainful Employment Reporting
A. All retirees will be asked to file a quarterly statement regarding gainful employment.
B. The retiring person who anticipates any gainful employment that will result in a stoppage of the Interim Benefit during the first quarter of retirement should file a Gainful Employment Report before the commencement of Interim Benefit payments to avoid excess payment in the tax year.
STATEMENT OF THE INCOME CONTINUATION PLAN FOR LONG-TERM DISABILITY
(Approved: Trustees 6/17/77)
The Long Term Disability Income Continuation Plan is a University-operated and funded plan.
A. Participation:
This plan is for employees who are participants in one of the TIAA-CREF Retirement Plan [Plan 15 and Plan 12] who have fulfilled the following service requirements:
2. The President, the vice-presidents, and the deans must have completed at least five years of service.
3. Others enrolled in TIAA-CREF, including administrative officers and junior administrative officers, must have completed at least seven years of service.
B. Monthly Disability Income Benefit:
If two physicians employed by the University to evaluate a disability claim attest that a person who fulfills the conditions listed above is totally disabled (as defined below), the University plans to pay a monthly disability income benefit to begin on the first of the month after the employee has been totally disabled for a period of six consecutive months.
The monthly disability income benefit shall be paid during each month of continuing total disability. The University may at any time require evidence that total disability continues.
C. Size of Disability Benefit:
The monthly disability income benefit payable under this plan shall be equal to 60% of the covered employee's monthly salary (as defined below), except that the benefit otherwise payable shall be reduced:
2. By the single life annuity then available from TIAA-CREF from standard premiums paid during Indiana University employment assuming that all such premiums were made to TIAA.
3. By any monthly disability benefit available under any workmen's compensation, occupational disease or similar law.
Provided however, after age 65 no disability income benefit, derived from Indiana University employment, shall exceed the benefits that would have been payable under an Indiana University retirement plan at age 70 had the employee's career not been interrupted or terminated by disability.
D. Cost-of-Living Adjustments:
During payment of the monthly disability income benefit, cost-of-living adjustments to the sum of the TIAA calculated annuity and the supplemental retiring allowance shall be determined annually as of July l and added to the monthly disability income benefit beginning on the following January l based on consideration of the annual increase in compensation of full-time faculty, but not to exceed in accumulative total the Consumer Price Index accumulated increase since July 1 of the fiscal year of disability retirement.
E. Definitions:
1. An employee shall be considered totally disabled
a. for the first year from the date benefits first become payable if and while such employee is completely unable to engage in the regular occupation or profession he would be expected by the University to pursue in the absence of his disability and assuming continuing employment in the position occupied at the time of disablement.
b. after the first five years in any period of continuous disability if and while such employee is completely unable to engage in any reasonably gainful occupation for which the employee is suited by education, training or experience, with due regard being given to the nature of the employee's occupation at the time disability shall have begun and to the employee's prior average earnings.
c. in the following circumstances: The entire and irrecoverable loss of the sight of both eyes, or of the power of speech, or of the use of both arms or of both legs or of one arm and one leg shall always be acceptable as constituting total disability as long as such loss continues; and upon the occurrence of any such loss described in this sentence the benefits for total disability will vest from the date of such total disability even though the six-month waiting period referred to in paragraph B. has not expired. Speech means audible communication of words, with or without artificial assistance.
2. Covered employee's monthly salary, as referred to above, shall be one-twelfth of base salary. Base salary shall mean the accumulated compensation over 10 months or 12 months as entered in the annual budget and in the salary or appointment letters to the employee.
F. Exclusions:
2. Intentional self-inflicted injury or sickness, whether the individual be sane or insane.
3. Due to any act of international armed conflict, or conflict involving the armed forces of any international authority.
4. Incurred while in the armed services of any country or international authority.
FEE COURTESY
http://www.indiana.edu/~uhrs/pubs/books/feecourt.pdf
http://registrar.indiana.edu/Services/resdncy.html
FEE COURTESY-DEPENDENT CHILDREN
http://www.indiana.edu/~uhrs/pubs/books/feecourt.pdf
http://registrar.indiana.edu/Services/resdncy.html
VACATION POLICY FOR TWELVE MONTHS' ACADEMIC STAFF
(Approved: Faculty Council 3/7/67)
-
Vacations are allowed and encouraged for the purpose of increasing individual efficiency and usefulness of the academic staff.
-
All staff members on twelve months' appointments are entitled to one month's vacation with full compensation for each calendar year.
-
Such vacations are not accumulative, i.e., if vacation time is not taken during one year the individual is not entitled to two months' vacation during the next year.
-
During a vacation period for which an individual receives his regular monthly compensation, it is understood that he/she shall not accept or receive compensation for full-time employment elsewhere.
-
Although vacations need not be taken at the same time each year, the vacation period in any year should not follow immediately the vacation period of the preceding year.
- No staff member can expect additional compensation in lieu of vacation.
Vacation Policy Amendment
(Approved: Trustees 4/21/67)
The Faculty Council has recommended a change in vacation policy for academic staff on twelve months' appointment to allow them one month's vacation with full compensation for each calendar year, not to be accumulative. The present statement has been interpreted by some departments to mean that no person on a twelve months' academic appointment could have terminal leave, and this revision is intended to correct the inequities and inconsistencies that have arisen in interpretation of the policy.
ACCESS TO RECORDS
(In Compliance with State Statute IC 5-14-3;
Approved: UFC 10/11/83)
I. DEFINITIONS AND PRINCIPLES
A. The term "academic employee" shall be understood to mean all employees with the following rank codes: IR, LI, PC (formerly OA or CN), AA, and MD.
B. The terms "record" and "file" shall be understood to mean any items or collections of information on individual academic employees including transcripts of conversations recorded and stored in any medium under personal name or by any equivalent identifying number or symbol.
C. Inasmuch as the organization of records may vary from office to office, every office which has the responsibility for the maintenance of records shall draw up a general statement of the nature and organization of the records kept by that office.
D. Each academic employee shall upon request obtain from the Dean of the Faculties or the Dean for Academic Affairs of the campus a list of all places where records concerning the employee are maintained by the University.
II. PUBLIC ACCESS TO ACADEMIC EMPLOYEE RECORDS
According to state law, the public shall have access to the following information from the academic employee's file:
Name, compensation, application for employment or appointment, job title, business address, business telephone number, job description, education and training background, previous work experience, or dates of first and last employment of present or former officers or employees of the agency.
III. ACCESS TO ACADEMIC EMPLOYEE RECORDS BY UNIVERSITY ADMINISTRATORS
A. Setting aside the academic employee's access to his or her own file, the files of academic employees (other than the information contained in them as listed in Section II above) shall be accessible only to University administrators and other employees who need to know the contents of these files for such purposes as personnel action recommendations, annual reviews, salary adjustments and equity reviews, or as part of search and screen procedures for University offices.
B. Normally during the examination of an employee's file, this file shall remain under the direct supervision of the employee (or of his or her designated agent) officially charged by the University with the responsibility for the maintenance of this record.
IV. ACCESS TO PERSONNEL FILE BY THE ACADEMIC EMPLOYEE
A. Every academic employee shall have access to his or her personnel file. The file shall be made available upon request by the employee. (See IV.B. below.)
B. The right of an employee to inspect his or her personnel file shall not be restricted in any way by the University except for:
1. Letters of evaluation solicited by the University under an explicit or implicit promise of confidentiality for purposes of recommendation on initial appointment, reappointment, promotion or tenure, written prior to January 1, 1984.
2. Statements of evaluation in connection with appointment, reappointment, promotion, or tenure decisions or reviews, which were written under an explicit or implicit promise of confidentiality by departmental or school administrators or faculty review committees before November 1, 1983.
3a. Letters or statements from students solicited by the University and written prior to November 1, 1983, which comment on the academic employee's performance as a teacher, scholar, or advisor.
3b. However, unsolicited letters and statements from students written prior to November 1, 1983, which comment on the academic employee's performance as a teacher, scholar, or advisor may be disclosed to the employee only if in the judgment of the responsible administrator disclosure will not jeopardize the students' academic or professional careers.
C. After November 1, 1983, all requests from the University soliciting comments in connection with a recommendation for initial appointment, reappointment, promotion, or tenure shall include the following statement: Although letters of recommendation are not normally disclosed to candidates, a state law permits employees to gain, upon request, access to their own personnel files, including such letters.
D. The following stipulations govern an employee's access to his or her own records:
2. An employee's records shall be made available to him or her as soon as possible, but not more than five working days after receipt of the request.
3. Upon payment of a reasonable charge for the service, the employee shall be provided with a single copy of the record or any part thereof.
4. The employee may respond in writing to any item in his or her record. Such written response shall become part of the record.
V. MAINTENANCE OF RECORDS OF ACADEMIC EMPLOYEES
A. Unsolicited communications containing evaluative or judgmental statements about the employee's performance, qualifications, or character (other than those described in V.B.) shall not be placed in an employee's record unless:
1. The employee is the provider of the item or 2. The employee has received a copy of the item in its entirety prior to its being placed into the file. The office employee in control of the record shall notify the academic employee whose record is at issue of the receipt of unsolicited communications. The academic employee shall be provided with an opportunity to respond in writing to any statement in any unsolicited communication. The response shall become part of the record.B. Unsolicited communications from an employee's present or former students may be filed and collected by the administrator to whom they are addressed. The contents of such communications and the names of their authors shall not be given to the employee if such action, in the judgment of the responsible administrator, may jeopardize a student's academic or professional career, unless the information is to be used as a basis of formal action against the employee.
C. With the exception of formal student evaluations of teaching, anonymous communications shall not be included in any record, nor shall they be stored or maintained. Such anonymous communications shall not be considered or referred to in matters of promotion, tenure, reappointment, or salary determination.
D. Disputes about access to and maintenance of academic employee records shall be resolved through the grievance and review procedures generally applicable to the employee involved.
USE OF FACULTY TITLES (NON-TENURE-TRACK FACULTY FOR TEACHING)
(Approved: BFC 1/15/91)
-
The Bloomington Faculty Council reaffirms that changes in the description of faculty positions as defined in the
Academic
Handbook, or the institution of new ranks that would alter the definition of faculty, must be approved by the Bloomington Faculty Council.
- The Bloomington Faculty Council resolves that a representative committee be appointed through the council to assess the role of teaching and make appropriate recommendations concerning the role of teaching in the university.
BENEFIT PLAN CHANGES
Concerning flexible benefit plans, the Faculty Council adopted the following:
-
A resolution of the Trustees:
-
- We feel that the faculty should be consulted before any move is taken that would have such tremendous impact.
(Approved: BFC 4/21/92)
The Bloomington Faculty Council wishes to express opposition to the policy of shifting compensation from fringe benefits, with regard to health care costs, to salaries.
The Bloomington Faculty Council would like to go on record stating as a matter of principle that we believe that the promises made to people who joined the faculty as enunciated in Faculty Handbooks of various vintages be honored.
(Approved: BFC 9/15/92)
1.The UFC Fringe Benefits Committee appreciates being involved in discussions concerning any potential changes in fringe benefits programs, including such programs as "flexible benefits plans." Through this resolution we of the UFC go on record as stating that the UFC and its appropriate committees expect to be fully involved not only in discussing the nature of such programs and how they might be implemented but whether such programs are in the interest of both the institution and its employees.
2. Through this resolution, the UFC goes on record as opposing any reduction of existing faculty retirement or early retirement programs.
3. The UFC requests that the Trustees of Indiana University act favorably on the four revisions of retirement proposed in 1991 and not yet considered--as soon as relevant IRS rulings make such action appropriate. These four include:
A. Retirement under 18-20 at age 62.
B. Retirement for 18-20 participants under a plan equivalent to the new (post-1989) early retirement program, at the option of individual faculty members.
C. The phased early retirement program.
D. TIAA/CREF payments for faculty summer employment.
(Approved: UFC 2/11/92)
The formation of the Commission on Health Care:
-
- The UFC Co-Secretaries together with leadership from existing staff councils, the Assistant Vice President for Human Resources, two representatives of the UFC Fringe Benefits Committee, and two representatives of the Staff Benefits Committee shall be empowered to appoint a Commission on Health Care (CHC).
(Approved: UFC 2/9/93)
Retirees as a group should not be eliminated from the IU health care PCI (Preferred Care of Indiana) program or separated as a self-insuring risk pool within the program.
(Approved: UFC 9/22/92, 3/9/93)
The University Faculty Council endorses the principle of preserving the current relative percentages for allocating the total cost of employee health care. That is, the percentage of total health care cost borne by employees should be constant from year to year. Total health care cost would include direct payments to providers through deductibles and co-payments, employee premiums routed through the university, and university contributions to health care costs.
(Approved: UFC 5/12/93)
INDIANA UNIVERSITY SUPPLEMENTAL EARLY RETIREMENT PLAN (IUSERP)
(Approved: BFC 12/4/90; UFC, 4/23/91; Trustees 5/3/91)*
IUSERP (referred to as FERP before its implementation) is intended to provide plan participants with financial resources to supplement other retirement assets, giving participants an opportunity to initiate retirement earlier than other assets would by themselves allow.
Eligibility:
Full-time Appointed Faculty/Academic employees and Staff employees Grade 16 or above hired January 1, 1989 or later are participants in the IU Retirement Plan 12 and are also eligible for benefits under IUSERP.
Plan Benefit:
IUSERP benefits are determined by the participant's account accumulations at the time of distribution. These account accumulations are based on Indiana University's contribution of 2.4% of the participant's actual base salary, which is deposited into the participant's chosen investment fund immediately following each pay period. Investment fund options are TIAA-CREF and Fidelity, each of which includes many fund options. University contributions under this Plan will be directed initially to either TIAA-CREF or Fidelity, whichever selection the participant made for the IU Retirement Plan 12.
IRS regulations dictate that employees with initial plan participation after December 31, 1996 are limited to a set annual compensation considered for IUSERP contributions. For current limit, contact the University Benefits office.
IRS regulations also dictate that annual contributions for both employer and employee to all retirement plans (such as IUSERP, IU Retirement Plan and Tax Deferred Annuity Plan) are limited to the lesser of $30,000 or 25% of compensation for the year.
Upon obtaining vesting rights and termination from Indiana University, plan benefits will be distributed to the participant in the form of a cash withdrawal, a "rollover" into a personal IRA, or in the case of TIAA-CREF, converted to an individual contract.
Vesting Criteria:
Participants are 100% vested in their account accumulations upon obtaining age 55 in an active employee status before terminating from the University. Termination of employment prior to age 55, for any reason other than total disability, will result in forfeiture of all IUSERP account accumulations. A participant who becomes totally disabled prior to age 55 shall be 100% vested upon reaching age 55 if he/she remains totally disabled through that date. Participants who begin employment following age 55 shall be 100% vested in their account accumulations upon termination from Indiana University. In the event of a participant's death after having obtained age 55, account accumulations will be distributed to the designated beneficiary.
During a paid leave of absence, Plan contributions will continue to be made for a Participant on the basis of actual base salary then being paid by the University. No Plan contributions will be made during an unpaid leave of absence.
If a participant is on unpaid leave at the time of the 55th birthday, then he/she would not become vested until after having returned to active employment for a period of at least 9 months before termination from employment. Participants who take unpaid leaves from the University prior to age 55 should be sure to check with the Dean of the Faculties Office before extending the leave beyond 12 consecutive months. This is to ensure that they avoid being considered terminated for the purpose of determining vesting under this plan. Prior approval and the existence of special circumstances may allow for the extension (for a total of 60 consecutive months of unpaid leave) beyond the usual limit of 12 months.
If a former participant whose benefits were forfeited due to non-vestiture is reemployed as an Eligible employee within six months of termination from IU, his/her forfeited account accumulation will be restored to its value at the time of termination.
*[NOTE: The Trustees of Indiana University discontinue the IUSERP (IU Supplemental Retirement Plan), a qualified IRC Section 401(a) plan, for new hires and newly promoted individuals, effective July 1, 1999] (Approved: Trustees, 10/30/98)
CASHABILITY
(Approved: UFC 4/23/91; Trustees 5/3/91)
1. Participants in any of the approved IU Retirement Plans who have terminated employment with the University through separation or retirement may elect to receive up to 100% of accumulations in cash, subject to any restrictions applied by the investment vehicle.
2. Such participants may elect to take either one pay-out or several pay-outs spread over a period of years.
3. No restrictions shall be placed on any funds so removed from an approved retirement plan.
4. No in-service distributions shall be available to active employees.
5. Participants (and spouses) shall be required to sign a "hold-harmless" agreement, stating that the University is not responsible for any misuse or poor management of the funds removed from the retirement plan.
PART-TIME RESEARCH RANK APPOINTEES
(Approved: BFC 3/24/92; UFC 10/13/92; Trustees 2/2/93)
The following additional title is used for part-time research appointees. Where ranks are included in the title, appointment should be at the rank which would be given were that individual being appointed as a research scientist. Changes from these appointments to regular research scientists should follow the customary university procedures. Where the individual is employed in these positions on a continuing recurrent basis, reappointment and promotion in rank must go through normal University procedures.
The term "part-time" follows the designation of rank (e.g., Assistant Scientist--Part-Time). These appointees devote only part of their time to the duties of a research scientist. They may be gainfully employed in other activities, either with the University or elsewhere.
TRANSFERABILITY
(Approved: UFC 3/9/93)
The University Faculty Council recommends approval of the March 1992 Indiana University TIAA/CREF retirement plan, Transferability Provision Proposal (TPP), with the provision that Indiana University's administrative costs, loosely construed, be borne by those who use the provision, and with the suggestion that Human Resources Management consider ways to redue the estimated administrative costs including charging vendors a fee to participate, utilizing a self-advising approach, etc.
ADOPTION OF 18/20 FINANCING PLAN
(Approved: Trustees 10/30/98)
WHEREAS, the Trustees of Indiana University and President Myles Brand reviewed the future funding requirements for the University's early retirement programs including the 18/20 program; and,
WHEREAS, current projections show a significant financial obligation for Indiana University over the next several decades; and,
WHEREAS, the Trustees and the President reaffirmed their commitment to preserving the integrity of the 18/20 program in its current form and to continue the IU Supplement Early Retirement Program for those currently eligible; and
WHEREAS, it is recognized that funding sources must be identified to ensure that the early retirement funding obligation can be met without significantly eroding the capacity to make progress on other institutional priorities; and,
WHEREAS, President Brand appointed the 18/20 Financing Committee to explore various options for reducing the financial burden without making any changes to the 18/20 program; and,
WHEREAS, the Committee has completed its work and has submitted a recommendation to President Brand who now presents the recommendation to the Board of Trustees for its consideration.
NOW, THEREFORE, BE IT RESOLVED, The Trustees of Indiana University approve the recommendation of the 18/20 Financing Committee dated September, 1998, and request that implementation of the recommendation proceed as soon as possible. It is further requested that the impact of this recommendation be monitored regularly to determine if the desired financial reallocations and savings are producing the desired outcomes.
FACULTY APPOINTMENT CLASSIFICATION
http://www.indiana.edu/~ufc/docs/policies/appoint.htm
BLOOMINGTON CAMPUS POLICIES FOR LECTURER AND CLINICAL APPOINTMENTS
http://www.indiana.edu/~bfc/BFC/policies/PoliciesForLecturerAndClinicalAppointments.htm
DOMESTIC PARTNER BENEFITS
http://www.indiana.edu/~policies/HRB/dp.html
(Approved: BFC, 9/11/02; UFC-?; Trustees, 9/14/02)
http://www.indiana.edu/~uhrs/dp/dp.html
POLICY ON RETIREMENT AGE AND RETIREMENT POLICY FOR EXECUTIVES, HIGH POLICYMAKERS, AND ADMINISTRATIVE OFFICERS
(Approved: Trustees 5/3/02)
As permitted by law, individuals holding administrative positions that are bona fide executive or high policymaking positions may be required to retire from their administrative positions at the end of the academic year in which they turn 65. The following are bona fide executive or high policymaking positions: President, Vice Presidents, Chancellors, Vice Chancellors, Deans of Academic Schools, Dean of the Libraries, and the President and CEO of the Alumni Association.
On occasion it may be determined that other positions may be bona fide executive or high policymaking positions, and therefore, subject to administrative retirement at age 65. The determination whether an administrative position is a bona fide executive or high policymaking position will be made based upon the authority and responsibilities of the position and applicable legal standards. The determination will be made by the President and the individual holding the position will be notified of the determination as soon as it is made.
Where administrative officers also hold tenured faculty or library rank, they can continue to serve in their non-administrative capacity.
The University may waive the requirement for administrative retirement. The waiver must be approved by the President of the University, or in case of the waiver of the retirement requirement for the President, by The Board of Trustees of Indiana University. Waivers shall be for one year or for another specified period and may be extended on a year-to-year basis, if approved by the President, or in case of the waiver of the retirement requirement for the President, by The Board of Trustees.This policy shall exist for a period not to exceed five years, during which time it is understood that the administration and faculty will work together to establish an effective performance review process for administrative positions. A progress report shall be presented at the May, 2003, meeting of the University Policies Committee. In the event an effective performance review process is not achieved, this policy shall continue in effect.
This policy is applicable only to the named positions and shall not be extended to other positions unless they are newly created positions.
Unanimously approved on a motion duly made and seconded.
Recruitment for Academic Positions--Section B
RECRUITMENT PHILOSOPHY
The Dean of the Faculties Office has prepared a booklet entitled "Recruitment Policies and Procedures for Faculty and Other Academic Appointees" which is available from that office (855-2809). The Affirmative Action Office has also prepared a set of guidelines for conducting searches ("IU Bloomington Pointers for Academic Searches"), which is available from that office (855-7559). Together these guidelines provide comprehensive, step-by-step procedures and information on filling academic vacancies. The Dean of the Faculties and the Affirmative Action Officer ask that supplementary recruiting procedures developed by schools and departments be submitted to them for review.
The recruitment policies and procedures in use on the Bloomington campus have been designed to attract outstanding people, utilizing sound management, personnel, and affirmative action principles to achieve this end.
Indiana University is committed to providing equal employment opportunities in its hiring practices in compliance with federal law. The Board of Trustees passed a resolution in 1969 and amended it in 1992 (see DOCUMENT B-I) pledging IU to "continue its commitment to the achievement of equal opportunity" and prohibiting "discrimination based on arbitrary considerations of such characteristics as age, color, disability, ethnicity, gender, marital status, national origin, race, religion, sexual orientation, or veteran status."
An Affirmative Action Plan was approved in 1974 (see DOCUMENTS B-IV, B-V, and B-VI) designed to encourage that all personnel practices be focused on the qualifications of individuals. Following U.S. Department of Health, Education and Welfare guidelines, Indiana University's plan demands special efforts to recruit "qualified members of groups which have previously been denied opportunities for employment." In addition, the plan requires the pursuit of hiring goals that reflect the availability of women and minorities (as defined by the Equal Employment Opportunity Commission of the federal government) in academic positions. It proclaims diversified experience "a distinct and desirable quality which should be taken into account in recruitment." (see DOCUMENTS B-IV, B-V, and B-VI) All recruitment is monitored by the Campus Affirmative Action Office for compliance with these aims and policies.
In 1988 the University Faculty Council affirmed a commitment to comply with the Sex Discrimination Guidelines issued by the EEOC. In 1998 the University Faculty Council initiated, and the Trustees approved, an Indiana University Policy Against Sexual Harassment. See DOCUMENT B-II.
In 1991 the BFC affirmed its view that sexual orientation is a factor unrelated to achievement of excellence in the missions of the University and expressed concern that discrimination based on sexual orientation is practiced in the ROTC program. The Council further recommended that active efforts be made to change Defense Department policy, but that if discrimination continues beyond fall 1995-96, the ROTC program be phased out. (See DOCUMENT B-XVI.) Should the program continue, the BFC urged that new contracts take into account the BFC's concerns, including the lack of faculty review of the programs. (See DOCUMENT B-XVIII.)
In 1992 the Board of Trustees passed a set of resolutions which reaffirmed its support of the section of the Code of Student Ethics which states that "the University does not condone discrimination based on sexual orientation" while reaffirming its support of ROTC programs on campus and its view that this section does not preclude ROTC programs. The same set of resolutions urged support of the Defense Department's re examination of policies and of scholarly research on the impact of such a policy on the workplace. (See DOCUMENT B-XVII.)
The University Faculty Council has adopted recommendations aimed at enhanced understanding of cultural diversity. The recommendations, adopted in 1990, charge academic schools, the Dean of the Graduate School, the Dean of the Faculties, Human Resources, and the campus Chancellor with responsibility for ensuring incorporation of this principle in all respects of the academic enterprise. (See DOCUMENT B-III.)
The Americans with Disabilities Act is a federal statute designed to eliminate discrimination against individuals with disabilities. Under the ADA, the term "disability" means: (a) a physical or mental impairment that substantially limits one or more of the major life activities of an individual; (b) a record of such an impairment; or (c) being regarded as having such an impairment. The statute mandates that a qualified individual with a disability--an individual who, "with or without reasonable accommodation, can perform the essential functions of the employment position that such individual holds or desires"--be afforded the same employment opportunities as an equally qualified individual without a disability.
Indiana University desires to attract outstanding people for its academic positions and fully supports the national mandate, embodied in the ADA, to eliminate discrimination against individuals with disabilities. Indiana University is, therefore, committed to making reasonable accommodations so that qualified individuals with disabilities are provided access to the same employment opportunities as are qualified individuals without disabilities. Through this policy, the University endeavors to treat equally qualified individuals on an equal basis with respect to hiring and with respect to the material terms, conditions, and privileges of their employment.
Questions concerning eligibility and accommodation may be directed to the Office of Academic Affairs and Dean of the Faculties (855-2809).
Two plans providing additional funding to aid in the recruitment of under represented groups to the faculty of the Bloomington campus were implemented in 1986, and both have met with good success. The first program, the Faculty Recruitment and Retention Program, funds faculty positions for qualified junior or senior level minority and senior level women candidates for positions not advertised or otherwise funded. Nominating departments must document under representation of minorities or senior women on their faculty. For more information, contact Alberto Torchinsky, chair of the campus-wide committee established to review nominations (855-0542). (See DOCUMENT B-VII.)
Under the second program, the Minority Faculty Fellowship Program, qualified minority scholars are brought to the campus for either a summer or an academic year. Departments provide funding for a salary for fellows to teach one course during a summer session (usually the second) or two or more courses during an academic year. In either case, the campus provides a supplementary $ 3,000 fellowship. Further details may be obtained by contacting Alberto Torchinsky, Program director (855-0542).
An anti-nepotism policy, approved by the Board of Trustees, June 29, 1974, forbids the employment or transfer of any individual "to a position which establishes an immediate supervisor/employee relationship between two people who are related by blood or marriage." (See DOCUMENT B-IX.)
IMMEDIATE SUPERVISOR
The determination of the immediate supervisor is made, in each instance, by the Dean of the Faculties and the Vice President, Bloomington. It takes into account supervision of day-to-day functions, hiring, retention, promotion and salary-setting. Any instance of the potential employment of two family members in the same unit, where immediate supervision of one by the other might be an issue, should be brought to the attention of the Dean of the Faculties prior to appointment or transfer. The Dean, in consultation with the Vice President, Bloomington, will designate an immediate supervisor in compliance with the anti-nepotism policy.
The university is subject to the state law against ghost employment, which prohibits payment or receipt of a salary without an assignment of duties for the university. (See DOCUMENT B-X.)
Instructions, information, and procedures applicable to recruitment for academic positions are normally distributed by the Dean of the Faculties and the Affirmative Action Office. The forms are also available electronically via e-mail, and may be requested by calling the Dean of the Faculties Office at 855-4669. All requirements are incorporated in these materials. The most recent procedures booklet, "Recruitment Policies and Procedures for Faculty and Other Academic Appointees," is reprinted at the end of this section. In addition, the Affirmative Action Office makes available a booklet entitled "IU Bloomington Pointers for Academic Searches," which contains useful guidance for search committees and chairs. The Pointers are available from department offices and the Affirmative Action Office.
For part-time, visiting, and temporary positions, and for acting positions of less than a year's duration, advertising is urged, but not required. If the complete procedures outlined for full-time, non-temporary positions are followed, a waiver may subsequently be granted should the individual be a candidate for shifting to non-visiting, full-time status in the same position.
Two faculty councils have taken action which bears on the recruitment of major administrators. The University Faculty Council action ( DOCUMENT B-XI) provides that in filling certain university offices, a search and screen committee must be employed; the action speaks to the composition and procedures of such a committee. The Bloomington Faculty Council action (DOCUMENT B-XII) provides similarly for the selection of certain campus officers. In general, these procedures apply to full deanships and academic administrative positions of similar responsibility. The University Faculty Council has also approved a statement, subsequently accepted by the Trustees of Indiana University, which speaks to the procedures for filling a vacancy in the Presidency (See DOCUMENT B-XIII). If an outside search is to be conducted, the procedures below for full-time, non-temporary positions are to be followed. If only an internal search is anticipated, the Search Committee should seek the counsel of the Affirmative Action Officer at the outset regarding procedures.
A set of instructions titled "General Guidelines for Search and Screen Committees for Major Administrative Positions," available from the Office of The Chancellor of the Bloomington campus, is used in conjunction with the "IU Bloomington Pointers for Academic Searches" for guidance in conducting major administrative searches. The General Guidelines apply to positions for which the Chancellor appoints search committees, including Vice Chancellors, Deans, and other administrative officers with comparable responsibility and substantial policy authority.
The recruitment of non-immigrant foreign nationals presents special procedural concerns, which are discussed in the booklet "Recruitment Policies and Procedures for Faculty and Other Academic Appointees" reproduced below as part of this Guide.
Recruiting procedures for full-time, non-temporary academic positions are outlined in the booklet, "Recruitment Policies and Procedures for Faculty and Other Academic Appointees" which is reproduced below.
ADVERTISING
All full-time, non-temporary positions should be advertised unless there are grounds for a waiver. (See waiver provisions below.)
The first step toward filling a full-time non-temporary position, whether or not a full search with advertising and search committee is planned, is submission of a Vacancy Notice Request. The form is to be prepared by the department chair or unit head and is then to be routed as follows: first to the administrative head (dean or division head), then to the Affirmative Action Office, and finally to the Dean of the Faculties Office. On this form a brief position description is provided along with an advertising plan or a request for an advertising waiver, and the names of the members of the search committee. This form is the vehicle for seeking approval for filling a position, for the proposed rank and title, FTE and duration, type of appointment, advertising copy/advertising plan or a waiver of the advertising requirement. When approved and returned to the employing unit, all facets of a plan to fill a vacancy will have been reviewed at all required levels. One form functions to obtain all required approvals.
INTERVIEW APPROVAL
Where a search waiver has been approved, the interview and the Interview Request form are not required. In the absence of a waiver, interview approval should be obtained prior to scheduling any interviews.
Interview Request form follows the same routing as the Vacancy Notice Request:
The first to the administrative head (dean or division head), then to the Affirmative Action Office, and finally to the Office of the Dean of the Faculties. The Interview Request must be approved prior to conducting interviews.
Candidates for faculty, lecturer, and librarian positions are interviewed in the Office of the Dean of the School or the Office of the Dean of University Libraries. All candidates being considered for positions of associate or full professor must also be interviewed by a representative of the Office of the Dean of the Faculties. Candidates for other types of academic positions are normally interviewed by the unit head or immediate supervisor.
All candidates for academic positions shall be furnished excerpts from the Academic Handbook of relevant appointment terms and conditions along with other items of importance. The Office of the Vice Chancellor for Academic Affairs will supply unit heads and deans offices with copies of these materials.
For candidates being considered for positions as associate or full professor, four items must be provided to the Office of the Dean of the Faculties at least two days before the actual interview:
2. LETTERS OF RECOMMENDATION. No fewer than six for tenured positions, and at least three for all others.
3. REPRINTS OR COPIES OF PUBLICATIONS. Samples for each dean to be in attendance will suffice.
4. COPIES OF IMPORTANT PREVIOUS CORRESPONDENCE WITH THE CANDIDATE.
The department should be sure to send to the candidate, prior to the interview, relevant information about Indiana University to enable him/her to ask focused questions. The Office of the Dean of the Faculties will provide each candidate with a summary sheet of benefits.
Rank, tenure status, and terms of any offer to a candidate must be agreed to by the School Dean or division head and the Dean of the Faculties. Thus it is well to advise candidates not to make any assumptions with respect to the terms of any forthcoming offer.
OFFERS
When the hiring unit is ready to make an offer, and Offer Request form must be prepared. For offers to faculty, lecturers, and librarians only, an Offer to Recommend Appointment form must also be prepared. The Offer Request and Offer to Recommend Appointment (if applicable) are then to be routed to the administrative head (dean or division head), then to the Affirmative Action Officer, and finally to the Office of the Dean of the Faculties.
The Offer Request form must be accompanied by a vita on the individual(s) to whom an offer is recommended. For academic positions (other than faculty, lecturers, or librarians), the Offer Request may include a list of persons to whom offers will go should a declination be received. The Office of the Dean of the Faculties need only be informed of declinations for the unit to extend offers to others, in turn, on the list. Should a declinations be received for offers of faculty, lecturer, or librarians positions, an additional Offer Request, Offer to Recommend Appointment, and their respective attachments must be submitted requesting approval for a second offer. Offer Requests must be submitted even if a search has been waived before an offer letter is sent to the candidate.
In addition to the Offer Request, an Offer to Recommend Appointment must be submitted for candidates for faculty, lecturer, and librarian positions. A draft of the Dean's offer letter must accompany the Offer to Recommend Appointment when it is routed. After reviewing the Offer Request (and, if applicable, the Offer to Recommend Appointment), the Dean of the Faculties will return it, along with the Dean's offer letter, to the department. In accepting the offer, the candidate should sign and return the Offer to Recommend Appointment together with the Personal and Professional History form. If a tenure-related appointment is subsequently approved, the Offer to Recommend Appointment serves as the official tenure agreement between Indiana University and the appointee.
Offer letters for faculty/lecturer/librarian positions must be sent from a School Dean, following receipt of the approved Offer Request and Offer to Recommend Appointment. The Offer to Recommend Appointment form and a Personal and Professional History form should be sent to the candidate with the offer letter. Bloomington Faculty Council action requires that the Dean's offer letter describe the kinds of professional duties required, and state how criteria for promotions and tenure are likely to apply. (See DOCUMENT B-XIV.) See also sample offer letters.
In accepting the offer, the candidate should sign and return the Offer to Recommend Appointment together with the Personal and Professional History form. If a tenure-related appointment is subsequently approved, the Offer to Recommend Appointment serves as the official tenure agreement between Indiana University and the appointee.
In the tightening market situation of today, with the attendant need to conduct thorough searches before filling lines permanently, it has become increasingly important that the terms of visiting appointments be made clear to all parties. As a consequence, formal offer letters from School Deans are required for all visiting appointments, making clear the basis for the temporary appointment. A copy of the offer letter must be sent to the Dean of the Faculties at the time the offer is made. In some cases there is no permanent line to be filled, i.e., the appointment is made utilizing replacement funds or other funds which will not continue to be available. In others, permanent line is being filled temporarily while a thorough search is conducted. In still others, future funding decisions have not yet been made. Whatever the basis, it is well to make future expectations (or the lack of them) clear to the visitor, especially the university's policy that, in general, no individual may be on visiting status for more than two years. Sample offer letters of several types are included. No approvals are required before visiting offers are extended by School Deans, but copies of the offer letters should be supplied to the Dean of the Faculties at the time they are issued.
Note that in general, persons recruited for visiting positions may not convert to non-temporary positions unless a formal advertised search was conducted for the visiting position.
For the specific benefits available to visiting faculty and librarians, contact the Office of the Dean of the Faculties, 855-2809.
The qualification "Acting" indicates a temporary appointment with the understanding that when a specified condition (e.g., completion of a terminal degree) is met, the appointee will receive a regular appointment as Assistant Professor. Acting appointments may not continue for longer than two years, except in special circumstances approved by the campus&lgrave; Academic Officer. Acting Assistant Professors are eligible for IU Retirement Plan 10.
A change in title can be made effective as of the beginning of the first (or second) semester if a letter postmarked no later than September 30 (or January 31,) written by the Dean of the Graduate School of the degree-granting institution, certifies that all requirements for the doctorate (or other terminal degree) have been completed, including thesis defense and submission of final copy of the thesis. If the degree requirements are completed after September (or January) the change in title and salary does not become effective until the beginning of the following semester.
In appointing individuals to whom an Acting Assistant Professorship has been offered, the appointment should be minus the emoluments that would accrue to the appointee if the degree were obtained in time. We cannot, even though assurances of early degree completion are reasonably persuasive, process the appointment as Assistant Professor until the above requirements are fulfilled.
It should be made clear to candidates whose terms of appointment involve converting from an Acting Assistant Professorship to a three-year Assistant Professorship that the time spent in the Acting appointment is deducted from the three-year Assistant Professorship. Thus, if, for example, an individual takes one year to complete degree requirements, the Assistant Professorship could be for no more than two years.
By action of the Trustees of Indiana University, inclusion in IU Retirement Plan 10 is automatic for professors/librarians appointed after July 1, 1999 with tenure or for a term of one or more years.
All recommendations for appointment with tenure or with an allowance of time countable toward tenure must be approved by the Office of the Dean of the Faculties. No more than three years' credit toward tenure should be considered. The AAUP permits institutions to require a four year probationary period despite the number of previous years of experience in a comparable position, and the Faculty Council has incorporated this provision into the tenure policy. (See DOCUMENT E-II.)
Requests to grant time countable toward sabbatical leave should be discussed between the Dean of the School and the Dean of the Faculties when the candidate is not present. Only the Dean of the Faculties may grant time toward sabbatical leave and it would be misleading to suggest the possibility to candidates before approval has been secured. Credit toward sabbatical eligibility is normally granted only to senior appointees who would miss an approaching sabbatical by moving to this institution. If credit toward sabbatical leave is approved the offer letter should specify the terms and indicate the approval of the Dean of the Faculties'. The Offer to Recommend Appointment should also specify the terms of any credit given toward sabbatical.
Limited moving expenses may be made available by the Dean of the School.
Some units expect to assist new appointees with the establishment of a research program. Whenever the needs of the candidate exceed the resources of the unit or the School and a request to the Vice President for Research is contemplated, the unit should specifically request that office's participation in the interview in the Office of the Dean of the Faculties. Any commitment on the University's part will be listed as part of the offer on the Offer to Recommend Appointment form, whether committed by the unit, the School Dean or the Vice President for Research.
Indiana University subscribes to the recommendation of the AAUP that recruitment of faculty members at other institutions should be conducted as early as possible in the academic year and that later offers (i.e., after May 1) for the following fall should not be made to faculty members at other institutions except in cases of emergency. (See DOCUMENT B-XV.)
If, because of an emergency, it is desirable to make an offer to a faculty member at another institution after May 1, please notify the Dean of the Faculties Office immediately. The Dean will contact the other institution and inform you of its response before an official offer letter is authorized.
Indiana University also is a party to a courtesy resolution adopted by the Indiana Conference of Higher Education in 1963 which provides that no institution shall approach the faculty members of other Indiana institutions of higher learning concerning either full-time or part-time appointments without prior consultation with the president of the other institution or her/his designated representative.
(January, 1999)
| Benefit | University Cost | Employee Cost | ||
|
Social Security (FICA) tax
Medicare Tax |
6.2% of annual salary up to $72,600 limit and 1.45% of annual salary with no limit | Same as University Cost | ||
| IU Retirement Plan | ||||
| Faculty, Librarians and all other Academic Appointee's starting July 1, 1999 or later | 10% of actual base salary | None | ||
|
**Life Insurance ($50,000 coverage)
Dependents' Life Insurance Accidental Death and Dismemberment |
$150.00 per year | None | ||
|
Unemployment Compensation
Workers Compensation (Medical and Income) |
0.08% of base salary
0.44% of base salary |
None | ||
| Fee Courtesy | 0.45% of base salary | |||
| HEALTH CARE PLAN |
Medical Only
Total Premium (monthly) |
IU Contribution |
Employee Contribution
Medical Only |
With Dental |
|
IU PPO HEALTHCARE
$500/1000 Deductible Employee Employee/Child(ren) Employee/Spouse Family |
198.52 392.76 481.08 546.37 |
142.75
|
55.77
|
57.09
|
|
IU PPO HEALTHCARE $900/1800 Deductible Employee Employee/Child(ren) Employee/Spouse Family |
Medical Only
Total Premium (monthly) 112.13 223.34 273.08 310.16 |
IU Contribution
111.13
|
Employee Contribution
Medical Only
1.00
|
With Dental
1.00
|
|
M-PLAN HMO
Employee Employee/Child(ren) Employee/Spouse Family |
156.61 317.87 387.36 438.71 |
142.75 248.39 301.78 324.42 |
13.86 69.48 85.58 114.29 |
13.86 73.08 88.79 121.72 |
|
IU PRECISION POS
Employee Employee/Child(ren) Employee/Spouse Family |
163.38 323.18 395.93 449.59 |
142.75 248.38 301.78 324.41 |
20.63 74.80 94.15 125.18 |
21.95 81.17 101.83 137.46 |
* The information given here is presented in form of in-lieu-of-pay value to illustrate the overall value of fringe benefits. Variations in benefits may occur, and
employees do not have a claim on the exact dollar values used for illustration.
** Appointees may purchase additional group term life insurance equal to as much as four times their salary, if requested within 60 days of first eligibility, or upon proof of medical insurability.
[Bracketed material to be used where and as appropriate]
Ms. I. N. Ventor
Department of Odds & Ends
Midwestern Large University
Small College Town, State
Dear Ms. Ventor:
I write to advise you of our desire to have you join the staff of the [Department or School] at Indiana University-Bloomington.
I will recommend to the Dean of the Faculties your appointment as a Lecturer in [Department or School] under the terms and conditions described on the enclosed Offer to Recommend Appointment, subject to administrative approval, and to your providing the federally required documentation showing you are a citizen or permanent resident of the United States or an authorized alien entitled to be employed in the U.S. for the period of this appointment. Should you have met all requirements for the Ph.D. by September 30, 1996, your appointment would be as an Assistant Professor for a three-year period; by January 31, 1997, your title would be changed to Assistant Professor, beginning the second semester, and your appointment would be for an additional two and one-half years, subject to administrative approval.
We are proud of Indiana University's unusually fine program of benefits. These benefits add significantly to the value of your stated salary. As a lecturer you will be enrolled in the University's group life insurance program and may join its medical plans. The University pays the full cost of the group life insurance and a portion of the cost of the medical insurance. You will be eligible for participation in the IU Retirement Plan 10. A special feature of the retirement program is that it is non-contributory on your part, with the University making the entire contribution. With this arrangement, a greater portion of your salary is retained as "take-home" pay. The retirement program is fully "vested," i.e., you own all of the benefits purchased on your behalf from the vendor.
Should you decide to accept this offer, please sign and return the enclosed Offer to Recommend Appointment form to my office by [date], along with a completed Personal and Professional History form (also enclosed).
[Closing paragraph might consider teaching assignments, with a final sentence such as "We sincerely hope you will find it possible to accept our offer and join us at Indiana University."]
Sincerely,
Dean
cc: Dean of the Faculties
Chairperson, if appropriate
[Bracketed material to be used where and as appropriate]
Dr. I. N. Ventor
Department of Odds and Ends
Midwestern Large University
Small College Town, State
Dear Dr. Ventor:
I write to advise you of our desire to have you join the faculty of the [Department or School] at Indiana University-Bloomington.
I will recommend to the Dean of the Faculties your appointment in the [Department or School] at the rank of [Assistant Professor] under the terms and conditions described on the enclosed Offer to Recommend Appointment. This recommendation is subject to final administrative approval, and to your providing the federally required documentation showing that you are a citizen or permanent resident of the United States or an authorized alien entitled to work in the U.S. for the period of your appointment.
We are proud of Indiana University's unusually fine program of benefits. These benefits add significantly to the value of your stated salary. You will be enrolled in the University's group life insurance program and may join its medical plans. The University pays the full cost of the group life insurance and a portion of the cost of the medical program. You will be enrolled in the IU Retirement Plan 10. A special feature of the retirement program is that it is non-contributory on your part, with the University making the entire contribution. With this arrangement, a greater portion of your salary is retained as "take-home" pay. The retirement program is fully "vested," i.e., you own all of the benefits purchased on your behalf from the vendor.
As generally is the case at Indiana University, teaching, research/creative activities, and service are included in your responsibilities as a faculty member. Please note that Indiana University bases its tenure [if at less than full rank, add, "and promotion"] recommendations upon performance in these three areas. Faculty members are normally expected to excel in one of the categories and to be at least satisfactory in the two other categories. Additional material is available in the Academic Handbook, from the Office of the Dean of the Faculties, and from my office. [For all candidates:] Should you decide to accept this offer, please sign and return the enclosed Offer to Recommend Appointment form to my office by [date], along with a completed Personal and Professional History form (also enclosed).
We sincerely hope you will find it possible to accept our offer and to join us at Indiana University.
Sincerely,
Dean
cc: Dean of the Faculties
Chairperson, if appropriate
SAMPLE OFFER LETTER: Faculty with Tenure
[Bracketed material to be used where and as appropriate]
Dr. I. N. Ventor
Department of Odds and Ends
Midwestern Large University
Small College Town, State
Dear Dr. Ventor:
I write to advise you of our desire to have you join the faculty of the [Department or School] at Indiana University-Bloomington.
I will recommend to the Dean of the Faculties your appointment in the [Department or School] at the rank of [Associate Professor] under the terms and conditions described on the enclosed Offer to Recommend Appointment. This recommendation is subject to the approval of the Board of Trustees, and to your providing the federally required documentation showing that you are a citizen or permanent resident of the United States.
We are proud of Indiana University's unusually fine program of benefits. These benefits add significantly to the value of your stated salary. You will be enrolled in the University's group life insurance program and may join its medical plans. The University pays the full cost of the group life insurance and a portion of the cost of the medical program. You will be enrolled in the IU Retirement Plan 10. A special feature of the retirement pro- gram is that it is non-contributory on your part, with the University making the entire contribution. With this arrangement, a greater portion of your salary is retained as "take-home" pay. The retirement program is fully "vested," i.e., you own all of the benefits purchased on your behalf from the vendor.
[If at less than full rank] As generally is the case at Indiana University, teaching, research/creative activities, and service are included in your responsibilities as a faculty member. Please note that Indiana University bases its promotion recommendations upon performance in these three areas. Faculty members are normally expected to excel in one of the categories and to be at least satisfactory in the two other categories. Additional material is available in the Academic Handbook, from the Office of the Dean of the Faculties, and from my office. [For all candidates:] Should you decide to accept this offer, please sign and return the enclosed "Offer" form to my office by [date], along with a completed Personal and Professional History form (also enclosed).
We sincerely hope you will find it possible to accept our offer and to join us at Indiana University.
Sincerely,
Dean
cc: Dean of the Faculties
Chairperson, if appropriate
(Not filled by Faculty on leave)
Dr. John C. Doe
428 Green Street
Toronto, Ontario
Canada
Dear Dr. Doe:
Upon recommendation of the [Department or School], I am pleased to offer you a position as Visiting Assistant Professor for the academic year beginning August, 19--. To avoid any possible misunderstanding, I must stress that the position is available for one year only; we do not expect to continue it beyond next year. Your appointment is subject to final administrative approval and to your furnishing the federally required documentation showing that you are a citizen or permanent resident of the United States, or an authorized alien entitled to work in the U.S. for the period of your appointment.
We are pleased to offer you a salary of $00,000 for the academic year. [For full-time on academic year only, add:] In addition, the University's medical and life insurance programs will be available to you. Since these are group plans with Indiana University contributing to part of the cost, they are well worth joining if you do not already have equivalent coverage. These plans will be made available to you within a month after your arrival in Bloomington. If you are interested, you may contact our Human Resources Office upon your arrival.
Your teaching and departmental responsibilities will be arranged in your department, and you should discuss these with Professor [Name] if you have not already done so. If you have any questions pertaining to this appointment or related matters, please feel free to contact Professor [Name] or this office. We sincerely hope that you will find it possible to accept our offer and to join us at Indiana University.
Sincerely,
Dean
cc: Dean of the Faculties
Chairperson, if appropriate
SAMPLE OFFER LETTER: Visiting Faculty on Potentially Permanent Line
[Bracketed material to be used where and as appropriate]
Dr. Jean Doe
4668 Brown Street
Columbus, Ohio 43220
Dear Dr. Doe:
Upon recommendation of the [Department or School], I am pleased to offer you a position as a Visiting [Assistant, Associate] Professor at a salary of $00,000 for the academic year beginning August, 1996. Your appointment is subject to the final administrative approval and to your furnishing the federally required documentation showing that you are a citizen or permanent resident of the United States, or an authorized alien entitled to work in the U.S. for the period of your appointment.
We hope that the Department will have a regular [tenure-track] vacancy to be filled the following year. [Use this wording if a full national search has not already been conducted:] If that proves to be the case, you may place yourself in candidacy on an equal basis with all others who apply. [Use this wording if a full national search has already been conducted (i.e., to fill the visiting position with an eye toward possible permanency):] It is our hope that a full-time, tenure-track appointment will be available to you beginning [date].
[For full-time academic year only, add:] The University's medical and life insurance programs will be available to you. Since these are group plans with Indiana University contributing to part of the cost, they are well worth joining if you do not already have equivalent coverage. These plans will be made available to you within a month after your arrival in Bloomington. If you are interested, you may contact our Human Resources Office upon your arrival.
Your teaching and departmental responsibilities will be arranged in your department, and you should discuss these with Professor [Name] if you have not already done so. If you have any questions pertaining to this appointment or related matters, please feel free to contact Professor [Name] or this office. We sincerely hope that you will find it possible to accept our offer and to join us at Indiana University.
Sincerely,
Dean
cc: Dean of the Faculties
Chairperson, if appropriate
SAMPLE OFFER LETTER: Visitor on Leave from Another Institution
[Bracketed material to be used where and as appropriate]
Dr. Jerry Doe
123 Main Street
Midland, Indiana
Dear Dr. Doe:
Upon recommendation of the [Department or School], I am pleased to offer you a position as visiting [Assistant, Associate] Professor for the academic year beginning August, 1996. Your appointment is subject to final administrative approval and to your finishing federally required documentation showing that you are a citizen or permanent resident of the United States, or an authorized alien entitle to work in the U.S. for the period of your appointment.
We are pleased to offer you a salary of $00,000 for the academic year. [For full-time, academic year only, add:] In addition, the University's medical and life insurance programs will be available to you. Since they are group plans with Indiana University contributing to part of the cost, they are well worth joining if you do not already have equivalent coverage. These plans will be made available to you within a month after your arrival in Bloomington. If you are interested, you may contact our Human Resources Office upon your arrival.
Your teaching and department responsibilities will be arranged in your department and you should discuss these with Professor [Name] if you have not already done so. If you have any questions pertaining to this appointment or related matters, please feel free to contact Professor [Name] or this office. We sincerely hope that you will find it possible to obtain leave from your current position in order to join us at Indiana University for the coming year.
Sincerely,
Dean
cc:Dean of the Faculties
Chairperson, if appropriate
Indiana University Bloomington
(1997)
For information and clarification regarding the following procedures, please contact either the Dean of the Faculties Office (855-2809) or the Campus Affirmative Action Officer (855-7559).
Summary of Recruitment Procedures for Academic Positions
Following is a summary of University recruiting procedures for academic positions. These recruitment and affirmative action policies and procedures apply to all nonstudent academic positions listed in Section A. For further information and clarification regarding academic recruiting procedures, please contact the campus Affirmative Action Officer (855-7559) or the Dean of the Faculties Office (855-2809).
All academic positions--full-time, part-time, and visiting--should be advertised locally in the Bulletin for Academic Appointees. The following procedures are mandatory for full-time, non-temporary positions and optional for part-time and visiting positions.
a. Description of the position/vacancy announcement
b. Advertising plan or waiver request. Where a waiver is granted Proceed to Step 2.
c. Designation of search committee and/or the recruitment coordinator.
For explanation see:
b. Waiver Requests
If the applicant pool may include non-immigrant foreign nationals, additional requirements must be met. See "Guidelines for Recruitment of Nonimmigrant Foreign Nationals."
Return of this form to the originating unit with appropriate signatures constitutes approval of:
b. Terms for the position (FTE, duration, type)
c. Title, rank code, and fringe benefits
d. Advertising copy
e. Advertising plan or advertising waiver
2.Waiver Request:
Submit this form with attached detailed explanation
- If granted proceed to step 5.
For explanation see:
Waiver Request instructions
3. Advertise and Screen Applicants
b. Keep a log of applicants
c. Acknowledge application and send IU Applicant Mentoring form to applicants
d. Screen candidates
e. Choose interviewees
For explanation see:
Academic Search and Screen Guidelines are available from the Affirmative Action Office
It contains:
a. 8 top candidates, rank ordered
b. Indication of persons to be interviewed
For explanation see:
Request for Interview
Return of this signed form to the originating unit constitutes approval to schedule interviews (N.B. Candidate interviews for Associate and Full Professor are to be scheduled with the Dean of the Faculties; for Assistant Professor, with the unit Dean's office; all others with the supervising unit.)
a. Individual(s) to whom offer will be made, including gender, ethnicity, citizenship
b. Attached vita for individual(s)
c. Terms of the offer
d. For faculty, lecturers, librarians: Attach a copy of the proposed offer letter and the Offer to Recommend Appointment form
For explanation see:
Offer Request form
Guidelines
for Recruitment of Nonimmigrant Foreign Nationals
Offer to Recommend Appointment form
Return of this signed form to the originating unit constitutes approval to recommend the offer--subject to formal administrative or Trustees' approval.
The Vacancy Notice form is the vehicle for obtaining all the approvals on one document which are required for beginning recruitment.
1. Chairperson's/Dean's approval to establish a position or fill a vacancy, and the type of position it will be (full- or part-time, visiting, tenure-line, etc.)
2. Affirmative Action Office approval of the advertising plan and the wording of the advertisement, or of an advertising waiver (see below).
3. Dean of the Faculties' approval, or tentative approval, of a title, rank code (and consequently benefits), and the content of the position description.
This
form
also serves as the vehicle for placing a notice in the Bulletin for Academic Appointees. Careful planning will be helpful in completing the form. The IU Bloomington Pointers for Academic Searches, available from department offices and the Affirmative Action Office, provides useful guidance for planning.
Approvals
The Vacancy Notice form is to be reviewed and approved by the following persons or offices before a position is advertised:
2. the appropriate dean or division head
3. the Campus Affirmative Action Officer
4. the Dean of the Faculties
Changes
Every effort should be made to develop the Vacancy Notice in a thoughtful manner. After the proposal has been submitted, it should be necessary to change it only when circumstances change. To make a change, mark the requested changes on the original Vacancy Notice and recirculate the form to the relevant administrators for their approval, as provided on p. 2 of the form.
The search procedures may be waived under certain circumstances. The more common circumstances under which a waiver will be considered are outlined below. A department may request a waiver on the Waiver Request form.
1. Endowed chairs. Because endowed chairs frequently are offered in recognition of extraordinary scholarly accomplishments, they usually are not advertised. In requesting a waiver for an endowed chair a department must document that it has systematically canvassed the field of potentially qualified scholars, made special efforts to identify appropriately qualified minorities and women, and systematically screened candidates making a special effort to consider the credentials of minorities and women.
2. Unique individuals. Advertising and other recruitment procedures sometimes are ineffective or counterproductive in hiring individuals who have unique talents or experiences. In requesting a waiver a department must (1) document that the usual advertising procedures are inappropriate, and (2) canvass the field of persons in the relevant discipline and provide evidence that other individuals with similar qualifications or who enjoy similar stature or reputations are not available. (For Foreign Nationals in this category see the special instructions).
3. Faculty or professionals who have served in a visiting or interim capacity and were recruited for the visiting position using a full national search. Additional advertising will be waived in such circumstances. This situation occurs under circumstances such as the following:
a. A regular faculty position is frozen after the position is advertised and the successful candidate is offered a visiting position.
b. The successful candidate will accept only a visiting position because the candidate is unsure about whether to leave her/his current institution.
c. It is unclear whether the most qualified of the applicants merits an appointment.
Note that the search in this case must be a
full
national search involving all of the elements (e.g., systematic screening of applicants, interviews) appropriate to recruitment for regular faculty positions.
5. Expansion of part-time appointments. Advertising and other recruitment procedures may be waived when no vacant position exists and a department wants only to increase a part-time appointment to a full-time appointment to reflect increases in the responsibilities of the incumbent. In recommending this change, a department must document that the part-time position was appropriately advertised.
6. Promotion/Title change. Advertising and other recruitment procedures may be waived when no vacant position exists and a department wants to change a title either to better describe the position or to reflect different or increased responsibilities. In cases where a vacant position does exist the unit is expected to comply with the usual advertising and recruitment procedures.
7. Urgent departmental needs. Under unusual circumstances procedures may be waived if a department has an urgent need to fill a critical position and has identified a candidate with unique or superior talents.
8. Loss of an outstanding candidate. Advertising and other recruitment procedures may be waived if an outstanding candidate has a bona fide job offer for a similar position at another institution and would be lost if the usual advertising and recruitment procedures were carried out.
9. Dual career situations. Advertising and other recruitment procedures may be waived when a candidate for an appropriately advertised position makes her/his decision concerning whether or not to accept an offer contingent upon an offer of employment to her/his spouse. A waiver also may be appropriate where a faculty member has a bona fide offer from another institution and makes her/his decision to remain at Indiana University contingent upon an offer of employment to her/his spouse.
10. Return of a disabled appointee. Advertising and other recruitment procedures are always waived when a person who has been on a disability leave cannot assume the duties of her/his former position and must be placed in an alternative vacant position.
11. Research associates. Advertising and other recruitment procedures may be waived to make the following appointments:
a. a Principal Investigator whose name is written into a grant application, but who lacks faculty or lecturer status and is therefore to be appointed as a research associate or to one of the Research Ranks;
b. persons who are by name written into the grant application as Research Associate;
c. persons, especially students, already employed on the project, or a closely related one, in a part-time (usually student assistant) status who are to be "promoted" to full-time employee status.
If an advertising waiver is granted, an Offer Request form may be submitted at once, omitting the Interview Request procedure.
Additional Copies
Additional copies of the Vacancy Notice and Waiver Request forms may be obtained by calling the Dean of the Faculties Office (855-2809) or the Affirmative Action Office (855-7559). For those with Adobe Acrobat, these forms may be downloaded and printed from your computer
Recommendations concerning the candidates to be interviewed, along with other information, are recorded on the Interview Request Form. This form is reviewed and approved by the department chairperson, the appropriate Dean, the Campus Affirmative Action Office, and the Dean of the Faculties. When the department receives a fully approved copy of the Interview Request Form, interviews may be scheduled.
GUIDELINES: THE VACANCY ANNOUNCEMENT/POSITION DESCRIPTION
Introduction
A well-written vacancy announcement is essential to a successful search. Who applies for a position depends upon how a position is advertised. Vacancy announcements which are written too broadly may elicit numerous inquiries from unqualified or greatly overqualified applicants and create unnecessary work. Those which are written too narrowly or ambiguously may cause desirable candidates not to apply.
An effective vacancy announcement includes information concerning:
--title or rank
--a definition of responsibilities and/or area of specialization
--a statement of authorization
--minimum qualifications and other desirable qualifications
--a request for additional information, such as a letter of application, a curriculum vita or resume, and names of references or letters of reference
--name and address of person to whom information should be sent
--a closing date--
--a statement indicating that Indiana University is an equal opportunity/affirmative action employer
Rank or Title
The announcement should specify for faculty the desired or preferred rank level: e.g. "entry level" "Assistant Professor," "junior level," "Assistant or Associate Professor," or "senior level." If the rank is open, the announcement should state so. Non-faculty positions should be identified by the appropriate title: e.g. "Counselor," "Research Associate," etc.
Duties and Responsibilities
Vacancy announcements for faculty positions commonly identify the area of specialization which a department desires; they may also include information on desirable experiences, talents, or areas of expertise. Other duties and responsibilities associated with faculty positions, such as teaching assignments, research expectations, service expectations, and departmental responsibilities may be highlighted if they are especially important or unusual. In general, the area of specialization associated with a faculty position should be defined as broadly as possible, considering the needs of the department and any agreements made with the dean who authorized the position. Overly narrow definitions of specialization tend to limit the number of qualified applicants and often discourage women and minority applicants. Barring unusual circumstances, the area of specialization and other aspects of a position should not be changed after they are advertised. Hence, its determination should be based on careful prior consultation within the department and/or unit. A vacancy announcement should not indicate that a department will consider persons in any specialization or any number of specializations unless the department legitimately and seriously intends to do so.
2. >Non-Faculty positions:
The vacancy announcement should specify as precisely as possible the duties of the position in order of importance. If any special opportunities or privileges are associated with this position they may also be listed. As is the case with faculty positions, it is important that the statement of responsibilities be developed in consultation with members of the unit. Barring unusual circumstances, the duties and responsibilities of the position should not change after the advertisement is published.
Funding Uncertainty
Because of the publication schedule of professional journals, newsletters, or bulletins, some positions must be advertised before they have been officially authorized by the unit Dean or before an expected grant has been awarded. In such cases announcements should indicate clearly that the position is expected or anticipated.
Additional Information Requests
The type of information which is requested in an advertisement depends upon the position to be filled. Common items include a letter of application, a curriculum vita or resume, a brief biographical sketch, a short statement of ideas on some topic (e.g., development of teaching and research programs, philosophy of higher education), and names of references or letters of reference.
In most cases it is advisable to ask for as little information as possible in the advertisement and request additional information from applicants who survive the first screening. Candidates of high quality are more likely to respond if it is relatively easy to submit the information requested in the advertisement. Requesting reference or names of references in an advertisement has an especially chilling effect on applicants who already hold positions. They frequently are unwilling to ask at an early stage in the application process for letters of reference or for permission from colleagues to use their names.
Closing Date
All advertisements should specify a closing date for applications. The closing date can be stated in several ways:
Deadline:
(date)
Applications received before (date) will be assured of consideration.
Please send (information) by
(date)
.
The closing date should be set carefully and thoughtfully, giving applicants as much time as possible from the time the advertisement is actually published. For positions advertised through national or regional publications or mailings, the deadline should be at least 30 days from the time the advertisement appears. For positions advertised only locally or on campus, the closing date should be at least two weeks after the advertisement appears for the second time in the campus-level employment bulletin.
For many reasons applications from excellent candidates sometimes arrive after the closing date, and the purpose of the recruitment process may be defeated by failing to consider them. It is important, however, to remember that late applications should be treated uniformly. For example, a unit may decide to include all applications received after the closing date but before interviews are scheduled in the applicant pool; but a unit should not decide to include some applications and not to include others. The most honest way of communicating to applicants such a procedure is to use the statement, "Applications received before (date) will be assured of consideration."
Advertisements in Campus Employment Bulletin
In general, the preceding comments on position announcements apply also to the text appearing in the
Bulletin
for
Academic Appointees. However, information such as "Indiana University, Bloomington, Indiana, 47405" and "Indiana University is an Equal Opportunity/Affirmative Action Employer" may be omitted, since it is provided in the bulletin mastheads.
The editor of the Bulletin would like advertisements to be similar in form, length, and content. The desired length and style are suggested in the following sample text:
The Department of Chemistry anticipates several tenure-track openings at the assistant professor level. We are interested in candidates with training in analytical, inorganic, organic, or theoretical chemistry. These positions will require the ability to organize and present, effectively, courses at both the graduate and undergraduate levels. Moreover, potential candidates are expected to have a solid record of accomplishment in research and to show promise of developing vigorous, independent programs of scholarly investigation. To apply, submit a brief biographical sketch, a publication list, names of three references, and a short resume of ideas for the development of teaching and research programs. Deadline for application is 1 November 1996. Please apply to Dr. Paul Grieco, Chairperson, Department of Chemistry.
The Bulletin for Academic Appointees is published by the Dean of the Faculties (Bryan Hall 109) on a bi-weekly basis and appears on Tuesdays. The deadline for submission of vacancy notices is noon on Thursday of the preceding week. Each notice will appear twice, in two consecutive issues of the Bulletin.
Text for the Bulletin is submitted on the Vacancy Notice form, along with the advertising plan and an indication of the scope and procedures of the search. After submission, it should be necessary to change the proposal only when circumstances change. In this event, the unit may propose a change simply by circling the element on the original proposal which is to be changed and then indicating what is to replace it.
Advertising Plan
The goal of the advertising process is to develop a pool of applicants which includes as many outstanding applicants as possible, including a representative number of minorities and women. It is consistent with the campus' commitment to affirmative action for the representation of minorities and women in the applicant pool to at least equal their representation among individuals possessing the basic qualifications for the position being advertised. For example, the proportion of women and minority applicants for an entry level assistant professor position in mathematics should at least equal the proportion of minorities and women among new recipients of the Ph.D. in mathematics. Ideally, the same proportional representation of minorities and women should occur among top-ranked candidates.
It has been the experience of the campus that the foregoing goals are most efficiently achieved through searches which are appropriate in scope, and which use vigorous and creative recruitment techniques.
With regard to scope, searches may be classified into four categories: full national searches, limited national searches, regional searches, and local searches. The type of position to be filled determines the scope of a search. The standards covering scope of search displayed in Table I are based on a desire to use recruitment resources as effectively as possible. They assume, based on the experience of the campus during the last several years, that applicants from all over the nation can be successfully recruited for full-time faculty, lecturer, librarian, higher level professional, and research associate positions, but that applicants from a narrow geographical area (i.e., regional or local area) can be successfully recruited for lower level professional and those part-time, visiting, and limited term positions which are advertised. Except under unusual circumstances the scope of advertising (i.e., local, regional, national) should be at least as broad as that specified in the Table. Proposals which narrow the scope of advertising below that in the Table will be scrutinized closely by the Affirmative Action Office and must be supported with a strong rationale.
2. Other Recruitment Techniques
Various recruitment techniques which the campus has found to be effective are also given in Table I along with information concerning the applicability of each technique to searches of different scopes. The success of the recruitment process depends to a large degree on the initiative and ingenuity with which a department implements these techniques. Successful recruitment requires more than placing advertisements in appropriate publications. As indicated in the Table, a mailing to appropriate organizations as well as personal contacts are strongly encouraged. Personal contacts are particularly important. Because outstanding potential candidates for many positions already have positions and do not respond to published advertisements, they must be identified and personally encouraged to submit their credentials. Perusing journals and making contacts through professional associations and colleagues are two means by which to identify potential candidates. It is important to note that any efforts to recruit candidates personally should include deliberate efforts to identify and personally encourage qualified minorities and women to apply. Without such efforts, personal recruitment of candidates is nothing more than the "old boy network" which operated in the past to exclude minorities and women disproportionately from consideration for positions. Every search should include special efforts to identify and recruit exceptional applicants, including exceptional minorities and women. A department which expects to have noncitizens in the applicant pool or proceeds to hiring a Foreign National should carefully consult the special instruction.
3. Summary
It is the responsibility of the unit to develop appropriate advertising plans. At the discretion of the unit, some or all aspects of the advertising process may be broader than that specified. Advertising techniques should include as many elements in Table I as possible, taking into account variables such as time constraints, opportunities for recruitment, and recruiting norms which operate in particular disciplines/professions.
| TYPE OF POSITION |
Faculty and Lecturers
(Full-time) |
Librarians & Physicians
(Full-time) |
Part-time, Visiting and short term (less than academic year) |
| RANK CODE | IR00-5 | LI01-04 & MD00 | All rank codes at less than 100% FTE or short term. |
| SCOPE OF SEARCH | Full national search | Full national search | |
| ADVERTISING IN PROFESSIONAL JOURNALS, ETC. | REQUIRED. Must appear in at least 1 nationally read publication. (If no appropriate publication exists, a direct mailing as described below may be undertaken in lieu of this.) | Advertising in the Herald Times is appropriate for some positions. | |
| ADVERTISING IN AFFIRMATIVE ACTION PUBLICATION | STRONGLY RECOMMENDED. Advertising in at least one nationally read affirmative action publication--journals, periodicals, newsletters, or job listing specifically directed at minorities or women. Most productive to use a publication directed at members of a specific discipline, e.g., The Black Scholar, The American Political Science Association Women's Caucus Newsletter. | Not required | |
| DIRECT MAILINGS |
STRONGLY RECOMMENDED. A mailing to departments, programs, institutes, foundations, etc., to be posted and to personally apprise qualified candidates of the vacancy.
Must be national in scope.
STRONGLY RECOMMENDED. A mailing to caucuses and organizatins directed at concerns of women and minorities requesting they publicize and welcome nominatins. |
Not required. A local mailing is appropriate for some positions. | |
| PERSONAL CONTACTS | STRONGLY RECOMMENDED. Identify and personally contact strong potential applicants, especially including women & minorities by letter/telephone. Must be national in scope. | DESIRABLE. Identify and personally contact local strong candidates, especially women & minorities. | |
| I.U. PUBLICATIONS | AUTOMATIC. Submission of the Vacancy Notice form results in publication in two consecutive issues of the Bulletin for Academic Appointees or the Professional Opportunities Bulletin. | ||
| POSTING AT NATIONAL MEETINGS | APPROPRIATE, where available | Usually not appropriate | |
| LISTING WITH PLACEMENT SERVICES | APPROPRIATE, where available | Usually not appropriate | |
| TRIPS TO MEETINGS, CONFERENCES & OTHER INSTITUTIONS | APPROPRIATE, where available | Usually not appropriate | |
TABLE I (continued)
RECRUITMENT STRATEGIES
| Professional Staff Level 16 & above (Full time) | Research Associates and Scientists (Full time) | Professional Staff Below level 16 (Full time) |
| OA, CN--level 16 and above | IR93, 95, 96, 97, 98 | OA, CN--below level 16 |
| Limited national search | Limited national search | Regional search |
| REQUIRED. Must appear in one nationally read professional publication or a national mailing must be undertaken. | REQUIRED. Must run in at least one regionally read publication or at least two major metropolitan newspapers (e.g. Chicago Tribune). | |
| DESIRABLE. Advertising in at least one nationally read affirmative action publication- journal, periodical, newsletter or job-listing specifically directed at minorities or women. Most productive to use a publication directed at members or a specific discipline, e.g. The Black Scholar, The American Political Science Association Women's Caucus Newsletter. | DESIRABLE. Advertising in at least one regionally or nationally read affirmative action publication and/or a special edition of a major metropolitan paper directed at minorities or a minority newspaper. | |
|
REQUIRED. A mailing of
national scope
to departments, programs, etc.,
or
an advertisement in a national professional publication.
STRONGLY RECOMMENDED. A mailing to caucuses and organizations directed at concerns of women and minorities requesting they publicize and welcome nominations.. |
STRONGLY RECOMMENDED. A mailing of regional scope to departments, programs, etc. to be posted and to personally apprise qualified candidates of the vacancy. | |
| DESIRABLE. Identify and personally contact strong potential candidates, especially including women and minorities, by letter or telephone. Must be national in scope. | STRONGLY RECOMMENDED. Identify & contact potential candidates, esp. women and minorities by letter or phone. | |
| AUTOMATIC | AUTOMATIC. Submission of the Vacancy Notice form results in publication in two consecutive issues of the Bulletin for Academic Appointees or the Professional Opportunities Bulletin. | |
| APPROPRIATE, where available | APPROPRIATE, where available | |
| APPROPRIATE, where available | APPROPRIATE, where available | |
| APPROPRIATE, where available | APPROPRIATE, where available | |
Recruitment for all positions involving classroom teaching should include a print ad in a professional journal with national circulation.
Twenty-first century trends to advertise via electronic media only do not meet U.S. Department of Labor (DOL) requirements for Labor Certification. Labor Certification, with its "special handling" provisions for teaching faculty, is the preferred and simplest method to qualify international faculty for U.S. permanent residence (green card).
To meet DOL requirements for Labor Certification for teaching faculty, the recruitment effort must include at least one print advertisement in a national professional journal. The print advertisement should include (at minimum) the job title, the duties of the position, and the requirements for the position. In this context, "teaching" is defined as classroom teaching of regular university courses listed in the Schedule of Classes, with the international employee listed as an instructor of record.
If a search yielding an international candidate has not included the requisite print advertisement, the hiring department will be faced with either re-opening the position to conduct a new test of the labor market, or delaying sponsorship of permanent residence until the faculty member can document three years of experience
and
is able to assemble extensive documentation attesting to his/her eligibility for the Outstanding Professor/Researcher category. Further information about University processes for sponsorship of permanent residence is available at
http://www.indiana.edu/~intlserv/Content/Faculty__Staff_and_Visitors/Permanent_Residence/
If you have candidates who may need immigration sponsorship or have related questions, consider arranging an appointment with Office of International Services staff during their visit to the campus. Indiana University provides extensive immigration services and support for its employees, which can be an incentive for recruiting highly qualified international faculty. (Office of International Services, 306 Franklin Hall, intlserv@indiana.edu; 855-9086).
The diversity and decentralized nature of the campus and the variety of positions which are filled make it difficult to provide guidelines which are very specific. In most cases a person or committee of persons is appointed to handle the complex and time-consuming process of recruiting and screening applicants. Often this person or committee develops the advertising plan, the vacancy announcement, and the criteria for selection, and schedules and coordinates interview visits. Usually the person or committee is appointed by the unit head, although sometimes departments use other processes of appointment.
1. Composition of Committees:
Committees involved in the recruiting and selection process vary in size. Usually they are no smaller than three persons and no larger than eight or ten persons. In most cases, a majority of members of the committee are selected from among members of the unit. Depending upon the position and the size of the committee it may be appropriate to appoint one or two students. Every effort should be made to appoint minority persons and women to serve on the committee. If the representation of minorities and women among members of the unit is small, consideration might be given to appointing graduate students or persons from other units who are minorities or women. Alternatively, consideration might be given to asking women and minorities to serve as consultants to the committee by providing information on the special role, interests, and concerns of minorities and women. 2. Charge to the Committee/Coordinator:
It usually is helpful if a committee is charged in writing or provided some kind of guidelines by the unit head. Since there are very few campus-level norms concerning operation of committees involved in recruitment and selection, it is important for a unit head to specify exactly what a committee is expected to do and how it is expected to operate. The unit head and the committee should hold a discussion to assure that they hold common expectations concerning these matters. The charge, guidelines, or discussion of expectations should cover at least six areas: the nature of the recommendations which the committee is to make; the time schedule; the number of candidates to be interviewed; financial resources; any administrative concerns; and standards of confidentiality. In addition, the charge, guidelines, or discussion of expectations may highlight special concerns with respect to the position to be filled, especially as they relate to challenges to be faced by the successful candidate, the importance of special skills, and long and short range goals of the unit. In dealing with the nature of the recommendations which the committee is to make, instructions should be given or a common expectation achieved concerning whether the committee is to recommend candidates from which the unit head or department will choose those to be interviewed, or is to make a recommendation concerning the specific individuals to be interviewed.
3.
Timing:
In establishing a time schedule, it is important that a decision concerning whom to hire often has a significant effect on the campus for many years. Although holding a position vacant while a careful search is conducted often involves inconveniences, it usually is in the long-term interest of the unit to proceed slowly, allowing ample time for qualified persons to be appropriately apprised of the position, to apply, and to be carefully considered.
If the position is one without which the unit cannot function, someone may be appointed on an acting or interim basis.
4. Deliberations:In dealing with administrative concerns, special emphasis should be placed upon the importance of a careful, honest, and thorough search which appropriately apprises qualified persons of the position and carefully scrutinizes and fairly evaluates the credentials of every applicant. Anything less is inconsistent with our affirmative action obligations and reflects negatively both on the basic integrity of the unit and on the campus as a whole. With regard to standards of confidentiality, it is important that names of candidates, professional histories, and personal references should not be shared with persons other than those who are directly involved in the selection process or who otherwise have a need to know. Extreme care should be taken in guarding personal references so as not to undermine future efforts to elicit completely candid information. The committee should discuss and agree upon standards for confidentiality and mechanisms to deflect questions from other concerned persons.
Vitae and application materials should be acknowledged as they are received. The letter of acknowledgment should be mailed within a week of receiving a vita. Enclose with the letter of acknowledgment an IU Applicant Monitoring form (available from the Affirmative Action Office, 855-7559.) At a minimum, the letter of acknowledgment should give some information concerning the timelines of the recruitment process and should ask applicants to return the Applicant Monitoring form to the Campus Affirmative Action Office. It is best if letters of acknowledgment are typed individually or generated on a word processor. If this isn't possible, then preprinted form letters (with individualized salutations) may be used.
SCREENING APPLICATIONS
The screening process usually takes place in three phases: the preliminary screening, the major screening, and the screening for interviews.
THE PRELIMINARY SCREENING
The preliminary screening identifies applicants who obviously lack the strengths necessary for success in the position and eliminates them from consideration early in the screening process. The preliminary screening is conducted as vitae and other application materials are received. Responsibility for the preliminary screening usually is given to a single person or a subcommittee of the committee appointed to deal with recruitment and selection. The best practice is to have two people read each vita. If both agree that an applicant obviously lacks necessary strengths, the applicant may be sent a brief rejection letter. The vitae and application materials of persons who survive the preliminary screening are retained for the major screening.
Recordkeeping: At this point, a simple check list giving common reasons for rejection should be established for the committee's files.
THE MAJOR SCREENING
During the period before the major screening begins, each member of the committee in charge of recruitment and selection should spend some time each week reviewing the credentials of applicants who survive the preliminary screening. Very soon after the deadline, the entire committee should meet to select a list of promising candidates for whom more information will be sought. After the major screening, appropriate letters should be sent to all candidates considered during the screening notifying them of their status. Persons who have been screened out receive rejection letters. Others are notified that they will be considered further. See guidelines concerning the contents of these letters.
This is the point in the recruitment process at which it is appropriate to ask for references and other information from candidates. If a candidate includes names of references in her/his vita, they may be contacted. If a candidate indicates that she/he has an up-to-date placement file, a letter may be sent directly to the appropriate placement office. Candidates who have not provided names of references may be asked for the names. At this point, it also may be helpful to ask for other information such as a brief biographical sketch or a statement on development of teaching and research programs.
It is inappropriate to make phone calls or to address other inquiries to persons at the institution with which a candidate is currently affiliated or to others without first asking the permission of the candidate. The question may be posed to the candidate in a general way (e.g., we may want to ask persons at--to comment on your talents and potential. Do you have any objection to our contacting one or more persons? Is there anyone with whom you would rather we not speak?). It is important to observe the candidate's wishes. If the candidate indicates that she/he would prefer that no inquiries be made, the committee may draw its own conclusions.
Recordkeeping: In the major screening, a list containing a sentence or two explaining why each applicant was retained should be developed and kept for the committee's file.
Screening for Interviews: At this stage, candidates are divided into three groups. Some have been eliminated in the preliminary screening stage and will have received rejection letters. Others will be added to this group at this stage. Some candidates are placed in a group to be interviewed. The remaining candidates are placed in a reserve group. These candidates, although less promising than others, are deemed to be worthy of serious consideration and may be interviewed if persons currently scheduled to be interviewed are less promising that their paper credentials suggested or are uninterested in the position.
Recordkeeping: At this point, detailed notes should be made concerning the reasons why candidates were assigned to one of the groups given above.
THE
Letters of rejection are sent out at several points in the screening process: after the preliminary screening, after the major screening, and after the screening for interviews. As is the case with letters acknowledging receipt of applications, it is best if letters of rejection are typed individually or generated on a word processor. If this isn't possible preprinted form letters (with individual salutations) may be used. It is not appropriate to refer to an applicant's high level of personal accomplishment or unique and impressive background in a form letter which obviously is being sent to more than one person. The letter should merely thank the applicant for her/his interest in the position and for the opportunity to review her/his vita and then indicate that other applicants possess attributes (backgrounds, interests, talents) which are more congruent with the needs of the department, and that only their applications have been retained for further review. If the letter of rejection is sent after references and other materials have been collected, the applicant should be thanked for submitting these materials.
These letters also should be typed individually or generated on a word processor. Except at the very late stages of the screening process, form letters with individualized salutations may be used. These letters usually thank an applicant for her/his interest in the position and for the opportunity to review her/his vita and then request additional information or apprise the candidate that everything which is needed is on file and will be considered as the review process progresses.
[This form is downloadable as an Adobe Acrobat PDF file. Go here if you need an Acrobat Reader.]
This form has been divided into two forms. There is now a Waiver Request form in addition to the above.
[This form is downloadable as an Adobe Acrobat PDF file. Go here if you need an Acrobat Reader.]
[This form is downloadable as an Adobe Acrobat PDF file. Go here if you need an Acrobat Reader.]
[This form is downloadable as an Adobe Acrobat PDF file. Go here if you need an Acrobat Reader.]
EQUAL OPPORTUNITY/AFFIRMATIVE
ACTION
(Approved: BFC 10/6/92; UFC 10/13/92
Trustees 12/4/92)
Indiana University pledges itself to continue its commitment to the achievement of equal opportunity within the University and throughout American society as a whole. In this regard, Indiana University will recruit, hire, promote, educate, and provide services to persons based upon their individual qualifications. Indiana University prohibits discrimination based on arbitrary considerations of such characteristics as age, color, disability, ethnicity, gender, marital status, national origin, race, religion, sexual orientation, or veteran status.
Indiana University shall take affirmative action, positive and extraordinary, to overcome the discriminatory effects of traditional policies and procedures with regard to the disabled, minorities, women, and Vietnam-era veterans.
DOCUMENT B-II
SEX DISCRIMINATION AND SEXUAL HARASSMENT
(Approved: UFC 4/26/88, 3/10/98; Trustees 6/15/98)
SEX DISCRIMINATION
Indiana University complies with the Sex Discrimination Guidelines issued by the Equal Employment Commission in 1968, and amended in 1969 and 1972. Policies relating to recruitment, development opportunities, working conditions, fringe benefits, pregnancy and childbirth shall not discriminate based on the sex of applicants, appointees, or students.
The Guidelines specifically preclude:
2. discrimination against married women;
3. advertisements which indicate a preference, limitation, specification or discrimination based on sex;
4. pre-employment inquiries as to sex unless made in good faith for a nondiscriminatory purpose;
5. fringe benefits (medical, hospital, accident, life insurance and retirement plans; profit-sharing and bonus plans; leave plans; other terms, conditions, and privileges of employment) which discriminate between men and women;
6. written or unwritten employment policies or practices which exclude from employment applicants or employees because of pregnancy, childbirth or related medical conditions;
7. sexual harassment.
Concerns about compliance with the Guidelines should be brought to the attention of the Campus Affirmative Action Officer. Because of the sensitive and discriminatory nature of sexual harassment charges, specific provisions and procedures have been established.
SEXUAL HARASSMENT
Harassment on the basis of sex is a violation of federal and state law. Indiana University does not tolerate sexual harassment of its faculty, staff, or students. Individuals who believe they are victims of sexual harassment, as well as those who believe they have observed sexual harassment, are strongly urged to report such incidents promptly. Indiana University will investigate every sexual harassment complaint in a timely manner and, when there is a finding of sexual harassment, take corrective action to stop the harassment and prevent the misconduct from recurring. The severity of the corrective action, up to and including discharge or expulsion of the offender, will depend on the circumstances of the particular case.
Once a person in a position of authority at Indiana University has knowledge, or should have had knowledge, of conduct constituting sexual harassment, the university could be exposed to liability. Therefore, any administrator, supervisor, manager or faculty member who is aware of sexual harassment and condones it, by action or inaction, is subject to disciplinary action.
A. Definitions
Following federal guidelines, Indiana University defines sexual harassment as follows:
Unwelcome sexual advances, requests for sexual favors and other verbal or physical conduct of a sexual nature, constitute sexual harassment when:
2. submission to or rejection of such conduct by an individual is used as the basis for employment or academic decisions affecting such individual; or
3. such conduct has the purpose or effect of unreasonably interfering with an individual's work or academic performance or creating an intimidating, hostile, or offensive working or learning environment.
B. Application
This University policy is designed to protect all members of the University community. It applies to relationships among peers as well as to superior/subordinate relationships. It also applies to all individuals, regardless of their gender or sexual orientation.
C. Provisions.
1. Faculty, staff, and students have the right to raise the issue of sexual harassment. Further harassment against complainants or retaliation against complainants or others who participate in the investigation of a complaint will not be tolerated. Appropriate and prompt disciplinary or remedial action will be taken against persons found to be engaging in such further harassment.
2. The university will deal with reports of sexual harassment in a fair and thorough manner, which includes protecting, to the extent possible, and to the extent permitted by law, the privacy and reputational interests of the accusing and accused parties.
3. Education is the best tool for the prevention and elimination of sexual harassment. Each dean, director, department chair, and/or administrative officer is responsible within hi/her area of jurisdiction for the implementation of this policy, including its dissemination and explanation.
4. It is the obligation and shared responsibility of all members of the University community to adhere to this policy., and are protected by faculty and staff personnel policies and student codes. Sexual harassment can be a grievous action having serious and far-reaching effects on the careers and lives of individuals.
D. Enforcement Principles
Enforcement and implementation of this sexual harassment policy will observe the following principles:
1. Each campus must have procedures-consistent with notions of due process-for implementing this policy including where complaints are made, who investigates complaints, how complaints are resolved, what procedures are available for appeals, and how records are kept.
2. The Campus Affirmative Action Officer shall serve as a resource with regard to interpretation of sexual harassment guidelines.
3. Confidentiality of information relating to investigations of complaints of sexual harassment shall be maintained to the extent practical and appropriate under the circumstances and to the extent permitted by law. Individuals charged with implementing this policy shall share information with regard to given incidents of sexual harassment only with those who have a "need to know" in order to implement this policy.
4. Investigations must be conducted promptly and thoroughly.
5. Whether particular actions constitute sexual harassment will be determined from the facts, on a case-by-case basis. The university will look at the record as a whole, as well as the context in which the alleged misconduct occurred.
6. Both the charging party and the respondent will be notified of the outcome of the investigation.
7. In the event it is found that sexual harassment has occurred, corrective action, up to and including discharge or expulsion of the offender, will be taken through the appropriate channels of the university. The corrective action will reflect the severity and persistence of the harassment, as well as the effectiveness of any previous remedial action. In addition, the university will make follow-up inquiries to ensure the harassment has not resumed and the complainant has not suffered retaliation.
RECOMMENDATIONS FOR ENHANCED UNDERSTANDING OF CULTURAL DIVERSITY
(Approved: UFC 4/17/90) 1. The campus chancellor should ensure the implementation of programs targeted at all in-coming undergraduate and graduate students in which the behavioral norms set out in the Code of Student Ethics--specifically including behaviors related to cultural diversity and racial, ethnic, and gender discrimination--are clearly described. To the extent possible, this program should be required and should take place at the earliest practicable time. Students who violate these standards should be subject to the complaint procedures of the code, which should be vigorously enforced by the responsible administrators.
2. The faculty of each undergraduate degree-granting-unit should adopt a cultural diversity degree requirement appropriate to their curriculum. Adoption of a requirement which has a focus on the issues of cultural diversity and racial, ethnic, and gender discrimination within the context of the United States would be especially useful in achieving the objectives of these recommendations. In any event, courses which focus on diversity and discrimination in the United States should be among those which satisfy the requirement.
3. The Dean of the Faculties should implement a program targeted at all current faculty and librarians in which standards of conduct set out in the Academic Handbook-- including those behaviors related to cultural diversity and racial and sexual discrimination-- are highlighted. The program shall be repeated annually for new faculty and librarians.
Faculty and librarians who violate these standards should be subject to enforcement procedures associated with the Code of Academic Ethics, which should be vigorously enforced by responsible administrators.
4. The Dean of the University Graduate School should ensure the implementation of programs targeted at all new associate instructors on the Bloomington campus in which standards of conduct set out in the Academic Handbook-- including those behaviors related to cultural diversity and racial, ethnic, and gender discrimination--are clearly described. Associate instructors who violate these standards should be subject to enforcement procedures associated with the Code of Academic Ethics, which should be vigorously enforced by the responsible administrators.
5. The Assistant Vice President for Human Resources should ensure the implementation of measures similar to Recommendations 3 and 4 which would apply to all other Bloomington campus employees.
6.A. The target date for implementation of Recommendations 1, 2, 4, and 5 should be no later than the beginning of Fall Semester 1991.
6.B. The faculty should act on Recommendation 2 during the 1990-91 academic year.
AFFIRMATIVE ACTION PLAN, INDIANA UNIVERSITY: INTRODUCTION AND GENERAL POLICIES
(Approved: Trustees 6/29/74)
[Note: A new Affirmative Action Plan is adopted annually. The current Plan is available from the Affirmative Action Office, 855-7559]
(Portions of the Affirmative Action Plan relevant to grievance procedures, tenure/reappointment/promotion, leaves, and salary policy will be found under DOCUMENTS,
D-XIX,
E-XVII,
E-XX.)
I. Commitment of Indiana University
The commitment of Indiana University to the goal of equal opportunity has been evidenced in many ways. It was one of the earliest of the major universities in this country to admit women and minority group students on an equal footing with non-minority males. In recent years it has been among the leaders in developing programs for the special recruitment, counseling, and assistance of disadvantaged students. The University's "Groups" programs have been emulated elsewhere in the country and efforts will soon be made to support similar programs at the graduate level for minority group students entering Big Ten universities. At the graduate level, special programs were launched to increase the numbers of Black students in Business, Library Science, and other fields.
The University has introduced non-credit courses, credit courses, and interdisciplinary departments and programs designed to increase awareness of the contribution women and minorities have made to various aspects of American life. These study programs also emphasize the special problems which must be overcome by women and minorities in advancing themselves socially, politically, and economically.
Affirmative action officers have been named on all the campuses of Indiana University and committees have been established to consider the special needs of minority group persons and women.
The commitment of the Trustees of Indiana University to positive action in this area is contained in the resolution on Equal Opportunity, which was passed unanimously by the Trustees of Indiana University on November 21, 1969. This action, which broadened and extended a previous resolution adopted in 1967, provided:
RESOLUTION
WHEREAS, it is and has been the policy of Indiana University over a period of years to adopt and support measures designed to prevent discrimination against any individual student, faculty member, or employee of Indiana University on the sole basis of his race, color, religion, sex or national origin;
AND, WHEREAS, it is also the policy of our country and of our state to eliminate such discrimination in our society;
NOW, THEREFORE, BE IT RESOLVED by the Trustees of Indiana University, that the University Administration be directed to take such steps as may be necessary and desirable to accelerate the final elimination of such vestiges of discrimination as may still exist, based on race, color, religion, sex, or national origin, from all phases of University life including official employment and other personnel policies and participation in campus activities and organization.
II. The Significance of Affirmative Action
Indiana University pledges itself to continue its commitment to the achievement of equal opportunity within the university and throughout American society as a whole. In employing and advancing the careers of academic appointees and staff, in admitting students, and in planning academic programs, it is not only morally but also educationally sound that decisions should focus upon the qualifications of the individual rather than upon such arbitrary considerations as race, ethnic or national origin, sex, marital status, religion or age (within the legitimate limits imposed by university regulations).
We recognize today, however, that neutrality on these issues--especially with regard to discrimination based upon race, national origin, and sex--is not sufficient to bring about the desired goal of equal opportunity. Traditional recruitment practices, even when there was no intention of discriminating, have frequently overlooked significant pools of qualified talent. The resultant exclusion has meant that our faculties, staffs, and student bodies have tended to be deficient in two major respects. First, they have tended to exclude from consideration for certain positions within the university segments of potential talent including women, members of minority groups, and others whose aspirations at all levels were thereby either lowered or completely frustrated. Second, exclusion denied the non-minority males the enrichment which would have resulted from intellectual, social, and other forms of contact with minorities and women in a university setting. Thus the premise of the affirmative action concept is that unless positive and extraordinary action is undertaken to overcome the discriminatory effects of traditional policies and procedures, a benign neutrality will tend to perpetuate the status quo. In addition the law requires that there be an examination of all employment policies and procedures to ensure that they do not operate to the detriment of any persons on grounds of minority status, religion, sex, national origin, age, or any other irrelevant factor. And where discrimination is evidenced, forthright action must be taken to correct the situation. This requirement of non-discrimination applies to all persons, whether or not the individual is a member of a conventionally defined "minority group."
For those who are fearful that affirmative action will result in "reverse discrimination" it should be expressly stated that it is not the intention of this Plan that there should be, or will be, a lowering of standards in terms of achieving academic excellence or that unqualified persons must be admitted as students or hired for academic or staff appointments. Moreover, it does not mean that meeting the minimum requirements expected of any serious applicant for a position will automatically make all such applicants equal in terms of their suitability for that position. Affirmative action does not preclude a university from continuing to provide logical and balanced programs which meet the educational needs of a broad spectrum of society. Nor, does affirmative action automatically take priority over all other legitimate goals and policies of the university. It does mean the university is required to demonstrate that it has engaged in good faith efforts to increase access of women, minorities, and others to all phases of university life.
III. Definition of Minorities1
A. For the purposes of affirmative action, the Equal Employment Opportunity Commission of the Federal Government has identified the following minority categories of United States citizens:
2. Spanish Surnamed (Latino)--Includes all persons of Mexican, Puerto Rican, Cuban, Latin American or Spanish descent including all persons whose native language, cultural heritage, and/or ancestry are rooted in Spain or Latin America.
3. American Indian--Includes persons who identify themselves or are known as such by virtue of tribal association or consider themselves native Americans.
4. Asian American--Includes persons of Japanese, Chinese, Korean, or Filipino descent or whose appearance reveals East Asian or Polynesian origins (but not Pakistani and East Indians, who are classified along with all persons of Indo-European descent as White).
5. Other--Includes Aleuts, Eskimos, Malayans, Thais, and others not covered in the specific minority categories above and not classified as White.
B. For the purpose of defining minorities, noncitizens employed by the university will be reported under "Other."
IV. Definitions of Appointments
For the purposes identified in the Affirmative Action Plan, appointments are classified as follows:
A.
Academic Appointments: Faculty (IR00-IR04), Lecturer (IR05), Teacher (IR92), Research Associate (IR93-IR94) and Librarian (LI00-LI04).Counselor (CN00-CN02), Other Academic (0A00), and student academic appointments as Associate Instructor (IR81), Research Assistant (IR88), Faculty Assistant (AA81), Graduate Assistant (AA82), Student Counselor (AA83) will be covered by certain parts of the Plan insofar as they are covered by similar policies currently. Certain policies in the Plan should be modified to fit these categories. For example, in the determination of goals, local and regional availability as opposed to national availability may control.
B.
Staff
Appointments: Administrator (AD), Professional (PR), Clerical (CL), Technical (TE), Service and Maintenance (SM), Food Service (FS), Health Center Physician (MD), Resident/Intern (RI), Nurse (NU), Nursing Assistant (NA), Practical Nurse (PN), and others.
V. Affirmative Action Officers
Crucial to the effectiveness of an affirmative action plan is the role and the authority of the affirmative action officers. The President shall nominate to the Trustees of Indiana University a University Affirmative Action Officer (UAAO) who shall have responsibility with respect to the university as a whole and particular responsibility with respect to those operating units reporting directly to the University System. Each campus chancellor or director shall nominate to the President for the approval of the Trustees of Indiana University, a Campus Affirmative Action Officer (CAAO).
Prior to making a recommendation the President should consult with the University Affirmative Action Committee (see Introductory section VI. below) regarding the qualifications of the candidate or candidates being considered. The appointment process at the campus level would follow the same procedure.
The Affirmative Action Officer should possess at least two major qualifications. First of all, the individual should be one who by reputation and experience is aware of the recruitment and employment problems of women and members of minority groups and has made a demonstrated contribution in this area. Secondly, the individual should be one who understands the operations of a university and whose reputation (or that of the combined staff of the
Affirmative Action Officer) will command the respect of faculty, staff, and students necessary to make affirmative action procedures a way of life within the university. The success of an UAAO or CAAO and his or her staff will depend far more upon an ability to educate and persuade rather than upon authority to command or recommend punitive sanctions with respect to violators of affirmative action policies.
Although the UAAO would be a staff officer to the President and the CAAO a staff officer to a chancellor or director, the responsibilities would be of an extraordinary nature. With respect to the level of university administration involved, the UAAO or the CAAO would be the principal advisor on affirmative action matters, and there would be a mandatory involvement of the officer in crucial points in the process of recruiting, promoting, providing equity adjustment, and other phases of employment. There would not only be the monitoring of performance after the fact, but there would be involvement prior to the initiation of actions which could significantly affect the progress of affirmative action. At their respective levels, the UAAO and the CAAO would be directly accessible to members of the university community seeking advice on matters relating to affirmative action. The UAAO or the CAAO would have the authority to see that a problem situation is brought through channels to the immediate attention of the administrative official who could deal with or correct an adverse situation. Rather than by-passing the vice chancellors, deans, and department or division heads, the objective of the affirmative action officer should be to work through the existing channels in order to make them more responsive to affirmative action objectives.
Academic and staff appointees involved in the establishment of unit affirmative action goals and recruitment of new employees should be encouraged to solicit directly the advice of the UAAO and CAAO. To assist in compliance with affirmative action objectives, the UAAO and CAAO should conduct periodic training seminars for academic and staff administrators.
The UAAO and CAAO would work directly with administrators in the Management Information Service, the Office of Institutional Research, the Office of Budgetary Affairs, other officials, and faculty and students in securing data on availability of women and minority group persons and preparing studies and annual reports on the progress of affirmative action within the university. It would be of special importance that he or she have access to data on the immediate status of representation or under representation of each unit in terms of its formulated employment goals.
The UAAO would have the responsibility of preparing new policy statements on affirmative action and recommending changes in existing policies and procedures. Within broad university policies and procedures, the CAAO would similarly advise the campus Chancellor. The UAAO would assist the official designated by the President to conduct the annual review of the Affirmative Action Plan for the Trustees of Indiana University.
The UAAO at the university level and the CAAO at the campus level have the responsibility of post hoc of the recruitment process to ensure overall compliance of the university with affirmative action goals and procedures. In the case of a specific allegation of abuse, and with the specific approval of the chancellor (in the case of the CAAO) or the President (in the case of the UAAO) indicating that the situation warrants it, the affirmative action officer may conduct a review which involves contacting present and prospective academic appointees, unsuccessful candidates for positions, and other relevant parties.
Although the CAAO operates under the authority of the campus Chancellor, UAAO and the Affirmative Action Officers from the several campuses may meet jointly to discuss progress of the Affirmative Action Plan, suggested changes in policies or procedures, or other matters which would be forwarded to the Administrative Committee, the University Faculty Council, or other bodies for action.
The office of the UAAO and the CAAO should be staffed so that the differing needs of faculty, staff, and students can be adequately handled. Depending upon the size of the campus, individuals may be employed part-time and specialize in handling the problems of the various constituencies of the university community.
The UAAO and the CAAO will be appointed for a specific term, subject to renewal following a review by the committee designated by the President or the Chancellor to handle affirmative action at the university or the campus level. Taking into account the extraordinary character of the office, the UAAO or the CAAO may be removed by the President or the Chancellor, but only after the reasons for dismissal have been explained to the university or campus committee designated to deal with affirmative action matters.
The appointment of a UAAO and the CAAO is not intended to limit or interfere with the line authority of the President or Chancellor in their relationships with deans, department or division heads, or the faculty and staff in general.
VI. Affirmative Action Committees
The President shall designate a university-wide committee on affirmative action to give advice on policies; review suggested procedural changes; consult with the President on the nomination, reappointment, or replacement of the UAAO; review affirmative action goals; and be involved in other matters relating to affirmative action as the President directs.
The University Committee on Affirmative Action shall include academic appointees, staff, and students, and should include women and minority group representatives. Faculty representation shall be selected from among the membership of the University Faculty Council committee which handles affirmative action issues.
Affirmative action committees organized at the campus level shall have similar responsibilities and representation of women and minority group persons. Where the size of the faculty and staff and the complexity of the problems involved warrant it, a campus may have separate staff and faculty/student affirmative action committees, but they shall meet jointly when discussing campus-wide problems. The faculty/student committee may be a standing committee of the faculty council or senate.
A.
INTRODUCTION
During the past two decades the Trustees of Indiana University have acted to eliminate policies or practices which prohibit or limit the simultaneous employment of two members of the same family. Current policy contains only two significant restrictions, and neither, on its face, is related to the question of discrimination based upon sex, race, ethnic origin, religion, or age.
B.
CURRENT POLICY OF INDIANA UNIVERSITY ON ANTI-NEPOTISM
1.
General
Provisions
a. No person shall be recommended for employment on an appointment basis who is related by blood or marriage to a member of the State Board of Education, or to a member of the Trustees of Indiana University.
b. No person, including full-time, part-time, or temporary employee, may be employed in or transferred to a position within the scope of immediate supervision or authority of a member of one's own family.
c. The degrees of relationship included in the above restrictions are as follows:
By blood: Parent, child, grandparent, grandchild, brother, sister, uncle, aunt, nephew, niece, first cousin.
By marriage: Husband, wife, stepparent, stepchild, brother-in- law, sister-in-law, father-in-law, mother-in-law, son-in-law, daughter-in-law, half-sister, half-brother, uncle, aunt, nephew, niece.
2. In the event of marriage between university appointees creating a relationship not in accord with provisions of paragraph 1.b., one of the persons affected must give up that position by the end of the fiscal year or within six months from the date the relationship was established, whichever is the greater period, but may be re-employed in another position compatible with the provisions of paragraph 1.b.
3. Stipends to students as scholarships, fellowships, or assistantships shall not constitute employment within the provisions of this regulation.
4. Whenever a person recommending, or considering the acceptance of, an appointment to a staff, faculty, or other position has reason to believe that a relationship by blood or marriage of the kind described exists or may exist, he should report the facts to the Office of University Counsel so that a determination may be made prior to the actual appointment.
(Trustees action)
C.
MODIFICATION OF CURRENT POLICY
The following additions to, and modifications of existing policies are recommended to the Trustees of Indiana University for their approval, with the adoption of this plan.
1.
Transfer of Employees
Section 1.b. in the current policy statement should be amended to read:
"It is contrary to university policy that any full-time, part-time, or temporary employee be employed in or transferred to a position which establishes an immediate supervisor/employee relationship between two individuals who are related by blood or marriage."
2.
Definition of Immediate Supervision
The determination of what is "immediate supervision" in each instance shall be made by the Chancellor of each campus or the Vice President for units that report to the Central Administration, and it shall take into account the following factors:
b. is the supervisor the only one competent to judge such issues as hiring, retention, promotion, salary?
3.
Notification of Potential Nepotism
The Chancellor (or Vice President) shall bring to the attention of the Trustees of Indiana University before appointment or transfer instances in which two members of the same family will be employed in the same unit and will demonstrate that
immediate supervision, as defined in this policy, is not involved.
4.
Alternate Procedures
In the recruitment of
new
academic appointees, the university should adhere strictly to its current anti-nepotism policy. The implementation of Section 1.b. and Section 2 of the modified current policy, however, may work a severe hardship on
current
employees, and the policy in practice may tend to have more of an adverse impact upon one sex than another. It is, therefore, recommended to the Trustees of Indiana University that the administration be authorized to institute alternative procedures on a trial basis to cover situations of potential nepotism involving
current
employees and that these procedures be carefully monitored and evaluated.
VIII. Representation of Boards of Visitors, the Alumni Association Staff and Related Problems
The Trustees of Indiana University will intensify their efforts to ensure that distinguished women and members of minority groups are identified and appointed to boards of visitors or boards of advisors.
The Trustees of Indiana University will encourage greater representation of women and minority group persons on the staff of the Alumni Association, the Indiana University Foundation, and other agencies related to the operation of Indiana University.
IX. Annual Review of Affirmative Action Plan
The President shall designate the university official who is to be responsible for the overall review of this Plan and to report to the Trustees of Indiana University on an annual and intermittent basis regarding the progress of goals and suggested modifications in the overall objectives of the Plan.
A.
AFFIRMATIVE
ACTION
GOALS
The long-standing commitment on the part of Indiana University to the objectives of equal opportunity and the university's accomplishments in a variety of areas have been referred to in the introductory section of this Affirmative Action Plan. This Plan is, in many respects, a logical out-growth of the Equal Opportunity policy adopted by the Trustees of Indiana University on November 21, 1969. (See "Introduction" section of this Plan.)
In addition to the university's stated policy against discrimination as defined above, the Department of Health, Education, and Welfare requires the university to establish significant, measurable, and attainable goals for each academic unit for the employment of women and minorities. The directives state further:
"An affirmative action plan is a set of specific and result-oriented procedures to which a [university] commits [itself] to apply every good faith effort. The objective of those procedures plus such efforts is equal employment opportunity. Procedures without effort to make them work are meaningless; and effort, undirected by specific meaningful procedures, is inadequate. An acceptable affirmative action plan must include an analysis of areas within which the [university] is deficient in the utilization of minority groups and women, and further, goals and timetables to which the [university's] good faith efforts must be directed to correct the deficiencies and, thus to increase materially the utilization of minorities and women, at all levels and in all segments of its workforce where deficiencies exist." (41 CFR 60-2.10)
"Goals are projected levels of achievement . . . given the availability of qualified minorities and women and the expected turnover in its workforce. Establishing goals should be coupled with the adoption of genuine and effective techniques and procedures to locate qualified members of groups which have previously been denied opportunities for employment . . ." (HEW p.3).
Failure to meet a goal will not mean an automatic finding of noncompliance, as would be the case with quotas, which are rigid, inflexible and illegal. Goals do not pledge a unit to hire, retain, or promote unqualified persons. Nor, in the evaluation of candi-dates, does possession of the minimum qualifications for a position automatically make each applicant equal in terms of the contributions that can be made to a department or the university. Depth of experience related in a demonstrably reasonable way to the requirements of the position; character of the academic preparation; interest or willingness to participate in the various missions of the department, school, and the university as a whole; and other factors will continue to be taken into account in appointing academic personnel.
Far from impeding the university in its effort to maintain its position of quality and leadership in higher education, affirmative action will enhance it. For the qualities mentioned in the preceding paragraph are manifest in all segments of society, and affirmative action procedures provide a better guarantee that women, members of minority groups, and others normally overlooked in the traditional recruitment process will be identified and evaluated along with non-minority male candidates. There is, moreover, the added factor that the diversified experience which women and minority group faculty members can bring to a university is itself a distinct and desirable quality which should be taken into account in recruitment. Some of the apparent deficiencies in qualifications, furthermore, can be overcome by on-the-job training and other forms of enrichment programs.
Thus, the primary focus of affirmative action is on the recruitment process. Repeated failure on the part of the unit to achieve its employment goals because it is asserted that no qualified minority group or women applicants are available must be thoroughly documented in order to avoid creating doubts regarding the commitment of the unit to the affirmative action objectives.
The university will establish affirmative action goals in the following fashion:
1.
Designation of
Affirmative
Action
Units
Each campus Chancellor, with respect to his or her campus and the President with respect to those units reporting to the University System, shall designate academic units for the purposes of achieving affirmative action goals. Depending upon the number of persons employed and the disciplines represented, the units consist of schools, colleges, divisions, departments, programs or other meaningful clusters of employees.
2.
Timetables
and
Annual
Reviews
of
Progress
Each Chancellor will establish for his or her campus, and the President for the University System, appropriate internal timetables for the formulation of goals by the academic units. The goals will be stated in terms of a three-year schedule for compliance commencing October 1 following the adoption of this Plan.
The goals shall be reviewed by October 1 of each subsequent year and shall take into account good faith efforts or lack of efforts to recruit or retain women and minorities.
In evaluating a unit's compliance with the established goals of this Plan, it will be necessary to take into account budgetary constraints, the number of available vacancies, and the need for competence in specific sub-areas essential to the unit's academic programs.
3.
Process
of
Formulation
of
Goals
The goals for each academic unit shall be initially formulated by the members of the designated unit in consultation with the relevant Affirmative Action Officer. The recommendations of the unit shall be forwarded for consideration and action through channels to the Campus Chancellor, or to the President with respect to units reporting directly to the University System.
Before the affirmative action goals for each unit have been promulgated, the Chancellor (or the Vice President) shall solicit recommendations from the appropriate Affirmative Action Officer and the campus (or all-university) committee which as been designated to deal with affirmative action.
4.
Estimate
of
Pools
of
Applicants
Numerical goals will be set by comparing the percentages of women and minority group academic appointees in each designated academic unit with reasonable estimates of the employable pool of qualified minority group or women applicants within the relevant field or fields. Goals must be significant, measurable, and attainable. It is assumed that different indices will be employed depending upon the unit, or even the campus, involved. While emphasizing that these are goals and not quotas, each unit shall strive to base its numerical goals on a reasonable assessment of achieving parity with the highest applicable percentage in the potential employee pools.
There is currently no single source which provides complete information on doctoral degrees awarded by sub-field for both women and members of each of the minority groups identified under the H.E.W. guidelines. Nor is there information on both groups with respect to fields where the terminal degree is other than the doctorate. Nevertheless, the National Research Council will shortly be providing information on doctorates by sub-field, classified by sex and minority group. Professional associations also are accumulating data on the number of women and minority group students who are currently enrolled in or have recently completed doctoral (or the equivalent terminal degree) training programs nationally. Information is also available on the number of women and minority group students currently enrolled in (or recently completed) terminal degree programs in relevant and significant groupings of universities, such as the CIC, the top 15 universities in a particular field as defined by the American Council on Education and other appropriate ranking bodies, or other relevant clusters of universities which could be compared with Indiana University. These are illustrative only, and the actual pool upon which a unit's goals are based will have to be arrived at on the basis of discussion between the members of the unit and the UAAO or the CAAO on that campus.
5.
Separate
Goals
for
Women
and
Minorities
In establishing goals above, separate numerical goals shall be set for women and minorities. Although it would be difficult to define goals for each of the minority categories listed in the introductory section of this Affirmative Action Plan, account should be taken of the special needs and availability of qualified personnel in the separate categories (Black, Latino, etc.) as applied to various regions of Indiana and the nation as a whole.
B.
AFFIRMATIVE
ACTION
RECRUITMENT
a.
The norm in recruitment. Indiana University is committed to the concept that new and vacant full-time academic appointments should normally be filled through the observance of the affirmative action procedures described below.
b.
Emergency hiring. Emergency situations, such as the death or resignation of a faculty member at the beginning of an academic year, will always rise. Whenever possible, such vacancies should be filled on a visiting basis or with a one-year contract, thereby permitting affirmative action procedures to be followed in filling positions on a long-term basis. Emergency hiring should only be done with the specific approval of the Chancellor (or Vice President in the case of units reporting to the University System) or the designated Vice Chancellor or Dean who would normally handle such situations. Whenever the timing permits, he opinion of the appropriate UAAO or CAAO shall be solicited regarding the emergency appointment.
c.
Special exceptions. Given its commitment to high standards in teaching, research, and service, the university must be prepared to recognize that national advertising and the other normal affirmative action procedures may be ineffective or counterproductive in hiring certain individuals who have highly unique talents or experiences which can make a distinct contribution to the university's programs. It is the responsibility of the unit desiring an exception to the procedures to document its case that the procedures would be inappropriate or ineffective and to provide evidence that it has canvassed the field and has been unable to identify other available individuals who possess similar special qualifications or enjoy similar stature or reputations. The Chancellor (or Vice President) shall solicit the opinion of the UAAO or the CAAO before permitting the unit to make the exceptional offer.
2.
Procedures
for
Recruitment
Affirmative action recruitment procedures shall consist of the following:
a.
Authorization to fill a position. An explicit statement shall be made by the Chancellor or his or her delegated subordinate (that is, a Vice Chancellor, Dean, or whoever would normally perform this task on a particular campus), or by the Vice President in the case of units reporting to the University System, authorizing a unit to commence recruitment for a new or vacant full-time academic appointment. The UAAO or the appropriate CAAO will be immediately informed of this authorization.
b.
Job description. A job description for each new position or vacancy shall be formulated before active recruitment is actually commenced. The description should be as explicit as possible with respect to the nature of the job, the requisite qualifications, rank, possible salary range and other relevant information.
c.
Advertising. Good faith efforts must be made actively to seek qualified minority group and women candidates. This may be accomplished through advertising in relevant professional journals (with a significant abbreviated statement regarding the job description); listing vacancies with appropriate organizations of minority groups and women's caucuses within such organizations; writing letters to chairpersons or deans at a reasonable number of significant representative institutions around the country; and soliciting the support of officials and other persons within the university who have special knowledge or responsibility with respect to women and minority group recruitment.
d.
Responsibilities of the Recruitment Committee. The unit recruitment committee must provide evidence to the appropriate campus Dean (or the Vice President with respect to units reporting to the University System) that:
(1) the committee made reasonable efforts to ensure that dossiers on minority group and women applicants were completed and evaluated in accordance with the regular departmental procedures along with the dossiers of other applicants. This information may be provided on a form to be developed and updated by the UAAO in collaboration with the various CAAO's.
(2) the committee did not exclude from consideration any qualified applicant on the basis of race, ethnic or national origin, sex, marital status, religion, relationship to present employees of Indiana University, or, within the legitimate limits of university regulations, on the basis of age. The committee should be sensitive to the fact that traditional procedures of evaluation may have inadvertently excluded women or minority group applicants from being given full consideration.
(3) the committee documented its efforts to guarantee that affirmative action had been complied with and took steps to ensure that all correspondence and documents relevant to the filling of the specific position will be retained by the unit for a period of two years.
e. Interviews. It is recognized that informal contact with potential candidates frequently takes place at professional meetings and under other circumstances. Nevertheless, since the interview stage is regarded as critical to the appointment process under affirmative action, individuals should only receive formal interviews after the authorization indicated in 2.a. above has been given. A formal interview may be scheduled after the unit committee has filed a written statement with both the appropriate administrator (Vice President, Chancellor, Vice Chancellor or Dean) and the appropriate UAAO or CAAO indicating the procedures followed in meeting the unit's affirmative action goals.
An interview may be scheduled if no objection has been lodged by the administrator or by the Affirmative Action Officer within three (3) working days of the receipt of the request for an interview. If the objection is lodged by the UAAO or CAAO, the matter will be resolved by the Chancellor (or the Vice President in the case of units reporting to the University System). When the availability of the candidate indicates that the unit cannot wait three working days before scheduling a formal interview, the interview may be scheduled immediately if specific approval is secured from the appropriate administrator (Vice President, Chancellor, Vice Chancellor, or Dean) and the Affirmative Action Officer or their respective delegates.
f.
The Offer Letter. Before an offer letter is sent to any candidate, the administrative officer (that is, the Vice Chancellor or Dean) designated by the Vice President or the campus Chancellor to authorize such offers will satisfy himself or herself that affirmative action procedures have been observed. The offer letter must clearly state that the offer is contingent upon approval of the recommendation by the Trustees of Indiana University.
g. Appointment. The recommended appointment is to be made at a rank and salary, and involving conditions of work, commensurate with the qualifications of the candidate and is not to be made on the basis of race, ethnic or national origin, sex, marital status, religion, relationship to present employees of the university, or, within the legitimate limits of university regulations, on the basis of age.
II. Salaries--see DOCUMENT E-XIX
III. Conditions of Work
Indiana University must ensure that policies and decisions regarding academic appointees are not made on the basis of race, national origin, sex, marital status, religion, or age with respect to:
b. class assignments,
c. opportunities to serve as academic administrators,
d. opportunities to serve on decision-making bodies,
e. access to research opportunities,
f. leaves of absence,
g. education and training opportunities,
h. use of facilities,
i. participation in the normal perquisites open to any academic appointee by virtue of employment.
This general statement does not supersede, however, the legitimate limits imposed by university regulations with respect to age or the anti-nepotism policy and the sections of this Affirmative Action Plan dealing with pregnancy and childrearing leaves. This does not preclude, moreover, action accommodating legitimate religious concerns of academic appointees.
IV. Appointment to and Review of Administrative Positions
A.
COVERAGE
Administrative officers in charge of academic and program units and officers in charge of administrative units whose functions bear directly on the central teaching/research function of the university shall be chosen through established affirmative action norms in Section I, modified to fit administrative appointments.
B.
NOTIFICATION
OF
VACANCY
For administrative officers, defined above, notice of the vacancy in an administrative position or of a new administrative position shall be given to all faculty members of the university by appropriate publication by the appropriate administrator well in advance of the time that serious consideration of candidates for the position is to begin (30 days is recommended). The Affirmative Action Officer shall be informed of vacancies and of new administrative positions.
External advertising is not required if the filling of an administrative vacancy does not involve the replacement of an individual in an existing personnel line or if funds do not permit the addition of new personnel to that unit.
C.
MINORITY
AND
WOMEN
REPRESENTATION
Both minority faculty and women faculty shall be members of advisory, search and screen, or review committees whenever reasonable and feasible.
If minority or women faculty members are not members of advisory, search and screen, or review committees, they shall be actively consulted by such committees for suggestions of candidates. The procedures set forth herein for academic hiring shall be followed wherever applicable to ensure that women and minority faculty are given equal opportunity for appointment to administrative positions.
D.
EMERGENCY
SITUATIONS
If an emergency situation arises which makes it impossible to follow all of the above procedures, the person is to be appointed for no more than one year during which time the above procedures will be implemented. It is urged that persons temporarily appointed be given acting titles. The temporarily appointed person may be a candidate for the position.
E.
EXEMPT
POSITIONS
The number of administrative positions which may be filled without benefit of the full range of affirmative action procedures should be narrowly limited. The list of exempt positions should be brought by the President to the specific attention of the Trustees of Indiana University, and an updated list shall be kept in the Office of the President for the university as a whole and each of the several campuses. It is urged that extensive consultation with relevant faculty and others precede the actual nomination of an official on the exempt list. Vacancies in a position on the exempt list should only be filled after internal advertising on the campus or the university.
F.
REVIEW
OF
ADMINISTRATIVE
OFFICERS
Where a review of the performance of a dean, chairperson, or other administrative officer is contemplated, the Affirmative Action Officer shall also be informed of the review prior to or at the expiration of the term of office. Both minority faculty and women faculty shall be members of any review committee whenever possible. If minority or women faculty members are not members of a review committee, they shall be actively consulted by such committees for suggestions.
V. Leaves of Absence--see DOCUMENT F-III
VI. Part-time and Associate Academic
Appointments
Each campus of the university system has differing needs with respect to the utilization of part-time academic appointees, who currently are non-tenured, non-probationary. The range of cases is varied. It may consist, for example, of the university's need for the services of lawyers and medical doctors, who hold adjunct or clinical appointments and serve as consultants and occasional lecturers without benefit of stipend. It may cover as well instances of mutually advantageous employment of spouses of full-time academic appointees who have served for a number of years as part-time teaching faculty, with additional duties being assigned as the occasion permits. The category would include academic appointees who are employed primarily as researchers on a government contract, but who may be expected to engage in teaching activities as well. Also included would be individuals who serve as visiting appointees from other institutions. Finally, this groups would include graduate students who are employed as apprentice teachers while pursuing their own advanced degrees.
In order to consider the mutual interests and responsibilities of part-time and associate academic appointees as well as the university as a whole, the President has appointed an
ad
hoc
committee to study the situation. This committee will examine the status of part-time and other associate academic appointees on each campus as well as the university as a whole. It will consider a variety of recommendations relative to the following issues:
b. academic status and change in status,
c. specification of job assignment,
d. systematic reviews of performance,
e. extension of fringe benefit coverage,
f. salary equity,
g. designation of appropriate ranks and titles,
h. other forms of assistance.
The recommendations will be evaluated in terms of their impact upon the tenure and budgetary situation of each campus, as well as the continuity of sound academic programs. Different programs for each campus may be suggested. The committee will assess whether existing regulations and practices have an arbitrary differential impact upon women and minorities, as opposed to non-minority males.
VII. Tenure, Reappointment & Promotion--see DOCUMENT E-X
VIII. Grievance Procedures--see
DOCUMENT D-XIX
IX. Sanctions
A.
OBLIGATION
OF
ALL
APPOINTEES
It is expected that all university appointees will comply with the university's Affirmative Action Plan and that the university will focus particular attention on the recognition of outstanding efforts to further affirmative action.
To encourage all university appointees to recognize affirmative action as an integral part of the function of the University, compliance with affirmative action shall be among the criteria on which persons are evaluated.
B.
EMPLOYMENT
OF
SANCTIONS
The university will continue to use informal and formal communications to deal with problems and questions relating to affirmative action. When these methods fail to secure compliance with affirmative action, one or more sanctions may be imposed by the campus chancellor of by the academic vice president in those units reporting to the University System. These sanctions may be applied to administrative units and/or to individuals by the appropriate administrative office.
1. Sanctions for administrative units include:
a. Reprimand,
b. Permitting an authorized position to be filled only by a temporary appointment for a specified period of time,
c. Not permitting an authorized position to be filled,
d. Providing that the unit bear the cost of compensation retroactive to the time when salary inequities should have been discovered if a proper equity review had been conducted. (Statute of Limitation limits back pay to two years on nonwillful cases and three years on willful cases of discrimination.) It is the responsibility of the immediate administrative officer to bring forward all relevant information in equity reviews.
2. Sanctions for individual academic appointees include reprimand and reassignment, subject to appropriate procedures. A flagrant violation of the university's Affirmative Action Plan may be construed as a violation of the Faculty Code of Ethics and treated accordingly.
AFFIRMATIVE ACTION PLAN FOR THE HANDICAPPED
(Approved: Trustees 1/17/76)
I. General Policy
Indiana University historically has been committed to the principles of affirmative action which guarantees fair and equitable treatment of all persons, including the mentally and physically handicapped. The University provides equal employment opportunities to all employees and applicants for employment who are qualified. Handicapped persons shall be considered for employment, advancement, salary, and benefits on the basis of qualifications and capability to perform in a articular job assignment, provided that such handicaps do not constitute an undue hardship to the employee or to the university.
The University will take affirmative action to treat qualified handicapped individuals without discrimination in all employment procedures, such as: appointment, upgrading, transfer, recruitment or recruitment advertising, termination, compensation, selection for training, and appointment to university committees.
II. Definitions
A. "Handicapped" is defined as any individual who has a physical or mental impairment which constitutes and/or results in a substantial barrier to employment or limits one or more of such person's life activities; has a record of such impairment and/or is regarded as having such an impairment (29 USC 706 (6)).
B. "Qualified employees or applicants" are persons possessing both such physical and/or mental capabilities essential to perform and such specified academic attainments or expertise required of all applicants for positions or candidates for advancement.
III. Responsibility for Implementation
A.
STAFF
APPOINTMENTS
It shall be the responsibility of the Personnel Division and the campus personnel offices to establish procedures for implementation of the Affirmative Action Plan for handicapped individuals. The University Affirmative Action Officer and Campus Affirmative Action Officers will review and recommend updating of the Plan on or before March 31 of each year; investigate complaints of discrimination; and, working with the Personnel Division and campus personnel offices, submit annual reports to the appropriate vice president or chancellor.
B.
ACADEMIC
APPOINTMENTS
It shall be the responsibility of the Deans of the Faculties' Offices and the Campus Affirmative Action Officers to establish procedures for implementation of the Affirmative Action Plan for Handicapped Individuals.
The University Affirmative Action Officer and the Campus Affirmative Action Officers will review and recommend updating of the Plan on or before March 31 of each year; investigate complaints of discrimination; and, working with the Deans of the Faculties' Offices, submit annual reports to the appropriate vice president or chancellor.
IV. Required Elements of Affirmative Action Plan for Handicapped Individuals
A.
DISSEMINATION
The Indiana University general policy of equal opportunity and affirmative action for handicapped individuals will be made known to administrators, supervisors, contractors, and all employees. Efforts will be made to foster understanding, acceptance, support, and encouragement of handicapped individuals within the University community.
B.
POSITIVE
RECRUITMENT
1. Staff Appointments. In addition to notifying traditional recruitment sources of the general policy (above), the Personnel Division and personnel offices on each campus will, with the aid of the Campus Affirmative Action Officers, send notices of position vacancies to those sources serving handicapped individuals.
Examples of such sources follow:
a. State employment agencies,
b. Vocational rehabilitation agencies,
c. Sheltered workshops,
d. Social Service organizations,
e. Educational institutions for the handicapped.
2.
Academic
Appointments. Academic units will continue to use extended advertisement in the filling of academic positions. All solicitations and advertisements for position vacancies willl state "Indiana University is an Equal Opportunity/Affirmative Action Employer." All applicants will be considered without regard to sex, race, religion, national origin, age or handicap.
C.
HIRING AND
APPOINTMENTS
It is the University's policy to hire or appoint the best qualified applicant, without regard to physical or mental handicap, unless it is reasonably determined that the handicap cannot be accommodated without undue hardship to the employee or to the University. ("Undue hardship" to the University might include an established location of offices within an older building which reasonably cannot be made accessible to a handicapped employee.)
D.
ACCOMMODATION
TO
PHYSICAL
AND
MENTAL
LIMITATIONS
OF
EMPLOYEES
Indiana University is committed to make a reasonable accommodation to the physical or mental limitation of an employee or applicant except where the accommodation would impose an undue hardship on the University.
In determining whether undue hardship exists, in each case the following factors will be considered:
2. Financial cost and expenses,
3. Resulting personnel problems.
E.
SALARY
AND
PROMOTION
REVIEWS
The salaries and ranks of handicapped individuals will be reviewed upon request of the individual under procedures established in the Indiana University Affirmative Action Plan, as well as during annual budgetary reviews.
F.
ANALYSIS
OF
STAFF
APPOINTMENTS
The Chief Operating Officer of each campus, with the assistance of the Campus Affirmative Action Officer, will survey the applications for promotions and transfers of qualified handicapped employees currently employed on the campus. This data reflecting appointments and assignments of handicapped employees will be submitted annually by each campus to the Personnel Division for purposes of compilation and inclusion in the University Affirmative Action Report required by national and state agencies. Efforts to utilize fully the skills of currently employed handicapped individuals and to develop their potential skills will be made.
G.
GRIEVANCES
Handicapped individuals who have complaints of discrimination based on their physical or mental handicap may bring them to the attention of their supervisor and the Campus Affirmative Action Officer. Those formal and informal grievance procedures normally employed in the Affirmative Action Plan will be used to resolve complaints.
H.
STUDENT
PROGRAMS
The University will continue efforts to assure that each individual with handicap receives appropriately designed benefits of its educational system. In this regard, administrators and faculty will seek remedies for the problems of public awareness and attitudes that restrict individuals with handicaps from participating in the academic society to their fullest extent.
I.
PLAN
SUPPLEMENTED
The University pledges its full academic community to the purposes and intent which provide the statutory basis for administering aid to the handicapped, as cited in the General Provisions of the Rehabilitation Act of 1973, and will amend or augment the Plan as regulations are issued supplementing the Act.
AFFIRMATIVE ACTION PLAN SUPPLEMENT ON RIGHTS OF DISABLED VETERANS, VIETNAM VETERANS, AND HANDICAPPED INDIVIDUALS
(Approved: BFC 2/6/79, UFC 2/13/79)
This plan, developed to carry out the intent of Section 402 of the Vietnam Era Veterans Readjustment Assistance Act of 1974 and Sections 503 and 504 of the Rehabilitation Act of 1974, will be distributed to all Campus Affirmative Action Offices and Personnel Departments and is available for review upon request.
An Affirmative Action Plan for the Handicapped (approved January 9, 1976, by the Trustees of Indiana University) contains general provisions for fair and equitable treatment of the handicapped. This supplementary statement does not revise those provisions, but more clearly specifies those covered by the Plan and links the handicapped to other special classes.
For purposes of this affirmative action plan, a handicapped individual shall be defined as " . . .any person who (1) has a physical or mental impairment which substantially limits one or more of such person's major life activities, (2) has a record of such impairment, or (3) is regarded as having such impairment...A handicapped individual is substantially limited if he or she is likely to experience difficulty in securing, retaining or advancing in employment because of a handicap."1
"Disabled veteran" is defined as " . . . a person entitled to disability compensation under law as administered by the Veterans Administration for disability rated at 30% or more, or a person whose discharge or release from active duty was for a disability incurred or aggravated in the line of duty."2
"Veteran of the Vietnam era" is defined as " . . . a person (1) who (I) served on active duty for a period of more than 190 days, any part of which occurred between August 5, 1964 and May 7, 1975, and was discharged or released therefrom with other than a dishonorable discharge, or (ii) was discharged or released from active duty for a service-connected disability if any part of such active duty was performed between August 5, 1964 and May 7, 1975, and (2) who was so discharged or released within 48 months preceding the alleged violation of the Vietnam Era Veterans Readjustment Assistance Act of 1974, the affirmative action clause, and/or the regulations issued pursuant to the Act."3
1. Statement of PhilosophyIndiana University is committed to providing educational and employment accessibility to all qualified individuals. Committed to the goal of equal opportunity, Indiana Univer-sity recognizes the need to insure that no qualified individual will be denied participation in the university's programs because of artificial and discriminatory barriers. The university, therefore, guarantees that qualified disabled veterans, veterans of the Viet-Nam era, and handicapped individuals shall not be refused educational opportunity, employment, or advancement for reasons unrelated to specific job performances.
Indiana University reaffirms its commitment to three basic goals:
A. The continuing analysis of current practices and policies and the adoption of new or revised practices and policies when necessary to insure the establishment of effective and specific objectives and procedures for equalizing opportunities in each employment unit.
B. The identification and elimination of all employment practices whose relationship to job performance has not been clearly established and which have adverse impact on disabled veterans, veterans of the Vietnam era, and the handicapped.
C. The insurance that persons with appropriate qualifications and potential shall be afforded equal opportunity for employment, training, promotion, and compensation.
Indiana University, in order to foster these goals, enlists the active and genuine participation of current university employees and encourages voluntary self-identification of those individuals wishing to benefit from academic and employment programs.
2. Responsibilities for Administering Affirmative Action Plan
The President of Indiana University is responsible for the development and implementation of the equal opportunity policy and affirmative action plan. Specific authority and responsibility are delegated by the President as follows:
A. The University Affirmative Action Officer has responsibility for overall coordination of the program and serves as liaison between the university and state and federal agencies concerned with equal opportunity, with special reference to ensuring that all university procedures are in accord with governmental regulations.
In carrying out this assignment, the University Affirmative Action Officer chairs the Campus Affirmative Action Officers Council, whose major functions are:
2. To review all programs to make certain that they insure equal opportunity for participation in all phases of university affairs.
3. To stimulate, facilitate, monitor, and coordinate planning and implementation of affirmative action programs at the general university and campus levels.
B. The University Affirmative Action Officer is appointed by the President and is authorized to structure and coordinate the affirmative action plan, to monitor its implementation, and to assess its accomplishments at the general university level.
C. Basic responsibility for equal opportunity and affirmative action rests with the top chief administrator at each campus. This administrator appoints a Campus Affirmative Action Officer and one or more senior administrative officers to coordinate affirmative action programs at the campus level. In devising specific programs that will implement university policy, and in defining and meeting each campus' affirmative action objectives, each Campus Affirmative Action Officer may be advised and assisted by a committee (consisting, for example, of officers responsible for campus policies and procedures in areas of academic, non-academic, construction, and student employment and including other appropriate representatives as campus needs dictate).
D. Primary operational responsibility for accomplishing university objectives in the eight-campus system in hiring and promoting disabled veterans, veterans of the Vietnam era, and handicapped individuals rests with those campus administrators in charge of academic, non-academic, construction and student employment, and heads of units reporting to them. Not only are they responsible for performing all activities in a manner consistent with the institution's equal opportunity policy, but they shall include in their policies and procedures the implementation of affirmative action and compliance programs developed at the campus level.
3. Internal and External Dissemination of Policy: Formal and Informal
A. Through university policy and procedure manuals and campus publications this institution's policy of, commitment to, and procedures for equal opportunity will be promulgated among campus and community members and agencies within the recruiting area.
B. Administrators with hiring responsibilities will be informed regarding federal hiring and advancement procedures for qualified disabled veterans, veterans of the Vietnam era, and handicapped individuals. Such administrators also will be informed that evaluation of their work performance will take into account the manner in which they carry out their affirmative action responsibilities.1
C. Designated general university and campus administrative officers shall be responsible for communicating the university's commitment to local, state, and national organizations serving the needs of disabled veterans, veterans of the Vietnam era, and the handicapped. The veterans employment representative of the Indiana State Employment Service, the Veterans Administration Regional Office, the Office of the National Alliance of Businessmen, campus veterans counselors/ coordinators, service officers of the several national veterans organizations and local service centers, and the several organizations which serve disabled veterans and veterans of the Vietnam era will be called upon as needed to assist the university. State vocational rehabilitation agencies, sheltered work-shops, state educational agencies, labor organizations, organizations of and for the handicapped, and educational institutions which participate in training of the handicapped will be informed of Indiana University programs.
D. The responsible university officials will advise all contractors, subcontractors, vendors, and suppliers of their responsibilities under Section 402 of the Vietnam Era Veterans Readjustment Assistance Act of 1974 and under Section 503 of the Rehabilitation Act of 1973 and will reference both acts in all covered contracts, purchase orders, and leases. Nondiscrimination clauses will be included in all contracts and subcontracts, and posters in support of affirmative action will be displayed.
E. The responsible Personnel Services Office staff will inform union officials of the university's policy and their full cooperation will be requested in the recruitment, employment, and training of disabled veterans, veterans of the Vietnam era, and handicapped individuals. Contractual provisions of union contracts will be reviewed to ensure that they are nondiscriminatory.
Nondiscrimination clauses will be included in all union contracts.1
F. The university continually shall review all job qualification requirements to determine possible screening out of disabled veterans, veterans of the Vietnam era, and handicapped persons. When any such tendency is identified, these job qualifications will be further reviewed to determine job-relatedness and consistency with business necessity and the safe performance of jobs. The university continually will review personnel practices and procedures to assure that they result in careful, thorough, and systematic consideration of the job qualifications of persons known to be disabled veterans, veterans of the Vietnam era, and handicapped persons.
G. Reasonable physical accommodation of disabled veterans, veterans of the Vietnam era, and handicapped persons will be determined through consultation with line management, representatives from the covered groups, and consultant groups, and then will be made with consideration of business necessity and financial costs and expenses.2
4. Identification of Individuals Covered
Persons identifying themselves for coverage under this plan will be asked (a) to describe any special methods, skills, and procedures required for positions that they presumably might be unable to fill because of their disablement or handicap, and (b) to alert the university regarding accommodations which may be made to enable them to perform their jobs properly and safely, including special equipment, changes in the physical layout of the job, and elimination of certain duties related to the job.
The university may request medical documentation or may require an applicant or employee to undergo a comprehensive medical examination at the university's expense. The university will make every effort to assist persons identified as handicapped to reach their full employment potential.
Self-identification shall be voluntary and refusal will not subject a person to discharge, disciplinary action, or other adverse treatment. Information obtained concerning individuals shall be kept confidential except that (a) supervisors may be informed regarding restrictions on the work or duties of disabled or handicapped individuals, (b) first aid and safety personnel may be informed, when and to the extent appropriate, if the condition might require emergency treatment, and (c) government officials investigating compliance with the act shall be informed.
A. Persons wishing to be considered for protected class employment as handicapped persons will be asked to identify themselves based on the categories currently defined in the regulatory acts.
B. Each campus shall analyze employment records and the profiles of self-identified persons in order to ascertain:
2. The nature of the applicant flow.
3. Salary and rank differential, if any, between persons covered by Sections 402, 503, and 504 and other employees.
4. >The composition of committees and other mechanisms for selection and promotion of staff.
5. Grievance Procedures
The university has adopted "Guidelines for Grievance Procedures for Complaints of Discrimination," and the separate campuses also have adopted grievance procedures to cover complaints of faculty, staff, and students concerning alleged discrimination by the university on the basis of race, sex, national origin, religion, age, handicap, or status as disabled veteran, or veteran of the Vietnam era. These procedures are available for disabled veterans of the Vietnam era and handicapped persons who seek relief of alleged pre-employment or employment discrimination.
AFFIRMATIVE ACTION RECRUITMENT AND RETENTION OF MINORITY AND WOMEN FACULTY
(Approved: BFC 4/16/85, 9/24/85, 11/5/85)
A. Recruitment Incentive
The campus administration should allocate funds for hiring at least two minority faculty or librarians per year at the assistant or associate level for the next five years. Any funds not used in one or more of these five years may be used in subsequent years. The positions created would be available to all units on campus; however, in the event of multiple requests for these positions, those requesting units with demonstrable need for minority faculty would be preferred.
Such positions should be made available to a department, or shared appointments in departments, on the basis of the contribution which a minority faculty member could make to the program, the candidate's promise for future contribution, and the plan of the department or departments for fostering the candidate's professional growth at Indiana University. If the minority faculty member occupying the position funded by the campus administration should leave the university by resignation or termination at any time within five years of his or her initial appointment, the position would be returned to the campus administration and reserved for another minority faculty member. The department or departments acquiring these positions would not be required to count them as part of the FTE's during the initial five years.
B. Retention and Professional Growth
In order to increase the attractiveness of offers made to minority candidates, such candidates should be eligible for special incentives to professional growth. Incentives might include the following provisions during the first three years of the faculty member's initial contact period: a reduced teaching load to facilitate research and publications; one or more university- funded summer research grants; full transportation to one or more professional conferences each year. An arrangement should be made within the appointing department or between the two appointing departments for regular encouragement and assistance to the faculty member's professional growth. When appropriate, the candidate's appointment might be primarily in his or her academic field and secondarily in another department which could assist in providing such a supportive environment, such as the Department of Afro-American Studies.
C. Minority and Women Tenure Incentives
The campus administration should allocate funds for the hiring of at least one woman and one minority at the tenured level each year for the next five years. The persons selected for these positions would have the same credentials as those persons on our campus who are tenured. The funds for these appointments would be available to all departments, and priority should be given to those departments with demonstrable need for additional faculty.
D. Mechanisms for Implementing This Proposal
The campus administration would establish a campus-wide committee to help identify qualified minority and women candidates for faculty appointments. The committee should include advocacy deans, the Affirmative Action Officer, and faculty members who are committed to affirmative action. An annual report should be made by this committee to the Bloomington Faculty Council Affirmative Action Committee.
DOCUMENT B-VIII
MINORITY SUMMER FACULTY RECRUITMENT PROGRAM
(Approved: BFC 3/4/86)
We propose the establishment of a minority summer faculty recruitment program in which each year for three years, beginning in the summer of 1986, up to 15 qualified Black, Hispanic, and Native American scholars and scientists are invited to teach one class on the Bloomington Campus during the second (8-week) Summer Session. Each visiting faculty member in this program will be paid by the department or school in which he or she teaches a summer salary equivalent to that ordinarily paid to a faculty member at the same rank. This salary will be paid from the summer budget of the department or school; it will be supplemented by an award of $2500 from the Vice President's office which the department or school can use to defray the travel and living expenses and assist the research of the visiting faculty member. The program will be directed by a tenured faculty member appointed by and reporting to the Vice President, IUB. The purpose of the program is to introduce to the campus minority faculty members to whom departments and schools might later appropriately offer a faculty appointment.
ANTI-NEPOTISM POLICY
(Approved: Trustees 5/31/40, 3/26/60, 6/29/74)
1. General Provisions
a. No person shall be recommended for employment on an appointment basis who is related by blood or marriage to a member of the State Board of Education, or to a member of the Trustees of Indiana University.
b. It is contrary to University policy that any full-time, part-time, or temporary employee be employed in or transferred to a position which establishes an immediate supervisor/ employee relationship between two individuals who are related by blood or marriage.
c. The degrees of relationship included in the above restrictions are as follows:
By blood: Parent, child, grandparent, grandchild, brother, sister, uncle, aunt, nephew, niece, first cousin.
By marriage: Husband, wife, step-parent, stepchild, brother-in- law, sister-in-law, father-in-law, mother-in-law, son-in-law, daughter-in-law, half-sister, half-brother, uncle, aunt, nephew, niece.
d. Determination of "immediate supervision" in each instance is made by the appropriate Vice President or Chancellor, who takes into account the day-to-day functions of supervision and whether or not the supervisor is the sole person competent to judge such issues as hiring, retention, promotion, and salary. The Vice President or Chancellor brings to the attention of the Trustees of Indiana University, before appointment or transfer, instances in which two members of the same members of the same family will be employed in the same unit; the Vice President or Chancellor will demonstrate that immediate supervision is not involved.
2. In the event of marriage between University appointees creating a relationship not in accord with the provisions of paragraph 1.b., one of the persons affected must give up that position by end of the fiscal year or within six months from the date the relationship was established, whichever is the greater period, but may be re-employed in another position compatible with the provisions of paragraph 1.b.
3. In the recruitment of new academic appointees, the University adheres strictly to its current anti-nepotism policy. Because the implementation of this policy may work a severe hardship on
current
employees and may tend to cause more of an adverse impact upon one sex than another, the administration is authorized to institute alternative procedures on a trial basis to cover situations of potential nepotism involving
current
employees. These procedures are to be carefully monitored and evaluated.
4. Stipends to students as scholarships, fellowships, or assistantships shall not constitute employment within the provisions of this regulation.
5. Whenever a person recommending, or considering the acceptance of, an appointment to a staff, faculty, or other position has reason to believe that a relationship by blood or marriage of the kind described exists or may exist, he should report the facts to the Office of University Counsel and campus Chancellor or Vice President of the unit so that a determination may be made prior to the actual appointment.
(Administrative
Practice)
INDIANA STATE STATUTE--"GHOST EMPLOYMENT"
(Indiana State Statute IC 35-44-2-4)
Sec. 4.
(a) A public servant who knowingly or intentionally:
2. fails to assign to the employee any duties, or assigns to the employee any duties not related to the operation of the governmental entity; commits ghost employment, a Class D felony.
(b) A public servant who knowingly or intentionally assigns to an employee under his supervision any duties not related to the operation of the governmental entity that he serves commits ghost employment, a Class D felony.
(c) A person employed by a governmental entity who, knowing that he has not been assigned any duties to perform the entity, accepts property from the entity commits ghost employment, a Class D felony.
(d) A person employed by a governmental entity who knowingly or intentionally accepts property from the entity for the performance of duties not related to the operation of the entity commits ghost employment, a Class D felony.
(e) Any person who accepts property from a governmental entity in violation of this section and any public servant who permits the payment of property in violation of this section are jointly and severally liable to the governmental entity for that property. The attorney general may bring a civil action to recover that property in the county where the governmental entity is located or the person or public servant resides.
- As added by Acts 1977, P.L. 340, SEC.58.
SEARCH AND SCREEN PROCEDURES FOR INDIANA UNIVERSITY ADMINISTRATORS
(Approved: UFC 3/9/76, 10/27/87;
Trustees 12/18/76)
Administrative officers holding positions which bear directly on the teaching/research mission of the University shall be chosen through a formal process referred to as search and screen. These procedures shall apply to the offices of the President, the Vice President for Academic Affairs, the Vice Presidents for Indianapolis and Bloomington campuses, the chief administrative officers of the regional campuses, the Dean of International Affairs, the Dean for Learning Resources, and any other system-wide officers serving with comparable responsibilities under different titles. Any question regarding which officers fall under these guide-lines shall be resolved by consultation between the appointing officer and a committee composed of the members of the University Faculty Council's Agenda Committee and Nomination Committee.
Administrative officers with university-wide authority and responsibilities, who are not included in the preceding paragraph, shall be chosen by the President or the appointing officer in collaboration with faculty representatives designated by the University Faculty Council's Nomination Committee. During this collaborative process, the President or appointing officer will be expected to review with the faculty representatives the circumstances and needs of the position, consult with them about the selection procedures, and keep them informed of the progress of the search. The President or appointing officer will give the faculty representatives the opportunity to interview the final candidates and to offer their advice before the final selection is made.
When the position to be filled bears on the teaching/research mission of the University, a majority of the members of the search and screen committee shall be from the faculty. Further, in searching for the chief administrative officer for a particular campus, a majority of members shall be chosen by the appointing officer from a list of faculty on that campus recommended by an appropriate campus faculty body. In the case of system-wide officers, including the Bloomington and Indianapolis Vice Presidents, the number of faculty recommended from among the Bloomington, Indianapolis, and regional campuses shall be in rough proportion to the degree these campuses fall under the jurisdiction of the administrative position being filled. The University Faculty Council's Nomination Committee will be charged with submitting a list of prospective search and screen committee members for approval by the University Faculty Council for submission to the appointing officer. The lists should contain roughly one-third more names than requested by the appointing officer so as to provide him or her some choice in appointing faculty to the committee.
Appointing officers shall make their requests for the creation of search and screen committees in such a manner that ample time is available for the process, so that "acting" appointments are minimized in number and duration. Whenever possible, the search and screen committee should be appointed at least a semester before the position is available, and no more than 30 days after the vacancy appears.
The appointing officer is the President of the University, unless he or she delegates that authority, except in the case where a search and screen committee is being appointed for the Office of the President, in which case the President of the Trustees of Indiana University is the appointing officer. In addition to receiving nominees for search and screen committees from the University Faculty Council, the appointing officer is expected to solicit nominees from appropriate representative student bodies as well as nominees drawn from other appropriate constituencies. He or she will also arrange for adequate staff and financial support for the activities of the search and screen committee.
The search and screen committee shall establish its own operating procedures including the responsibility, with the assistance of the University Affirmative Action Officer, of insuring that recruiting procedures are in compliance with the University's affirmative action directives.
The search and screen committee shall make its recommendations in writing to the appointing officer. In the event that the appointing officer is unable or unwilling to appoint any of the nominees from those recommended by the search and screen committee, he or she shall communicate this result to the committee with a statement of the reasons why and shall request further recommendations.
The Trustees of the University, in the eventuality of a vacancy in the Presidency, accept the desirability of consultation with the faculty, staff, and students of the University as well as with other University constituencies in the course of determining the selection of a President.
Furthermore, the Trustees acknowledge the "search and screen"
approach as a useful method of consultation in the case of identifying candidates and making a selection of a President. Furthermore, the Trustees understand that the Affirmative Action Plan and Policy which they have earlier adopted will apply fully in the case of the appointment of a President.
BLOOMINGTON CAMPUS SEARCH AND SCREEN PROCEDURES FOR MAJOR ADMINISTRATIVE POSITIONS
INDIANA UNIVERSITY
(Approved: BFC 3/18/75, 9/23/75, 10/21/86, 2/7/95)
1. Major IUB administrative positions whose functions bear directly on the teaching/research mission of the Bloomington Campus shall be filled through a formal search and screen process similar to that used for other academic positions, entailing a search and screen committee, search forms and advertising. Applicable positions are those subject to BFC Review Procedures for Bloomington Campus Administrators. Though titles and number of positions may vary, these 17 were covered as of spring 1995:
B. Affirmative Action Officer
C. Dean, Afro-American Affairs
D. Dean, College of Arts and Sciences
E. Vice Chancellor and Dean, Budgetary Administration and Planning
F. Dean, School of Education
G. Dean, School of Health, Physical Education and Recreation
H. Associate Vice President for Information Technologies/Dean of Academic Computing
I. Dean, School of Journalism
J. Dean, Latino Affairs
K. Dean, School of Law
L. Dean, School of Library and Information Science
M. Dean, School of Music
N. Vice President for Research/Dean of the University Graduate School
O. Dean of Students
P. Dean, University Libraries
Q. Dean, Women's Affairs
2. To assure equal access to potential advancement opportunities, major administrators shall inform all faculty in their unit of openings for associate dean, assistant dean, director and department chair positions to be filled internally (thus not subject to regular search and screen procedures), and solicit nominations and advice.
Before making these internal appointments, administrators shall consult with their unit's representative faculty body or its elected officers, and solicit comments from the Affirmative Action Officer on the affirmative action/equal opportunity record of prospective appointees. The major administrator shall notify the Affirmative Action Officer of appointments, so the Officer can give the appointee information on personnel responsibilities in areas such as search and screen, student rights, personnel disputes and conflicts of interest.
Before filling internally other positions with academic rank, major administrators shall consult with the head of the representative faculty body and the Affirmative Action Officer as to whether faculty and other academic employees in the unit should be informed of the opening.
3. As appointing officer for major IUB administrative positions, the Chancellor shall appoint search committees to aid in filling them. The Chancellor shall appoint a search chair after consulting with the BFC President Pro Tempore and other campus leaders as appropriate. The Chancellor shall select other committee members in consultation with the chair, drawing a majority of each committee from names submitted by the BFC Nomination Committee, the Professional Council and IUSA.
If the search is for dean of a school or of university libraries, faculty of that unit shall comprise a majority of the search committee. In such cases, the policy committee or other representative faculty body of the unit shall submit names to the BFC Nomination Committee.
4. When possible, the Chancellor shall appoint the search committee preferably a year, but at least 180 days before the vacancy occurs, thus minimizing the need for interim appointments. Except in cases where a resignation is announced more than a year in advance, the committee shall be appointed no more than 60 days after the vacancy is announced or occurs, whichever comes first.
The Chancellor shall convene the committee, with the BFC President Pro Tempore in attendance, within two weeks of announcing membership.
5. To aid recruitment and consideration of people supported by federal affirmative action law, the Chancellor and campus groups that nominate search committee members shall make good faith efforts to place women, minorities, Vietnam-era veterans and people with disabilities on search committees. Minorities here means African Americans, Asian Americans, Hispanic Americans and Native Americans.
6. Major administrative search committees shall be no larger than is necessary to represent constituencies of the position. Membership of more than 12 is unwieldy.
7. The Chancellor shall give the search committee a written charge stating names of committee members, the role of the committee and its chair, the job description, the scope of the search, and time line guidelines. Additional expectations may be stated in the written charge or discussed at the first meeting.
8. The search committee shall review the job description and may recommend changes to the Chancellor. Any such changes would be discussed with the appropriate faculty body.
9. Before publicizing the vacancy, the search committee or its chair shall meet with the IUB Affirmative Action Officer or the Officer's representative regarding the role of affirmative action and equal opportunity in searches.
10. Before starting recruitment, the search chair shall submit a Vacancy Notice to the Affirmative Action Officer and Vice Chancellor for Academic Affairs. Before setting interviews, the chair shall submit an Interview Request to the Affirmative Action Officer and Vice Chancellor for Academic Affairs. The Affirmative Action Officer and Vice Chancellor for Academic Affairs may approve exceptions to procedures for reasons such as urgency or confidentiality. The Chancellor shall send copies of the offer letter, stating all terms of the offer, to the Affirmative Action Officer and Vice Chancellor for Academic Affairs.
11. The search chair and Chancellor shall arrange for the Affirmative Action Officer to attend with other campus administrators an interview with each finalist. The Officer shall submit comments to the search committee and the chancellor on finalists' commitment and contribution to affirmative action and equal opportunity.
12. The search committee shall submit written recommendations, as requested in the charge, to the Chancellor. If the Chancellor rejects these, the Chancellor shall give the committee a statement of reasons and request further recommendations.
13. The Chancellor shall designate a secretarial assistant to assist the search committee with record-keeping, bookkeeping and correspondence; provide records, including ads and form letters, of the last search for the position; place ads and announcements; and make search-related travel arrangements.
UNIVERSITY SEARCH AND SCREEN PROCEDURE
(Approved: Trustees 12/18/76)
The Trustees of the University, in the eventuality of a vacancy in the Presidency, accept the desirability of consultation with the faculty, staff and students of the University as well as with other university constituencies in the course of determining the selection of a President.
Furthermore, the Trustees acknowledge the "Search and Screen" approach as a useful method of consultation in the case of identifying candidates and making a selection of a President. Furthermore, the Trustees understand that the Affirmative Action Plan and policy which they have earlier adopted will apply fully in the case of the appointment of a President.
INITIAL OFFER LETTERS
(Approved: BFC 9/21/76)
In the offer letter sent at the time of initial hiring of a new faculty member, the appropriate unit head or department chairperson shall describe briefly the kinds of professional duties expected from faculty members at Indiana University and shall state how the criteria for promotion and tenure are likely to apply in the individual faculty member's case. This letter shall have been approved by the Dean of the Faculties prior to being sent.
STATEMENT ON RECRUITMENT AND RESIGNATION OF FACULTY MEMBERS
(Approved: AAUP 1990)
The Statement on Recruitment and Resignation of Faculty Members, reprinted below, was adopted by the Association of American Colleges in January, 1961, with the following reservations as set forth in a preamble prepared by that Association's Commission on Academic Freedom and Tenure:
1. No set of principles adopted by the Association can do more than
suggest
and
recommend
a course of action. Consequently, the present statement in no way interferes with institutional sovereignty.
2. The Commission realizes that the diversity of practice and control that exists among institutions of higher learning precludes any set of standards from being
universally
applicable to every situation.
3. The statement is concerned only with
minimum
standards and in no way seeks to create a norm for institutions at which "better" practices already are in force.
4. The Commission recognizes the fact that "emergency" situations will arise and will have to be dealt with. However, it urges both administration and faculty to do so in ways that will not go counter to the spirit of cooperation, good faith, and responsibility that the statement is seeking to promote.
5. The Commission believes that the spirit embodied in the proposed statement is its most important aspect.
In view of these reservations, the Council of the American Association of University Professors, in April, 1961, voted approval of the Statement without adopting it as a binding obligation. Endorsement of the Statement in this form was voted by the Forty-Seventh Annual Meeting.
Mobility of faculty members among colleges and universities is rightly recognized as desirable in American higher education. Yet the departure of a faculty member always requires changes within his institution, and may entail major adjustments on the part of his colleagues, the administration, and students in his field. Ordinarily a temporary or permanent successor must be found and appointed to either his position or the position of a colleague who is promoted to replace him.
In a period of expansion of higher education, such as that already existing and promising to be even more intensified as a pattern for the coming years, adjustments are required more frequently as the number of positions and of transfers among institutions increases. These become more difficult than at other times, especially in the higher academic ranks. Clear standards of practice in the recruitment and in the resignations of members of existing faculties should contribute to an orderly interchange of personnel that will be in the interest of all.
The standards set forth below are recommended to administrations and faculties, in the belief that they are sound and should be generally followed. They are predicated on the assumption that proper provision has been made by employing institutions for timely notice to probationary faculty members and those on term appointments, with respect to their subsequent status. In addition to observing applicable requirements for notice of termination to probationary faculty members, institutions should make provision for notice to all faculty members, not later than March 15 of each year, of their status the following fall, including rank and (unless unavoidable budget procedures beyond the institution forbid) prospective salary.
1. Negotiations looking to the possible appointment for the following fall of persons who are already faculty members of other institutions, in active service or on leave-of- absence and not on terminal appointment, should be begun and completed as early as possible in the academic year. It is desirable that, when feasible, the faculty member who has been approached with regard to another position inform the appropriate officers of his institution when such negotiations are in progress. The conclusion of a binding agreement for the faculty member to accept an appointment elsewhere should always be followed by prompt notice to his institution.
2. A faculty member should not resign in order to accept other employment as of the end of the academic year, later than May 15 or 30 days after receiving notification of the terms of his continued employment the following year, whichever date occurs later. It is recognized, however, that this obligation will be in effect only if institutions generally observe the time factor set forth in the following paragraph for new offers. It is also recognized that emergencies will occur. In such an emergency the faculty member may ask the appropriate officials of his institution to waive this requirement; but he should conform to their decision.
3. To permit a faculty member to give due consideration and timely notice to his institution in the circumstances defined in paragraph 1 of these standards, an offer of appointment for the following fall at another institution should not be made after May 1. The offer should be a "firm" one, not subject to contingencies.
4. Institutions deprived of the services of faculty members too late in the academic year to permit their replacement by securing the members of other faculties in conformity to these standards, and institutions otherwise prevented from taking timely action to recruit from other faculties, should accept the necessity of making temporary arrangements or obtaining personnel from other sources, including new entrants to the academic profession and faculty personnel who have retired.
5. Except by agreement with his institution, a faculty member should not leave or be solicited to leave his position during an academic year for which he holds an appointment.
NON-DISCRIMINATION BASED ON SEXUAL ORIENTATION
(Approved: BFC 3/5/91)
Part 1
The Bloomington Faculty Council:
1. Reaffirms that section I.A.2.c of the Code of Student Ethics pertaining to discrimination based on sexual orientation is a fundamental policy of the university.
2. Affirms that sexual orientation is a factor unrelated to the achievement of excellence in the fundamental missions of the university, and members of the academic community are highly valued irrespective of their sexual orientation.
Part 2
The ROTC program provides Indiana University students with substantial financial support and a course of study in military science and aerospace studies. Officer training in a civilian environment is in the national interest, and the elimination of all ROTC programs from college campuses could have a very unfortunate impact on the culture of the military. However, because discrimination based on sexual orientation is practiced in the ROTC program, and because university policy does not condone such discrimination, the Bloomington Faculty Council recommends:
3. That all members of the university community, and most particularly including the officers and trustees of Indiana University, actively participate in efforts to change Defense Department policy, which is directly responsible for discrimination against Indiana University students. As an act of Congress would be one way to implement such a change in policy, Indiana's congressional delegation should be a particular focus of these efforts.
4. That notwithstanding the value of the ROTC program, if the program discriminates against Indiana University students based on sexual orientation as of the beginning of the 1995-96 academic year, the ROTC program on the Bloomington campus be phased out beginning at that time and be terminated at the end of the 1998-99 academic year. Therefore, the 1995-96 freshman class would be the last with an option to enroll in the ROTC program with the expectation of completing the program on the Bloomington campus. It is the hope of members of the Bloomington Faculty Council that Recommendation 4 will not have to be implemented.
However, the recommendation reflects a strongly held belief that discriminatory practice of this type has no place in an academic community.
5. A copy of this resolution be forwarded to members of the Indiana congressional delegation and to President Bush and to General Powell and to Secretary of Defense Cheney.
SEXUAL ORIENTATION AND ROTC
(Approved: Trustees 5/3/91)
1. The Trustees reaffirm their support for the Reserve Officer Training Corps (ROTC) programs at Indiana University, because they provide scholarship opportunities for students who might otherwise be unable to attend the University, and because those programs ensure that some commissioned officers in the armed forces will be educated at IU and similar institutions of higher education, and because it provides an important service to our country.
2. The Trustees reaffirm their support for the Code of Student Ethics, including section I.A.2.c. (now the
Code of Student Rights, Responsibilities, and Conduct, section I.A.2.a.) which provides that "the University does not condone discrimination based on sexual orientation," and also reaffirm that this section does not preclude ROTC programs at the University.
3. The Trustees encourage the University administration, working through appropriate national organizations, to urge the Defense Department to re-examine military policies of discrimination based on sexual orientation.
4. The Trustees encourage the University administration to support scholarly research by IU faculty, perhaps with faculty at other colleges or universities, concerning the impact on workplaces comparable to military workplaces of policies precluding discrimination based on sexual orientation, with a view toward sharing the results of that research with the Defense Department and the public.
DOCUMENT B-XVIII
ROTC CONTRACTS
(Approved: Trustees 10/20/92)
The BFC urges President Ehrlich to renegotiate the Army and Air Force contracts according to which we offer military science courses for credit on the Bloomington Campus. Every effort should be made so that the new, up-to-date, comprehensive contracts take into account the concerns of members of the Indiana University- Bloomington community. Those concerns include but are not limited to the lack of faculty review of the programs and disparity between the policies of the program and the Academic Handbook and Code of Student Ethics.
The Appointment Process--Section CAdministrative Explanations and Procedures
ACADEMIC APPOINTMENTS
Terms of Appointment: Faculty/Librarians
Appointment Forms
PAF Samples
PAF Instructions
Personal & Professional History Form
Employment Eligibility Verification (I-9 Form)
Immigration Requirement
Appointment Dates
Retroactive PAF's
SUMMER FACULTY APPOINTMENTS
Teaching
Non-teaching
Summer Exceptions
Fringe Benefits on Summer Pay.
Sample Summer Form
STUDENT APPOINTMENTS
Student Title Definitions
Faculty Council Actions Relevant to AIs
Appointment Procedures
Student Agreement Form
Fee Remissions
Student Summer Appointments
Graduate Work-Study Guidelines .
Sample Appointment Form
Sample Application and Agreement Form
OTHER APPOINTMENTS
Faculty Part-time Appointment Prior to Retirement
Faculty Appointment after Retirement
Documents
Explanations and procedures in this section are based on
the following official documents located at the end of this Section.
Notice of Terms of Initial Appointment DOCUMENT C-I
(from Policies Governing Reappointment and Non-Reappointment During Probationary Appointment Period, DOCUMENT E-X)
Summer Faculty Salary Policy DOCUMENT C-II
Definition of Graduate Student Academic Appointments DOCUMENT C-III
Associate Instructors DOCUMENT C-IV
Course Guidelines
Faculty Council Membership
AI Affairs Committee
Charge to Committee
AI Elections to Faculty Council
Dual Status of AIs
Handbook
Agreement Form
Written Appointment
Parking
Termination Procedures
AI Training
Fee Remissions DOCUMENT C-V
English Proficiency for Foreign AIs DOCUMENT C-VI
AI Compensation DOCUMENT C-VII
AI Participation on Departmental Committees DOCUMENT C-VIII
AI Selection Criteria DOCUMENT C-IX
The University Faculty Council and the Board of Trustees have approved a policy which requires that new appointees at faculty and librarian ranks be advised of all the terms of their appointment, the duration of the probationary period, and the criteria and procedures relevant to reappointment and tenure. (See DOCUMENT C-I.) The Dean of the Faculties Office has assumed responsibility for seeing that new faculty members and librarians are so advised.
This information is to be supplied to the appointee before or at the time of the initial appointment and must be agreed to in writing by the appointee. At the time the Board of Trustees or Administrative Officers officially approve the appointment, the Dean of the Faculties Office makes sure that the new faculty member has the following documents:
-
the signed Offer to Recommend Appointment which contains the tenure agreement;
-
a copy of the policy concerning reappointment and non-reappointment during the probationary period;
-
a copy of the Faculty Council procedures and criteria for promotion and tenure;
-
a copy of any school, department, and campus procedures and criteria for reappointment, promotion, and tenure decisions;
- a form for the appointee to sign and return as an indication of agreement to all terms of the appointment, as well as the criteria and procedures described.
The 3A Academic Personnel Action Recommendation Form (PAF) is available from Central Stores and is to be used for all academic non-student appointments. It is used for initial appointments by filling in only the left side of the form, and for all changes in status, whether budgetary or titular, by putting the present, preceding, or most recent appointment information on the left with a description of the changed status on the right.
All academic appointees are on either the academic year or the twelve-month payroll. None are paid on the bi-weekly payroll, and no time or absence records need be maintained. No students are appointed on these forms.
A copy of the instructions for filling out academic action forms followed by a set of samples which may serve as models for the various kinds of actions follow.
It is important that the attachments and explanations requested in the instructions accompany the form when it is sent forward. Note in particular that an attachment is required for all new academic appointees--the Personal and Professional History (see p. C-10 11). Signatures are required from, and the PAF should be circulated to, all units having budgetary or titular involvement with the action. It will help to speed up the whole appointment and compensation process if forms are complete when they reach the Dean of the Faculties Office.
The Academic Personnel Action Form (PAF) is the primary document completed to accomplish appointments and status changes for academic appointees with ranks beginning with IR, LI, MD, and RI.
Name and Action
This data identifies the employee to whom the action applies and the nature of the action.
Social Security Number: Enter the identification number assigned by the Social Security Administration. In the event that no number has been assigned, leave this blank. The Campus Payroll Office will assign a number to the appointee. Be certain the appointee has applied to the Social Security Administration for a number to be transmitted to the Campus Payroll Office.
Name: Enter the appointee's legal name in the format last, first, middle initial, suffix (e.g., McGrath, Kevin P., Jr.).
Campus Address: Enter the building and room or street address where the appointee is physically located and officially receives university correspondence.
Campus: Enter the campus where the appointee is physically located and officially receives university correspondence.
Recommended Actions: The codes listed below identify specifically the actions to be taken. Place an "X" in the box next to each action to be effected by the PAF. If there is a space for a code to the right of the checked action, write in one of the codes given below. If an unlisted action is to be performed, write it in the blank labeled Other/ Explanation. Also use this space to explain any action that is not self-evident.
ACTION CODES
APPOINTMENT
01 Initial Academic Appointment
02 Reappointment
CHANGE IN BUDGET PROVISION
13 Change in Percent Time
14 Change in Distribution
15 Change in Rate
16 Change in Pay Cycle
CHANGE IN WORK OR TITLE
17 Change in Rank
18 Change in Title
20 Add Title
LEAVES (Use reason code below or explain action.)
21 Take Leave
23 Cancel Leave
24 Change in Leave Dates
25 Change in Leave Type
SPECIAL ALLOWANCES
27 Administrative Supplement
28 Cost of Living Adjustment
29 Displacement Allowance
30 Overseas Allowance
31 Research Leave Supplement
OVERLOAD 09
SUMMER FACULTY APPOINTMENTS
05 Summer Curriculum Development
06 Summer Administration
SUMMER FACULTY APPOINTMENTS
07 Summer Research
08 Summer Teaching
TERMINATIONS 10
In explanation section supply reason:
Appointment Terminated
Appointment Expired
Disability Retirement
Early Retirement
Early Retirement under 18-20
Mandatory Retirement
Physical disability
Resignation
Cancellation
Other Employment
Deceased
OTHER
03 Intercampus Transfer
04 Transfer To/From Staff
36 Reclassification
Enter current or initial title information on the side denoted as Initial, Current, or Preceding Appointment. Enter changed or additional title information on the Change Recommended side. If nothing has changed, enter "SAME" on the Change Recommended side.
Rank: Enter the official university rank code (see page A-3 for code options).
Title: Enter the official university title(s).
Department: Enter the functional unit in which the appointee fulfills the duties and responsibilities of the title.
School/Division/Campus: Enter the administrative unit to which the appointing department reports and the geographic campus location of the department awarding the title.
Title Start/Stop Dates: The month/day/year upon which the title(s) becomes effective and ends. For an academic year (10 pay) appointment only month and year are used (e.g., 8/85, 5/86). Leave the end date blank for non-limited or tenured appointments. (You may refer to the listings of all academic appointees sent out each Fall by the Dean of the Faculties to ascertain correct title starting dates.)
The left side of the PAF is used to enter initial or current information. The recommended or proposed changes are entered on the right side. If nothing has changed, enter "SAME" on the right side.
Effective Dates: Enter the dates when the funding distribution shown becomes effective and ends and when non-title actions become effective and end. For academic-year actions/funding use only month and year (e.g., 8/85, 5/86). For all others, use month/day/year.
Job Number: Currently this field is not used--please leave it blank.
Voucher Distribution Account: This is an identifying account number which may be used to facilitate management of funding. If an entry is made in this field, all account distributions for this action will appear on the voucher of the account entered. (The account manager must have signature authority for all accounts.) If no entry is made, accounts are listed on separate account vouchers. This option allows the management of all account distributions from one place. (This option will not be utilized until new monthly vouchers are available.)
PAF Distribution Department: Currently this field is not used--please leave it blank.
Pay Cycle: Place an "X" in the box next to the schedule of payments to the appointee--whether ten payments per year (academic year), twelve payments per year (fiscal year), or a summer payroll. (Leave boxes blank for summer appointments not coinciding with summer session.)
Full-Time Rate/Base: Enter the full-time annual rate upon which remuneration paid to this appointee is based. The base indicates whether the full-time rate is on a ten payment (academic year) or twelve payment (fiscal year) basis.
Account Number: Enter the seven digit number for the account referenced.
Position Number: Enter the four digit number assigned to the position in the budget. (If position is unknown, leave blank and the Budget Office will assign the next available line number.)
Pay Period Amount: Enter the amount to be paid for a full pay period from the designated account--do not compute partial pay period amounts.
Total Amount: Enter the total amount to be paid from the designated account for the period indicated by the effective dates. If partial pay periods are involved, confer with the Campus Payroll Clerk responsible for the account.
Percent Time: Enter the percent of full-time expended by the appointee on the activity or project funded by the account during the period indicated by the effective dates.
Earnings Type: Enter the appropriate code(s) to describe the type of earnings. The codes are:
| ACADEMIC YEAR | FISCAL YEAR |
| A10- 10 Pay Academic | A12- 12 Pay Academic |
| A01- 10 Pay Academic Overload | A02- 12 Pay Academic Overload |
| R10- 10 Pay Research Leave Supplement | R12- 12 Pay Research Leave Supplement |
| OSA- 10 Pay Overseas Allowance | OSS- 12 Pay Overseas Allowance |
| DSP- 10 Pay Displacement Allowance | DSP- 12 Pay Displacement Allowance |
| COL - 10 Pay Cost of Living Allowance | COL - 12 Pay Cost of Living Allowance |
SAF - Summer Academic--Irregular
SMF - Summer Academic Summer Session
Totals: Enter the sum of figures in the Pay Period Amount, Total Amount and Percent Time columns.
Budgeted Position: If the position has sufficient funds to accommodate the recommended action, put an "X" in the BUDGETED POSITION box, skip over the remaining instructions and proceed to the Nine Month Indicator section below.
Salary Level: If additional funds are required and the source is from an academic position(s) within the same account, put an "X" in the SALARY LEVEL box, and enter the account position and amount information (current and/or base). The position identified is the position from which the additional funds will be transferred. (No separate budget transfer form is required.)
Budget Transfer: If the source of additional funds is from a non-academic expense level or from another source, put an "X" in the BUDGET TRANSFER box and enter the account, positions and amount information (current and/or base). A separate budget transfer form is required to transfer the additional funds.
Nine Month Indicator: Enter an "X" in the YES box if appointee will work at least nine months. This indicates whether the appointee qualifies for certain benefits.
Affirmative Action Compliance: An "X" in the ON FILE box indicates that the required Affirmative Action documentation is on file; an "X" in the NOT REQUIRED box indicates that Affirmative Action documentation is not necessary.
Name of Person Being Replaced: Enter the name of the previous incumbent in the position, if applicable.
Attachments for Appointments of Persons New to Indiana University: (Initial Appointments). All new appointment recommendations should be accompanied by the I-9 Form and the Personal and Professional History Form. Documentation of the recruitment process, the Offer Request Form, etc., should have been submitted earlier to the Dean of the Faculties Office via the Dean's Office and the Affirmative Action Office. These items will be added to the appointment file by that office. All appointments to full-time faculty/lecturer/librarian positions should be accompanied by the Offer to Recommend Appointment form (which serves as the tenure agreement). Three to six letters of recommendation, the letter offering to recommend the appointment, and the letter of acceptance of the offer to recommend should have been submitted earlier to the Dean of the Faculties Office and will be added to the appointment file by that office. Appointments to visiting faculty/lecturer/librarian ranks need only the Personal and Professional History form attached.
I-9 Form: Under the Immigration Reform and Control Act of 1986, Indiana University is required to have completed an I-9 Form (see
p. C-12) for every new appointee, regardless of rank, FTE, or duration of appointment. Each department is charged with executing the I-9, requiring the new appointee to complete and sign the top section with a departmental employee viewing the required original documents (copies are not acceptable) and signing the I-9 so