Policy E-9

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POLICIES GOVERNING REAPPOINTMENT AND NON-REAPPOINTMENT DURING PROBATIONARY APPOINTMENT PERIOD

(Approved: UFC 10/17/72; Trustees 10/27/72 Amended: UFC 10/12/76; 4/23/91; Trustees 6/20/91)

1. Notice of Terms of Initial Appointment

a. Before a faculty member or librarian is appointed to rank in the University the initial salary, rank, years in rank elsewhere countable towards tenure, and duration of the initial appointment and of the probationary period shall be stated in writing and placed in the possession of the University and the faculty member or librarian.
b. The faculty member or librarian shall also be advised in writing, before or at the time of the initial appointment, of the criteria and procedures employed in recommendations and decisions about reappointment and the award of tenure specified in the Handbook. Special procedures customarily employed in the department, school, program, division or library unit of the University in which the faculty member or librarian is appointed shall be specified clearly.
c. The faculty member or librarian shall acknowledge in writing at the time of acceptance of the appointment that the conditions and terms of the initial appointment, as well as the criteria and procedures for reappointment and tenure are agreed to.

2. Annual Review

a. During the period of probationary appointment, the faculty member or librarian shall receive an annual review of professional performance under procedures adopted by the faculty within the department, school, program, division, or library unit in which the individual holds his or her appointment. At that time the faculty member or librarian shall be informed, customarily by the principal administrative officer of the unit of the University in which the individual holds his or her appointment, of all matters relevant to the eligibility for reappointment and the award of tenure.
b. The faculty member or librarian shall cooperate with the principal administrative officer to insure that the file on which such a review is based contains all relevant materials. A written statement summarizing the substance of each annual review shall be kept in the file, and a copy given to the faculty member or librarian.

3. Notice Requirements

a. Before any decision is made within a department, school, program, division, or library unit about whether to recommend reappointment or the award of tenure, the faculty member or librarian shall be notified that he/she is under such consideration and that within a properly specified and reasonable period of time he/she may submit materials which it is believed will be relevant to a consideration of his or her professional qualifications.
b. The faculty member or librarian shall be notified as soon as possible of any decision by a department, school, program, division, or library unit not to recommend reappointment or tenure, and the individual shall be notified within stated deadlines of a decision by the University not to reappoint him or her.
c. At the time that a faculty member or librarian is notified of a negative recommendation on reappointment or tenure, he or she shall be provided with a written statement of the "Policies Governing Reappointment and Non-Reappointment During Probationary Appointment Period," and the Academic Handbook statement on criteria for tenure, to insure that he or she be fully informed of his or her rights.

4. Review of Decision of Non-Reappointments

a. Upon receiving notice of a negative recommendation or decision on reappointment or tenure, the first recourse of the faculty member or librarian shall be to request an oral explanation from his or her principal administrative officer.
b. Upon written request, submitted within thirty days of notification of non-reappointment to the appropriate administrative officer, that officer shall provide the faculty member or librarian within a reasonable period of time with a written statement of the reasons for non-reappointment.
c. The statement of reasons should reflect careful consideration of the qualifications of the faculty member or librarian in terms of the professional standards and needs of his or her department, school, program, division or library unit or of the University.
d. The faculty member or librarian who believes that a recommendation or a decision that he or she not be reappointed has resulted from inadequate consideration of professional competence or erroneous information may offer corrections and request reconsideration at the level at which the decision not to recommend reappointment was first made.
e. If the faculty member or librarian is dissatisfied with the result of a request for reconsideration he or she may petition the Faculty Board of Review or the IU Librarians Faculty Review Board for a review of the procedures employed in the decision not to recommend reappointment. The petition should be initiated within a reasonable period following the receipt by the faculty member or librarian of the written statement of the reasons for non-reappointment.
f. Before undertaking a review, the Faculty Board of Review or the IU Librarians Faculty Review Board may seek to bring about a settlement of the issue satisfactory to both parties. In the course of the review, the Boards shall request reconsideration by the department, school, program, division or library unit in which the faculty member or librarian holds an appointment or the offices of the Dean of faculties or the Vice Provost for Faculty and Academic Affairs, campus chancellor or provost, and other appropriate administrative officers who were involved in the decision, when it finds that inadequate consideration was given the faculty member's qualifications, or that specified procedures were not observed, or that erroneous information substantially affected the decision. The Faculty Board of Review or the IU Librarians Faculty Review Board shall provide copies of its report and recommendations to the faculty member or librarian, the principal administrative officer of the department, school, program, division, or library unit in which the faculty member or librarian holds an appointment, the offices of the Dean of faculties or the Vice Provost for Faculty and Academic Affairs, campus Chancellor or Provost, and other appropriate administrative officers.
g. Whenever during his or her appointment a faculty member or librarian discovers that these provisions have not been followed, he or she may request, as soon as reasonably possible, that his or her department, school, program, division, or library unit of the University accord him or her the full benefit of the procedures. If his or her request is not granted, the faculty member or librarian may petition the Faculty Board of Review or the IU Librarians Faculty Review Board of the procedures followed in his or her case.
h. Upon finding by the Faculty Board of Review or the IU Librarians Faculty Review Board, accepted by the principal administrator of the campus in question, that the faculty member or librarian did not enjoy full benefit of the procedures through fault of an administrative officer or body of the University, the University shall, if necessary, to avoid prejudicing the rights of the faculty member or librarian, extend the probationary appointment for one year beyond its normal termination point, or take other appropriate measures agreeable to the faculty member or librarian.
i. Recourse by a faculty member or librarian to the various rights to appeal, review, and reconsideration set forth above shall not be construed as precluding the University's right to give timely notice of non-reappointment as specified elsewhere in the Handbook. In normal circumstances it is to be anticipated that reconsideration and review will occur before the effective date of termination.
j. In light of the legitimate educational interests of students, faculty, colleagues, and others, it is the mutual obligation of the University administration and of the affected faculty member or librarian to observe promptly and fully the above procedures.
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