Statement of Principles
The recruitment, advancement, and retention of an eminent and engaged faculty are among the most important obligations of an institution of higher learning. Accordingly, a primary mission of Indiana University Bloomington is to continually employ, cultivate, and reward faculty for superior accomplishments in various fields and realms of intellectual, artistic, and performative endeavor. To realize these goals, the University is committed to providing high-achieving faculty members and librarians with the incentive structures and career-advancement opportunities necessary to encourage continuous academic excellence. The principles and policies detailed in this document are intended to achieve these ends for the faculty, students, and other constituencies of Indiana University Bloomington, while concurrently securing the operation and interests of the University as an institution wholly invested in the propagation of a reputably credentialed, dynamically productive, and professionally responsible faculty.
Similar to other mutual relationships, the conferral of tenure creates reciprocal rights and obligations on the part of both the University and individual faculty members and librarians. Successful candidates for promotion and tenure are granted the protections of academic freedom and job security. In return, the University requires that tenured personnel remain engaged in enterprises such as meaningful research and creative activity; quality instruction and pedagogical innovation; and noteworthy service to the institution and the larger profession over the entire arc of their academic careers. It is acknowledged that achievements in one of the three performance areas may temporarily eclipse advancement in the others during different phases of the professional life of a faculty member or librarian. However, it is understood that tenure and promotion are predicated on the expectation that a faculty member or librarian consistently satisfies or exceeds standard criteria in all three applicable performance areas at any given time.
At the foundation of the campus’s tenure and promotion system is a salient and abiding appreciation for the efficacy of rigorous and continuous peer review of faculty performance and professional conduct. Alongside the principles of collaborative academic citizenship, shared governance, and collegiality, Indiana University Bloomington fully embraces the prominent role of regular faculty scrutiny and evaluation of the work and contributions of other faculty members as hallmarks of professionalization and accountability. Proceeding from the premise that the faculty is the vital core and essential engine of the University and its various intellectual, instructional, and professional functions, this policy recognizes that tenure and promotion processes necessarily begin with and advance through vital stages of peer review that both protect the procedural rights and interests of individual candidates and safeguard the academic quality and foundational mission of Indiana University. In accordance with these principles of professional mutuality, this policy explicitly upholds the right of every candidate for tenure and promotion to be judged by peers in an informed and procedurally grounded manner based upon an impartial and good-faith assessment of the accumulated evidence of the candidate’s achievements and professional competence.
Additionally, this policy affirms that every faculty member and librarian is entitled to a tenure and promotion process that is fair, transparent, and consistent with official policies and sanctioned practices. Such candidates are also due an appeals process that is clearly delineated, equitable, and timely. While multiple checks and balances are incorporated into the tenure and promotion system to ensure thorough and judicious evaluations of individual candidacies, these various strata of assessments are not intended to unduly delay or complicate decisions regarding employment or advancement at the University.
An annual review regarding reappointment and tenure prospects must be conducted for each full-time, non-tenured librarian and faculty member. The University Faculty Council approved in 1977 a policy which provides that all assistant and associate professors, and all affiliate, assistant, and associate librarians be given an annual review relative to promotion prospects. (See Policy E-14).
Tenure Track Reviews
No specific date for annual reviews is established. The reviews of tenure-track faculty and librarians may occur at any time during the academic year, although many units find it convenient to conduct the re-appointment reviews before the bulk of their reappointment recommendations are due (March 1). The results of these reviews may best be transmitted orally in the first instance, but for all tenure-track faculty a summary must be recorded in writing. The summary should speak to progress in the three areas of responsibility-teaching, research/creative activities, service. One copy of the written summary is to be given to the candidate and the other copy is to be placed in the unit's files. For the benefit of the candidate and the University, it is recommended that the review state two things in addition to the evaluation per se: first, that the review reflects the evaluation of the unit only, and second, that subsequent evaluations at any level of the University may differ from the evaluation of the unit.
The annual reappointment review shall be conducted each year for all full-time, non-tenured faculty members and librarians regardless of the length of time the person has been on the faculty, whether they have an appointment which exceeds one year, or whether they may be temporarily on leave of absence. Even though the review conducted during a faculty member's first year in residence is probably based on less information than subsequent reviews and may therefore not seem as useful, it is imperative that such a first-year review occur.
Reviews of Tenured Appointees
The procedures are slightly different for annual reviews relative to promotion prospects required for all tenured faculty and librarians below full rank. The fact that a review or discussion has taken place must be confirmed in writing to the appointee and to the Vice Provost for Faculty and Academic Affairs. The appointee may request a written summary of the substance of the review or discussion, or the reviewer may independently decide to provide a written summary. In either event, if the statement is put in writing, copies must be both placed in the file and given to the appointee.
Notice of Reviews
Well in advance (2-4 weeks) of any review, the faculty member must be invited to assemble and submit materials relevant to his or her teaching, research/creative activities, and service.
Notice Requirements for Non-Reappointment
The University adheres to the AUUP statement on the amount of notice faculty members should be accorded if they are not to be reappointed or granted tenure. (See Policy E-2). Faculty members are to be given at least three months' notice during their first year of service (by February 1), six months' notice during their second year of service (by November 15), and twelve months' notice after two or more years of service (by May 1). To accommodate these deadlines, recommendations are due in the Office of the Vice Provost for Faculty and Academic Affairs by the following dates:
1st year . . . . ..January 10 . . . . for 2nd year reappointment
2nd year . . . . October 15 . . . . for 3rd year reappointment
2nd year . . . . March 1 . . . .for 4th year reappointment
3rd-5th year March 1 . . . . for 5th-7th year reappointment
6th year . . . . November 1 . . . for 8th year--tenured status.
Originally these deadlines applied only to faculty members. On 12/3/68 the Faculty Council approved the extension of these requirements to include lecturers and in 2001 the Academic Officers’ Committee adopted the extension of these requirements to Academic Specialists. Trustees' action (see Policy E-4), provides that the same requirements shall apply to librarians.
Resignations by Faculty
The AAUP has also issued a statement concerning a faculty member's obligation "not to 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." The complete AAUP Statement appears in Policy B-15.
In order to prevent inequities in promotions the Faculty Council in 1952 directed the Dean of the Faculties (now the Vice Provost for Faculty and Academic Affairs) to review all faculty below full rank who have not recently been accorded a formal review for promotion. (See Policy E-18). Accordingly, the Vice Provost for Faculty and Academic Affairs requests information from units about faculty members who have not been recommended for promotion in the last two years and who have been in the following ranks for at least the indicated period of time:
Associate Professor . . . . 7 years
Assistant Professor . . . . 5 years
Lecturer, Research Scientist/Scholar, Clinical Professor . . . . 3 years
Such information may then be taken by the Vice Provost for Faculty and Academic Affairs to the Campus Promotions Advisory Committee for advice.
Although the Board of Trustees in 1956 approved a policy providing for research project tenure, it has been used only rarely. Recommendations for project tenure must be approved by the appropriate academic dean and the Vice Provost for Faculty and Academic Affairs. Because the policy requires termination notice of one year in recommending project tenure, the project director or unit head must provide satisfactory evidence that funding for the possible one-year period is assured within the budget of the recommending unit or from some outside funding source. If project tenure is contemplated, all relevant problems, especially that of providing satisfactory evidence of funding resources, should be discussed with the Vice Provost for Faculty and Academic Affairs. (See Policy A-5).
Recommendations for annual reappointment of Assistant Scholars/Scientists are subject to evaluative review by the chairperson or director, and to the assurance of available funding. Recommendations are reviewed and acted upon by the school dean and the Vice Provost for Faculty and Academic Affairs. If the research mission of the project and its funding resources permit, Associate and Senior Scholars/Scientists should, whenever possible, be appointed for more than one year. Subsequent reappointments go through the same review process as that specified for Assistant Scholar/Scientists.
Except for those holding research ranks who have been granted Project Tenure (which provides a one-year notice requirement), the minimum notice of termination is, as with all non-tenure-line appointees, one pay period (currently one month).
Criteria for each of the three ranks (Senior, Associate, Assistant Scientist/Scholar) are roughly equivalent to those set forth in the area of research for members of the faculty. (See Criteria for Faculty Promotions, Policies E-7 and A-5).
Assistant--typically has completed the terminal degree in his or her discipline, in some fields, has at least one year of successful postdoctoral research experience, and is capable of original, independent research or developmental, scholarly work under the direction of a senior faculty member or an Associate of Senior Scientist/Scholar;
Associate--has begun to establish a national reputation through published work, would typically have responsibility for carrying out independently, as principal investigator, projects of his or her own devising, and has normally completed a minimum of three years of postdoctoral research;
Senior--has established a national reputation as a first-class researcher or scholar who has made substantial contributions to her/his discipline.
As with faculty, research and creative endeavors among non-faculty research specialists can include experimental research, theoretical development, creation of artistic works, and development of research tools or methods. Some forms of research, creative, and/or developmental activities may not necessarily result in publications in scholarly journals, but nonetheless may have an impact on future inquiry by introducing new techniques by which research is conducted. For example, certain scientific or scholarly findings and technological developments might be disseminated through presentations made to professional organizations and through consultations with persons engaged in similar development activities at other institutions.
Nomination and Promotion Procedures
Nomination and promotion procedures for holders of research ranks are similar to those for faculty promotions. Dossiers are prepared by the scientist's or scholar's department or project unit and reviewed by administrators and advisory committees at the school and campus levels. At the campus level, the Promotions Advisory Committee considers promotions in the research ranks; the committee is appointed by the Vice Provost for Faculty and Academic Affairs. The procedure for nomination and promotion for research ranks is as follows:
- 1. Ascertain that a person qualifies under the University policy. This means: (1) the person holds the terminal degree in his or her field and has at least one year of successful post-degree experience (the terminal degree in some fields may not be the doctorate); (2) the person is wholly involved in research activities with no instructional responsibilities; and (3) the individual's responsibilities provide an opportunity for achieving independent contributions in research or developmental activities that have resulted in or eventually result in national recognition for these contributions.
- 2. The names of outside referees (six for nominations at the rank of Senior or Associate Scientist/Scholar, three for nominations at the rank of Assistant Scientist/Scholar) along with representative samples of the nominee's work and a complete curriculum vitae, should be in the Office of the Vice Provost for Faculty and Academic Affairs by the first week of January in order for the referees to respond by February. Normally, half of these names should be suggested by the nominee and half by the nominator or others in the unit who are in the best position to select qualified referees; be certain to indicate the source of each. Avoid selecting persons who have had a close personal relationship with the nominee. When you prepare the list of outside referees, please detail the expertise of these individuals as well as their relationship to the nominee.
- 3. The head of the nominee's unit should write a letter to the Vice Provost for Faculty and Academic Affairs. The letter should indicate which rank is recommended and should summarize the nominee's qualifications and research record. In addition, the nature of the nominee's appointment and position should be summarized, including a clear account of duties and responsibilities, and the relationship of the nominee's role to others in the unit or on the project.
- 4. A dossier should accompany the letter of nomination which includes the nominee's curriculum vitae; copies of published papers or books; supporting letters from colleagues (if desired); and any other evidence which would be helpful for judging the nomination.
- 5. The letter of nomination and supporting materials should be sent to the dean or division head to whom the nominating unit reports for endorsement. The dean will add his or her endorsement of the nomination together with comments and forward the nomination to the Office of the Vice Provost for Faculty and Academic Affairs by the first week of March for actions to be effective July 1.
The research ranks are represented on and by the Bloomington Faculty Council and have open to them the review mechanisms provided by that body--Faculty Board of Review, Affirmative Action Grievance Procedures, etc. (See Policies D-22 and D-30).
Other Academic Ranks (OAXX, CNXX, IR93, IR92, MDOO)
Initial appointments are made for one calendar year or less; reappointments are normally made on an annual basis. After two years of service, however, reappointments to positions on general fund accounts may be made on a non-limited basis. Reappointment to positions funded by grants or contracts may not exceed one year or the expiration date of the grant if that date is earlier.
Appointees on general fund accounts must be given one pay period, i.e., one month's, notice of a decision to terminate them. Appointees on grant accounts are afforded the same amount of notice for termination prior to the end of a grant period. Appointments to the end of the grant period should be assumed to be terminating unless notice of reappointment is given.
It is urged that academic appointees be accorded an annual review of their performance, preferably at the time a reappointment recommendation is due.
Review of Negative Recommendations
Review procedures established by the Faculty Council are available to all academic appointees. The Faculty Mediation Committee and the Faculty Board of Review deal with decisions concerning reappointment, salary, conditions of work, etc. (See Section D.) Complaints alleging discrimination of the basis of sex, minority status or age may be reviewed under the Discrimination and Harassment Complaint Procedure. (See Policy D-30).
The administration of Indiana University and of the Bloomington Campus determine general budget guidelines in compliance with the legislative appropriations to the University. These guidelines typically specify such variables as the overall percentage increase to be applied to all continuing positions for academic personnel, the overall percentage increase for the supplies and expenses budget, etc. The advice of the Budgetary Affairs Committee, a standing committee of the Bloomington Faculty Council, is sought at a number of stages in the budgeting process, including development of the overall guidelines. It then becomes the responsibility of the unit head to make recommendations for the specific line-by-line allocations of funds assigned to the unit.
Annual budgeting typically begins in the spring. The exact timing of the budgeting process depends in part on the appropriation of funds by the State legislature. Other budgetary information, such as requests for capital expenses, may occur at various times during the year. Summer budgets are established during the preceding fall.
University Salary Policy
A set of eight principles to guide salary decision-making has been drawn up by the University Faculty Council. (See Policy E-22). The principles encourage participation by elected Faculty bodies in salary determination, urge flexibility in responding to local circumstances, and reaffirm the primary of merit among the factors affecting allocation of resources to salaries. (Summer pay for teaching follows as closely as possible the BFC resolution set out in Policy C-4).
Both the University Faculty Council and the Bloomington Faculty Council have approved Salary Policies (see Polices E-22 and E-23), which provide that with faculty involvement each unit shall outline procedures used in initiating and reviewing salary recommendations for academic appointees. The procedure is to be in writing and available to all faculty members. (The Affirmative Action Plan also requires this and provides for an annual equity check; see Policy E-24).
Recommendations coming forward from departments and schools are reviewed in the Provost-Bloomington's office, in the office of the President, and finally by the Board of Trustees. After acceptance of the budget by the Board, salary letters are sent, via deans and chairpersons, to continuing appointees budgeted on general fund monies.
Access to Salaries
The salaries of academic personnel on the Bloomington campus are available at https://fdrs.fms.indiana.edu/cgi-bin/Salary/Salary.pl. In response to a request of the Bloomington Faculty Council for information about Bloomington faculty salaries (see Policy E-25), the Vice Provost for Faculty and Academic Affairs maintains a listing of faculty salaries arranged in cohort groups defined by rank, years in rank, and academic field. This listing is available online. The Office of the Vice Provost for Faculty and Academic Affairs conducts periodic studies of salaries to identify problems of equity and to identify factors operating in the determination of salary levels and distributions.
The Bloomington Faculty Council accepted the recommendation of its Budgetary Affairs Committee to recommend salary minima for faculty members and librarians. (See Policy E-25). The recommended minima for 2008-09 are:
Lecturer/Affiliate Librarian . . . . . . $35,729.65
Assistant Professor/Assistant Librarian . . . . . $38,430.03
Associate Professor/Associate Librarian . . . . $48,250.52
Professor/Librarian . . . . . . $58,972.42
The Bloomington Faculty Council has indicated that (1) the recommended minima are to be reviewed and/or adjusted annually, and (2) any salaries below the minima are to be justified and an explanation made available to the appointee upon request to the Provost. Bloomington Campus administrators have accepted these recommendations including the provision for exceptions.
Mid-year Salary Increases
The policy of the I.U. Administration, as represented in various memoranda, indicates there is an active discouragement of mid-year salary adjustments for all academic appointees. The Board of Trustees reviews and approves the current operating budget at the beginning of each fiscal year and the assumption is that the budget submitted to them is carefully constructed, error-free, and final. Mid-year salary increases are therefore seen as inconsistent with the commitment to the Board of Trustees. (A post-July 1 annual salary adjustment for an academic appointee whose annual appointment does not coincide with the fiscal year, is, however, appropriate.)
The Bloomington Campus Administration will continue to review carefully mid-year requests and approve them only in cases where the justification is persuasive.
At the request of the Governor of the state of Indiana in 1966, the four state universities agreed to adopt uniform rules governing expenditures of time and extra compensation for faculty members. (See Policy E-26). The general rule is that the total time commitment for all permissible forms of extra work--outside consulting, overload, supplemental projects--is not to exceed an average of one day a week.
Guidelines for approval of extra work assignments and payment mechanisms are discussed on the following pages. The principal points of the policies are:
- 1. Any extra work carried out by an academic appointee must not interfere or conflict with the appointee's regular duties in the home academic unit.
- 2. Extra pay from University funds, whether from the General Fund or contracts and grants, can only be approved under special circumstances, and in no case can exceed 20% of the person's base salary for the period.
- 3. In no case may total salary components from a combination of grant and General Fund accounts exceed 100% of the approved budget rate.
- 4. Extra work assignments should be approved by the home department and school where possible prior to the performance of service.
Proposed extra work assignments should be cleared with the Office of the Vice Provost for Faculty and Academic Affairs prior to firm commitments being made.