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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 Sections D and E.)
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:
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 Minorities
(The federal government periodically revises its definitions of minorities. Contact the Campus Affirmative Action Office (855-7559) for the current definitions.)
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:
- 1. Black--Includes Americans of black African origin or descent as well as those of the black race identified as Jamaican, Trinidadian, and West Indian.
- 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/provost 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/provost 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, vice provosts, 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/Provost. 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/provost (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/Provost, 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/Provost 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/Provost, 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/Provost 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.
VII. Anti-nepotism Policy
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.
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/Provost of each campus and it shall take into account the following factors:
- a. does the supervision involve day-to-day functions?
- b. is the supervisor the only one competent to judge such issues as hiring, retention, promotion, salary?
- 3. Notification of Potential Nepotism
- The Chancellor/Provost 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.
IMPLEMENTATION DOCUMENT FOR ACADEMIC APPOINTMENTS SECTION OF AFFIRMATIVE ACTION PLAN
I. Recruitment and Employment
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 candidates, 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/Provost, 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/Provost 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/Provost, 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/Provost shall solicit recommendations from the appropriate Affirmative Action Officer and the campus (or all-university) committee which has 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
1. Commitment to Affirmative Action Procedures
- 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/Provost or the designated Vice Chancellor/Vice Provost or Dean who would normally handle such situations. Whenever the timing permits, the 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/Provost 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/Provost or his or her delegated subordinate (that is, a Vice Chancellor, Vice Provost, Dean, or whoever would normally perform this task on a particular campus) 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 Chancellor/Provost 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, Provost, Vice Chancellor, Vice Provost 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/Provost. 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, Provost, Vice Chancellor, Vice Provost, 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, Vice Provost or Dean) designated by the Chancellor/Provost 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 Policy E-22
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:
- a. teaching loads,
- 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
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 Policy F-3.
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 group 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:
- a. recruitment, retention, and consideration of tenure,
- 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 Policy E-24.
VIII. Grievance Procedures--see Policy D-30
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/provost. 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.