the period of initial appointment, reappointment is considered annually until the tenure review year. Most schools base reappointment recommendations on the annual review, but faculty subject to annual appointment should become familiar with the procedures followed in their respective units. Although campus and University policies do not require committee reviews for reappointment, some school bylaws make such provision.

Tenure Review

The tenure review involves separate and independent evaluations and is distinctly different in form and substance from either annual review or reappointment recommendations. The annual reviews are predictive, but they do not constitute a cumulative record which predetermines the results of the separate tenure review. In addition, the tenure review is conducted at various school, campus, and university levels.

IUPUI Tenure and Promotion Policies and Procedures

University policies regarding tenure and promotion may be found in the University Academic Handbook. In accordance with these policies, the IUPUI Dean of the Faculties annually sends out guidelines to the academic deans and directors. Faculty members and librarians should become knowledgeable about dossier contents and preparation as early as possible during their probationary period. For information purposes, the guideline packet is reproduced in its entirety in Appendix B. The packet includes the following:

Introductory Memorandum

IUPUI Campus Review of Tenure and Promotion Dossiers

Tenure and Promotion Dossier Checklist

Routing and Action Forms for Tenure and/or Promotion Review

Curriculum Vitae Format for Tenure and Promotion Dossiers

Sample Letter to Request an External Evaluation

Dean of the Faculties' Comments Regarding Outside Letters

Sample Letter for Recommendation to Full Rank Librarian

Procedure for Librarians Regarding Promotion and Tenure

Recommendations for conferral of tenure or promotion at IUPUI are prepared by the supervisor of the person under consideration. Dossiers from the IUPUI Schools of Dentistry, Law, and Medicine are then routed to the Library Head and then forwarded to the All-University Librarians' Promotion and Tenure Committee, which includes representative librarians from IUPUI. At IUPUI University Libraries, dossiers are routed to the Unit Head and then to the Unit University Libraries Promotion and Tenure Committee. The dossiers are then submitted to the IUPUI University Librarian who then forwards them to the All-University Librarians' Promotion and Tenure Committee. Any librarian may submit a recommendation for the promotion of any other librarian, and may nominate himself or herself for promotion. The Committee forwards its recommendation to the Dean of University Libraries. The dossiers from IUPUI University Libraries are then forwarded to the IUPUI Campus Promotion and Tenure Committee. The dossiers from the IUPUI Schools of Dentistry, Law, and Medicine are forwarded to the Dean of the appropriate school and then forwarded to the IUPUI Campus Promotion and Tenure Committee. All of the dossiers are received by the IUPUI Dean of the Faculties and then submitted to the Office of the Chancellor (Indianapolis), whose recommendation then goes to the Vice President (Bloomington), who adds a recommendation. The President then submits the names of those recommended for promotion and/or for tenured status to the Board of Trustees of Indiana University.

Promotion and Tenure Procedures for Faculty in Multi-Campus Schools (Education, Journalism, Library and Information Science, and Music)
Based on IUPUI Campus

I. SCHOOL LEVEL REVIEW

Subject to customary review and approval, schools establish their own internal procedures and policies for reviewing fac-

ulty consistent with University policy. The following steps are ordinarily observed:

1. The dossiers for promotion and/or tenure are submittedif applicableto the primary committee and then to the department chair of the school in accord with school bylaws and procedures. In schools organized without departments, dossiers may be first reviewed by the school committee.

2. The chair forwards the dossiers and recommendations to:

a. The designated campus school administrator if this step is specified in the school bylaws; the campus school administrative officers may comment or make recommendations in accord with school bylaws and then forward the dossiers to the school committee.

b. Otherwise, the department chair forwards the dossiers to the school committee.

3. The school committee forwards the dossiers and recommendations to the school dean.

II. IUPUI CAMPUS LEVEL REVIEW

To provide parallel reviews on both campuses, there is a committee review and an administrative review.

1. The school dean forwards the dossiers and recommendations to the IUPUI Promotion and Tenure Committee.

2. The IUPUI Promotion and Tenure Committee forward recommendations and dossiers to the IUPUI Dean of the Faculties and the Chancellor.

III. UNIVERSITY LEVEL REVIEW

1. The IUPUI Chancellor forwards recommendations to the other reporting line Vice President (for the Schools of Education, Journalism, Library and Information Science, and Music).

2. The Vice President considers all of the recommendations and makes a final recommendation to the President for consideration and submission to the Board of Trustees.

IV. OTHER PROCEDURES

1. A parallel or analogous process should be followed for other matters related to faculty appointments and advancements, including annual reviews, reappointment recommendations, and sabbatical leave applications.

Earlier-than-Normal Tenure Recommendations

The University's policy on early tenure is cited in the Academic Handbook. The following provides additional information about procedures for early tenure at IUPUI.

In supporting a campus recommendation to the Board of Trustees regarding the granting of earlier-than-normal tenure, the Office of the Vice President and the Dean of the Faculties must be convinced that the following conditions exist or will be met:

(a) An extraordinary case, justifying a shortening of the probationary period, does exist.

(b) The case must be made on the merits of the candidate's accomplishments.

(c) The exceptional case will have been subjected to the same rigorous evaluation by faculty committees and administrators at all levels that currently obtains with respect to a normal recommendation regarding tenure.

(d) Candidates for earlier-than-normal tenures must recognize that the review of their case may result in a recommendation of non-reappointment; there is no assurance of being eligible for review in a subsequent year if the earlier-than-normal review is unsuccessful.

(e) No promise, either expressed or implied, regarding early tenure should be made, including promises at the time of initial appointment.

A candidate for earlier-than-normal tenure should discuss the review with the department chair or dean to ensure that the candidate understands the process and realizes that the review may result in notice of non-reappointment.

Reviews for earlier-than-normal tenure will be conducted as a part of normal procedures, at the same time, with the same requirements for documentation, and with the same regard for the criteria normally applied. Early tenure cases will ordinarily be referred to the campus level faculty review committee for evaluation. Purdue mission faculty should be recommended for promotion (or already hold the rank of associate professor or professor) to be considered for earlier-than-normal tenure, in accord with Purdue University policies.

Memorandum from Chancellor Gerald L. Bepko, September 15, 1988.

Stopping the Tenure Clock

Under unusual circumstances an untenured probationary faculty member or librarian may request in writing an extension of the time preceding his or her tenure review. Such an extension is ordinarily not to exceed one calendar year. Either a professional or a personal emergency (e.g., a substantial change in one's health or work environment, or in one's public service or care giving responsibilities) may be an appropriate reason for requesting such an extension. (Within each academic unit, faculty may also recommend unit-specific policies and procedures.) Any probationary period extension must be approved in writing by one's department chair (if applicable) and academic dean and by the Dean of the Faculties, and is to be recorded as an addendum to the faculty member's or librarian's "Notice of Terms of Initial Appointment." This policy is separate from policies regarding leaves of absence without pay (or with partial pay).

IUPUI Faculty Council, February 3, 1994

Sabbatical Leave Program

The University's sabbatical leave program is described in the Academic Handbook edition. The following material provides additional information about the process at IUPUI.

Sabbatical Leave Procedures for IUPUI are determined by the Dean of the Faculties. For information purposes, the schedule and information packet for the 1996-97 year is reproduced in Appendix C. The packet includes the following:

Introductory Memorandum

Sabbatical Leaves Procedures and Time Line

IUPUI Guidelines for the Preparation and Review of Sabbatical Leave Applications

Application for Sabbatical Leave Form (condensed)

Indiana University Report on Completion of Sabbatical Leave Form (condensed)

Full-Time Lecturer Appointments on Renewable Term Contracts

Full-time lecturers are defined as non-tenured, non-probationary instructional appointees. They are subject to the same reappointment/non-reappointment notice as probationary faculty (Academic Handbook, p.25, 1992 Edition). Although faculty may be appointed up to three years initially, practice has been to limit lecturers to one year renewable appointments. Longer agreements (3-5 year renewable term contracts) are possible for lecturers, but special arrangements are made in these cases as follows:

1. For initial appointments longer than one year, an offer letter must state the terms of appointment (no appointment in excess of five years will be approved for any reason) and must state that the length of appointment is subject to satisfactory annual reviews.

2. The PAF will be processed showing an initial one year appointment, and the Notice of Terms of Initial Appointment will also record a one year term. This will enable the Faculty Records Office to establish a reappointment record for the lecturer appointee.

3. After the initial appointment process has been completed, the Faculty Records Office will send out reappointment notices in accordance with reappointment procedures outlined in the Academic Handbook. This notice will serve as a reminder that an annual review should be conducted.

4. During the spring of the fourth year of service (allowing for the required one year's notice), the unit must either inform the lecturer that he/she

will not be reappointed following the expiration of the current term or it must adopt procedure #5 below.

5. After a lecturer has been appointed continuously for five years, the position itself must be evaluated for continuation independent of the incumbent. Academic units must retain the flexibility to redefine positions, especially lecturer positions, as professorial, professional, or part-time and to discontinue positions as circumstances warrant. If the position is retained as a lecturer position, however, redefinition of the position must be considered, qualifications must be established, the position must be advertised, and it must be filled as the result of a limited (regional) or national search following established unit and campus affirmative action and equal opportunity employment procedures. Persons whose qualifications match the position description, including those who have previously been employed as lecturers, may be considered for the position. If a person previously or currently employed as a lecturer is appointed, the appointment must be stipulated as a new appointment and not as a continuing appointment.

IUPUI Dean of Faculties, July 1993

IUPUI DISMISSAL PROCEDURES FOR TENURED FACULTY AND LIBRARIANS

In accord with University policy, dismissal of tenured faculty or librarians shall occur only for reasons of incompetence, serious personal or professional misconduct, or extraordinary financial exigencies of the University.¹ Faculty who are not yet tenured but earning credit toward tenure are subject to review and reappointment during their probationary periods. A separate policy applies to these faculty: "Policies Governing Reappointment and Non-reappointment During Probationary Periods."

The purpose of tenure is to protect and preserve academic freedom and to provide economic security. In no case shall the exercise of academic freedom be construed as professional incompetence or misconduct. University policies shall be observed, particularly

concerning equal opportunity, academic freedom, academic ethics, and discrimination. No dismissal of a faculty member or a librarian shall be based on:

1. One's age, sex, color, race, national origin, religious preference, status as a veteran, political preference or allegiance, or sexual preference;

2. One's physical or emotional condition, whether legally a handicap or disability or not, except and only insofar as this condition demonstrably and seriously limits one's professional competence and was either unknown or nonexistent at the time of one's original employment (nothing in this statement precludes the faculty member's or librarian's right to disability coverage or the University's responsibility to place disabled employees on leave in accord with established policies);

3. One's performance in an area which one has been assigned without sufficient opportunity to prepare;

4. One's understanding of, or approach to, or method of pursuing an area of expertise as invidiously compared to what is considered merely preferable by others in the same or other similar discipline;

5. One's salary as an employee of the University;

6. Sources of income or other support available to one from sources other than the University unless there is a clear link to the allegation;

7. The retirement benefits for which one is eligible;

8. Unsubstantiated complaints either from within or from outside the University, even if job-related.

To the extent possible, all dismissal proceedings shall be kept confidential.

Once exonerated, a faculty member or librarian shall not be required to answer repeated charges based on substantially the same facts.

I. ALLEGED PROFESSIONAL INCOMPETENCE

Professional competence involves the ability to perform adequately on a continuous basis during the years of appointment the basic tasks of a university professor or librarian. The basic tasks of a faculty member are defined with regard to teaching, research, and service, as understood in a faculty member's academic unit and particularly in his or her discipline. The basic tasks of a librarian are defined with regard to performance, professional development, and service responsibilities as understood within the particular library environment. One's status as a tenured faculty member or librarian at IUPUI establishes a presumption of being professionally competent throughout one's career through continuing professional growth and development. This presumption is further strengthened by the terms and conditions stated at the time of one's initial appointment, by one's professional accomplishments documented in ways established by department, school, library and campus policies, and by any changes in one's professional responsibilities mutually agreed to during the course of employment as a member of the faculty or as a librarian. It is recognized that both institutions and the individuals who comprise them have a mutual responsibility to evolve with changes in the knowledge and practice bases of our respective disciplines.

Professional incompetence on the part of a faculty member or a librarian, respectively, is the demonstrated continuing inability to perform adequately the ordinary duties of teaching, research, and service as expected of faculty within the academic unit or the ordinary professional responsibilities expected of librarians within the unit. The burden of documenting the professional incompetence of a tenured member of the faculty or of a tenured librarian rests with the dean of the academic unit in consultation with the department chair, library director or other appropriate administrator. For this purpose, only information or evidence that relates to the alleged professional incompetence may be considered.

Notice Period Procedure:

A faculty member or librarian must be given adequate primary official notice of alleged deficiencies serious enough to warrant consideration of dismissal proceedings on the grounds of professional incompetence, and the individual must have an adequate opportunity (a notice period of at least two years) to correct deficiencies which may have contributed to professional incompetence. Primary official notice must be given in written form to the individual by the dean of the academic unit in consultation with the department chair/library director or other appropriate administrator (all hereafter referred to as "the administrator" throughout this document), and the written notice must specifically mention all alleged deficiencies and also the possibility of dismissal.

The primary official notice should be given in confidence to the faculty member or librarian, but the person must be informed of the means whereby he or she may request an immediate peer review by the appropriate promotion and tenure committee. But, if a majority of the duly constituted promotion and tenure committee is appointed, then the departmental (or unit) faculty or the librarians shall elect a special committee for this purpose as needed. Ordinarily, for faculty the committee to be consulted under this procedure is at the departmental level, but in smaller schools without departments the appropriate committee is the school committee. Librarians may request a review by the Indiana University Librarians Promotion and Tenure Committee. The faculty member or librarian need not request peer review at this stage and may choose to work solely and privately with the dean and the administrator.

When requested by the faculty member or librarian, the appropriate promotion and tenure committee shall review the concerns addressed in the primary official notice and review the individual's performance to assess whether the issuance of the primary official notice of deficiencies was warranted. The committee will prepare a confidential written report of their proceedings and opinion, with a copy going to the dean of the unit, the administrator, and the faculty member or librarian. If the committee finds that the accusation of professional incompetence is

not warranted, the dean may withdraw the official primary notice, and if so must send a written notice of such action to the faculty member or librarian and the administrator in a timely manner.

The intent of this notice period is to allow the faculty member or librarian an opportunity to correct any deficiencies contributing to an inability to perform adequately and to seek solutions other than dismissal. Issuance of the primary official notice may not by itself be used as a reason for changing the terms and conditions of his or her employment. However, documented evidence of performance may be used to establish annual salary increases (in accord with university, campus, unit, and departmental written salary polices) or to change work assignments.

If the primary official notice is not withdrawn, the faculty member or librarian may submit evidence of having corrected the alleged deficiencies to the administrator at any time during the notice period. If the administrator believes that all deficiencies have been corrected, he or she shall notify the dean. If the dean agrees that all deficiencies have been corrected, the dean will send a written notice to the faculty member or librarian stating that such is the case and that the question of professional incompetence is closed.

Formal Proceeding Procedures:

If at the end of the notice period, in the judgment of the administrator the alleged deficiencies have not been corrected, the administrator with the express permission of the dean of the academic unit may undertake formal proceedings for dismissal on grounds of professional incompetence. The administrator must send written notice of his or her decision to the individual faculty member or librarian in a timely manner.

The administrator will confer with an elected peer committee before issuing any final written recommendation for dismissal. For this stage of the procedure, a special five member peer committee must be elected by the unit faculty and librarians from among the unit's tenured members holding the rank of professor, associate professor, librarian, or associate librarian, according to procedures established by the faculty of the unit.

The peer committee shall notify the faculty member or librarian that proceedings have been initiated. A faculty member or librarian may request a hearing before the peer committee before that committee makes a recommendation. The request must be made within thirty days of receipt of notification from the peer committee, and the faculty member or librarian shall be afforded at least thirty additional days to prepare a presentation to the peer committee.

The peer committee will meet privately to the extent permitted by law, examine all evidence, and arrive at a recommendation regarding whether or not the faculty member or librarian is professionally incompetent. At all points in this process, the faculty member or librarian is entitled to know the sources and nature of the evidence, to be present (except during initial organizational meetings and final deliberations) and to confront those alleging incompetence, to have outside experts testify, to be represented by counsel or anyone else of his or her choice, and to present evidence. Similarly, the administrator has a right to be present at meetings (except during initial organizational meetings and final deliberations), to interview witnesses, to have outside experts testify, to be represented by counsel if he or she chooses, and to present evidence.

The peer committee will make a written report regardless of its findings. If a majority of the peer committee finds that the faculty member or librarian is professionally incompetent, the written report shall state this and the basis for its determination. If the charge of professional incompetence is unsubstantiated, the committee will state this conclusion and the basis for its determination. The written report will be forwarded simultaneously to the faculty member or librarian, to the administrator, and to the dean of the academic unit.

If the peer committee finds that the faculty member or librarian is not incompetent, the committee will recommend that the proceedings terminate and that the administrator withdraw the allegation in writing. If the administrator proceeds with the process despite the peer committee's findings, the peer committee must be notified and be afforded an opportunity to comment to the dean. All commentary from the peer committee must

be a part of the record considered by all subsequent reviewers, who must explicitly address the peer committee's findings if they disagree with the written record. The administrator must keep in mind that the burden of proof that adequate cause exists rests with the institution and will be satisfied only by clear and convincing evidence in the record considered as a whole.

If the peer committee finds that the faculty member or librarian is professionally incompetent, the administrator shall send his or her written recommendation for dismissal on grounds of professional incompetence to the dean of the academic unit. Within thirty days of the receipt of the administrator's written recommendation, the dean may proceed with dismissal procedures by forwarding the recommendation along with the peer committee report and his or her own comments to the Dean of the Faculties. The dean of the academic unit will provide a copy of his or her written recommendation to the faculty member or librarian. The Dean of the Faculties will add his or her own recommendation and will forward the entire file, along with any additional comments or responses from the faculty member or librarian, to the Chancellor. The faculty member or librarian must be provided with a copy of all administrative comments and recommendations before they are forwarded to the Chancellor.

The Chancellor may choose to proceed with the dismissal of the faculty member or librarian. If so, the Chancellor shall issue via certified mail a written notice of dismissal, which will state with reasonable particularity the grounds for dismissal for professional incompetence. The notice shall state the effective date of dismissal. The faculty member or librarian shall receive an amount equal to his or her salary and fringe benefits for one year unless some other mutually agreeable arrangement is negotiated.

The faculty member or the librarian shall have the right to resign at any point in the proceedings prior to notification of dismissal by the Chancellor.

Within ninety days of receipt of the notice of dismissal from the Chancellor, the faculty member or librarian may request a hearing before an IUPUI Faculty Board of Review.

In the alternative, a librarian may choose to be reviewed by the Indiana University Librarians Review Board.

[approved by IUPUI Faculty Council, October 6, 1994]

II. ALLEGED MISCONDUCT

Dismissal of a tenured faculty member or librarian on grounds of misconduct shall be sought only with respect to behavior which constitutes such serious and willful personal or professional wrongdoing as to demonstrate the faculty member or librarian's unfitness to hold his or her academic appointment. The following acts exemplify, but do not exhaust the sort of activity which might constitute misconduct: acts which constitute a felony; acts which constitute a flagrant breach of University rules or academic ethics and which involve moral wrongdoing; acts of academic dishonesty such as plagiarism and falsification of reports or research; theft or misuse of University resources; persistent neglect of duties or persistent failure to carry out the tasks reasonably to be expected of a person holding the position involved. Malicious or knowingly false accusations of misconduct shall be considered serious misconduct on the part of the accuser(s). In the course of dismissal for misconduct proceedings, only information or evidence that relates to the alleged misconduct may be considered.

Where the ability of the faculty member or librarian to perform effectively is clearly and seriously impaired by the nature of the misconduct, or where the work of the department, school or library clearly would be disrupted or if immediate harm to himself, herself, or others is threatened by continuance, the faculty member or librarian may at any time be suspended by the dean with pay until the matter is decided.

Informal Discussion Period:

Actions for dismissal on the grounds of misconduct must be initiated by an administrator at the rank of dean or above, but the dean of an academic unit may base this action on the recommendations of a department chair, library director or other personnel who may be responsible for or knowledgeable about the conduct of the faculty member or librar

ian alleged to have engaged in misconduct. Where misconduct is suspected, the faculty member or librarian will first, as early as possible, be invited by the dean who is considering initiating action to discuss and respond to the allegations in person. The dean is obligated to collect such information and evidence as to have a reasonable and plausible belief that dismissal may be warranted by the facts; however, to the extent possible, the accusation of misconduct is to be kept confidential by the administration and those consulted. Several meetings may be required, and the faculty member or librarian must have been apprised of all allegations and evidence and been given a reasonable opportunity to respond to them prior to the end of the final exploratory meeting of the dean with the faculty member or librarian.

In cases in which the dean of the academic unit and the faculty member or librarian disagree as to whether the alleged misconduct has been properly characterized as "serious misconduct" warranting dismissal proceedings, the dean shall offer to bring this conduct characterization issue before an impartial committee composed of at least three faculty members or librarians who are jointly acceptable to the dean and faculty member or librarian against whom the allegations have been made. This group, referred to subsequently in this document as "the Committee", shall elect its own chair. If this offer for early assistance is accepted by the faculty member or librarian, the Committee, after meeting with the dean and the faculty member or librarian, is only to render an opinion as to whether the nature of the alleged conduct may properly be characterized as "serious misconduct" as defined in Section II. If the Committee deems pursual of dismissal proceedings to be inappropriate, it should so state. In that case, the Committee may weigh the interests of the faculty member or librarian and of the unit and suggest, if possible, alternative ways to accommodate those interests. In the spirit of informal resolution, all parties are expected to maintain collegiality, but nothing in these procedures precludes a faculty member, librarian or administrative officer from being represented by counsel or anyone else of choice. The entire procedure described in this paragraph should be completed within a reasonable period of time,

which ordinarily would be one week. The faculty member or librarian and the dean shall be apprised of the Committee's determination before any formal proceeding may begin.

Formal Proceeding Period:

If the preceding discussions do not resolve the matter, the dean, having a reasonable and plausible belief that dismissal is warranted, shall, within ninety days after the final informal meeting with the faculty member or librarian, provide that individual with written notice of intent to initiate formal proceedings to investigate possible misconduct; copies of the notice shall be given to the department chair/library director or other appropriate administrator, to the Dean of the Faculties, and to the Chancellor. This notice shall detail the specific nature of the allegations and list the witnesses, statements, documents and other evidence on which they are based.

The formal written notice shall be sent to the faculty member or librarian by certified mail. When a formal, detailed notice has been issued, the faculty member or librarian will be allowed 30 days from date of receipt to present to the dean or other administrator initiating the dismissal proceedings, written information in response to the allegations; will be allowed to be represented by counsel or anyone else of his or her choice; and is entitled to full access to all relevant information regarding the case possessed by the dean or other administrative officers, including the names and location of all witnesses. No information to which the faculty member or librarian is denied access shall be used by the administration.

After consideration of the written response, or if no response is received at the completion of the 30 day period, the dean may proceed. If the dean believes that the faculty member or librarian is guilty of serious misconduct and wishes to pursue the dismissal of the individual, the dean must forward a written recommendation for dismissal with supporting documentation to the Dean of the Faculties, who will add his or her recommendation and comments and then forward the entire file to the Chancellor. A copy of all materials forwarded, must be provided to the faculty member or librarian, who must be given an opportunity to provide comment and evidence in defense to the Chancellor.

If the Chancellor supports the recommendation for dismissal for misconduct, the Chancellor shall issue via certified mail a written notice to the faculty member or librarian stating the effective date of dismissal and stating with reasonable particularity the grounds on which the action is being taken.

The faculty member or librarian shall have the right to resign at any point in the proceedings prior to notification of dismissal by the Chancellor.

The faculty member or librarian shall have 30 days from receipt of the notice of dismissal from the Chancellor to request a hearing before a Faculty Board of Review (as per IUPUI Academic Handbook Supplement 1993-95, Bylaw Article IV)² regardless of the date of dismissal.

Nothing in this policy shall prevent designated University officers, including the Affirmative Action Officer or the Director of Internal Auditing, from conducting investigations as specified by University policies. Nothing in this policy shall prevent the University from referring matters of possible misconduct to city, state, or federal agencies that may have jurisdiction in the investigation of possible misconduct.

¹Indiana University Academic Handbook (1992, p.25)

² IUPUI Academic Handbook Supplement 1993-95

[approved by IUPUI Faculty Council, April 4, 1995]

*Ed. noterefer to the most current editions of the IU Academic Handbook and IUPUI Supplement for updated information.

Policy on Dealing with the Effect of Financial Difficulties
Upon Faculty at IUPUI

I. GENERAL PRINCIPLES

Academic organizations face the risk of serious financial problems which can be solved only by extraordinary means. As one of those extraordinary measures, suspension or dismissal of any faculty or librarians should be approached with great care and implemented according to plans

and policies developed outside an atmosphere of impending financial stress. Removal of the people with the primary responsibilities for carrying out the mission of the university places into immediate jeopardy the vitality of the institution and its ability to respond to the needs of its constituents. Accordingly, consideration of removal of persons with tenured or tenure-track academic appointment should never be considered as a tactic to be employed before other measures have been given a chance to work, much less as a routine or automatic step in the process of financial recovery, but rather as a measure of last resort, and the proponents of such action bear the burden of proving its necessity.

Risks of impairment to the mission and stature of the institution are posed by remedial measures and must be borne across the campus when an even greater threat to its very survival exists. Faculty should be prepared to bear part of that risk equitably with the other components of the institution. If such extraordinary circumstances exist, and reduction in force becomes a reality, all constituents of the university must be assured that faculty and administrators have worked together to address the problem and alternative solutions. Starting with the proposition that precipitous and ad hoc measures taken in the face of financial difficulties magnify the risk of institutional degradation, this statement of policy has been developed to guide the cooperative efforts needed to avoid or repair the difficulties. Persons whose jobs have been eliminated as part of the measures for ameliorating financial difficulties should be able to draw some assurances from these guidelines that their sacrifices are indeed extraordinary and that all lesser measures with any reasonable potential for addressing the financial difficulty have been implemented prior to the call for their sacrifice.

Because of the many different kinds and levels of financial difficulty that can arise on a campus as large and complex as IUPUI, it is necessary to have a flexible policy for response. To minimize the likelihood of an abrupt or sudden financial

exigency and to assure members of the university community that all measures have been taken to remedy the financial problems, it is essential to outline a structure for the responses to all levels of financial problems and assure broad cooperative participation in the development and implementation of the process. In light of the financial structure of IUPUI, it is imperative that the focus of solutions to problems should be as close to the source as possible. The following statement of guidelines is organized to respond to financial difficulties as a process that can develop from relatively minor problems to matters of grave and serious concern.

II. FACULTY INVOLVEMENT IN
BUDGETARY AFFAIRS

The Chancellor has ultimate responsibility for the financial health and integrity of the campus. Accordingly, the Chancellor and those administrative officers who are directly responsible to the Chancellor are expected to be directly involved in campus budgetary affairs. However, faculty also should be routinely involved in monitoring the financial health of the institution. The respective roles of faculty and administration in budgetary affairs provide a basis for collective action in addressing problems when the financial health of the institution is in question.

Early responses to impending financial difficulties hold potential for maximizing corrective effect at minimal cost. Conditions affecting the financial health of an educational institution certainly can change suddenly and with little or no warning. However, most conditions of financial difficulty are predictable with careful monitoring of the budgets of both academic and support units over a significant period of time. Overall or broad-based developments such as declining enrollments can also have obvious negative financial impact and must also be monitored. The predictability derived from the monitoring process can expand the lead time for response, allow remedial measures to be exerted at an early date in the development of conditions producing the

difficulty, and allow the negative impact of remedial measures to be spread over a wider time frame.

Effective responses to financial difficulties require the cooperation of administration and faculty. The best way to ensure informed faculty participation is through faculty budget committees at the school or unit level and at the campus level which have ongoing responsibilities in the development and review of budgeting. The nature and role of the school or unit budgetary committee provides decision makers immediate perspective on the financial difficulty and its history as well as a concrete view of the ramifications of solutions. The complexity of organization and financial management principles on the campus also makes it crucial that faculty be involved at the earliest stage of identification and consideration of alternative solutions to the problem.

The nature of the campus Budgetary Affairs Committee places it in a unique position to detect impending financial difficulties. It can bring to bear the experiences and insights of a broad base of faculty representatives knowledgeable in budgetary matters for review or development of plans to address financial problems at the campus, school or unit level. While the annual budget hearings in which the campus Budgetary Affairs Committee participates is the best mechanism for monitoring overall developments, budget committees at the school or unit level should be encouraged to communicate to the campus Budgetary Affairs Committee any information and concerns pertinent to the early stages of financial problems whenever they arise.

III. IMPENDING FINANCIAL
DIFFICULTIES

For a particular school or unit, financial difficulties can be recognized by administration and faculty at two different levels:

A. internally through the efforts of deans and faculty-selected school or unit budget committees; or

B. externally through the review function of the campus Budgetary Affairs Committee and the campus administration.

When the problem arises and is recognized or predicted at the school level, the dean and school committee should analyze it and formulate a plan for correction at their earliest opportunity. The information pertinent to the problem and the corrective plan should be communicated to the Chancellor's office.

At this early stage of consideration of financial difficulties, for example, when it is anticipated that financial reserves are exhausted; when flexibility from carryover is gone, a range of actions that hold promise of averting the problem should be considered and implemented. Discussion of corrective measures should give strong consideration to measures that increase revenues as well as those that reduce costs for such things as physical plant and equipment, or administrative and support services and personnel.

If the problem or the plan for addressing it arise from or affect other schools or other support units, the information pertinent to the problem and the plan for correction must be sent to the campus Budgetary Affairs Committee for review and recommendations prior to implementation. The plan will also be reviewed by the campus Budgetary Affairs Committee when the school or unit budget committee and dean are in disagreement. At any time, the school or unit budget committee may request information from or communicate its concerns to the campus Budgetary Affairs Committee.

When the problem arises within or from actions taken by a support center, faculty review may take place at the unit level in the appropriate faculty advisory committee. In any case, since financial difficulties in a support unit will inevitably affect other support and academic units, the problem and plans for its remedy will be reviewed by the campus Budgetary Affairs Committee.

Whenever the campus Budgetary Affairs Committee is involved in the formulation or review of a plan for correction of fi

nancial difficulties, the final plan should be the product of joint efforts of the committee and representatives of the Chancellor's office and the Deans' Council.

IV. FINANCIAL CRISIS:

Conditions may arise which will indicate that the financial difficulty presents a financial crisis that if not addressed decisively and with dispatch could seriously jeopardize the financial health of the institution. Financial crisis exists when any one or a combination of the following conditions present themselves, but it may present itself in ways other than those listed here:

A. A problem presenting financial difficulty may be recognized in the early stages of analysis as one that cannot be resolved at the school or unit level.

B. An earlier recognized difficulty may not be responsive to measures designed and implemented at the school or unit level to correct it.

C. New circumstances may arise which actually worsen the financial condition despite the application of corrective tactics.

D. An unanticipated and externally-generated problem may suddenly present itself, for example, deep reductions might be mandated by the General Assembly or sudden and unexpected enrollment declines might occur.

In crisis conditions it becomes necessary to broaden lines of communication and to consider more serious remedial steps. Since the problem can arise from and affect both school or unit and campus levels, the remedial tactics to address the crisis will be formulated by different constituent groups and have different attributes depending upon the level of origin and effect. At minimum, the campus Budgetary Affairs Committee and the Chancellor will communicate the existence of the crisis to the Faculty Council, and allow opportunities for questions and discussion.

If the problem arises at the school or unit level, the school or unit budget committee and dean should proceed much in the same way as described in part III of this

statement. However, under crisis conditions the participants will consider more drastic corrective measures, (such as adjustment of taxes for support units; reduction of administrative expenses; sale of university property; early retirement; reorganization, merger, or elimination of academic programs; and non-reappointment of faculty upon the expiration of the term of appointment).

In the extraordinary circumstances where the problem arises in a single school or unit and the financial condition of that school or unit, by the demands it places upon the resources of other components, threatens the mission of the institution, the Chancellor may initiate the process for declaring financial exigency.

Although crisis conditions are very serious, they are not grounds for involuntary dismissal of a faculty member or librarian with tenure or serving a term of an unexpired appointment as a solution to the crisis. Nor shall such dismissals be undertaken in the name of attaining greater efficiency or for purposes of reducing the proportion of faculty or librarian salary lines in school or unit budgets. When such drastic measures become necessary, they require invoking the process for the declaration of a state of financial exigency described below in this policy statement. Reductions in force in support units should take place prior to dismissal of tenured faculty or librarians, non-reappointment or termination prior to the expiration of a term of appointment.

The steps to be followed under conditions of financial crisis at the school or unit level are as follows:

1. After notification of the Chancellor's office of the circumstances that indicate the existence of a crisis, the school or unit budget committee and the dean must participate jointly in the formulation of a plan to address the problem.

2. Upon the development of a plan, the dean will submit the plan to the Chancellor's office and shall include a statement indicating the faculty's position on the plan. In the event of a disagreement between the dean and

the faculty, the disagreement and the basis for it should be clearly stated.

3. Upon receipt of the plan, the Chancellor's office will forward a copy of the plan, including a statement of the faculty's position on the plan, together with supporting documents and information, to the campus Budgetary Affairs Committee for review and recommendations for modification. In the event of disagreement between the dean and the faculty, the disagreement and the basis for it should be clearly stated.

4. Upon receipt of the recommendations of the campus Budgetary Affairs Committee, the Chancellor will implement the plan (as modified or approved).

If the problem arises from or affects more than a single school or unit, including support units, the crisis carries broader implications and must be addressed with remedial measures on a commensurate scale. When conditions of a crisis arise from or affect multiple components of the university, it may be appropriate to utilize university reserves to remedy the conditions. Consequently it is imperative that the campus Budgetary Affairs Committee be involved as early as possible in a collaborative effort with central administration, schools, and administrative service units as necessary to formulate the remedial plan. No tenured faculty member or librarian shall be involuntarily terminated for reasons of financial crisis. Upon the issuance of a letter to a faculty member or librarian giving notice of non-reappointment upon the expiration of a term of appointment for reasons of financial crisis, the responsible dean or director, the Chancellor, and the Executive Vice Chancellor and Dean of the Faculties shall report that fact to the Faculty Council at its next regular meeting. The report shall include assurances that the responsible dean or director has given every reasonable consideration of alternatives to dismissal.

V. FINANCIAL EXIGENCY

A. Declaration of financial exigency

The most extreme financial difficulty is that of financial exigency: when conditions pose an imminent threat

of indefinite duration such that the central mission of the campus is in jeopardy, American Association of University Professors, Recommended Institutional Regulations on Academic Freedom and Tenure §4 © defines "financial exigency" as "an imminent financial crisis which threatens the survival of the institution as a whole and which cannot be alleviated by less drastic means." The Chancellor, upon becoming apprised of evidence that the financial condition of the institution has reached or is about to reach this stage, will share the pertinent information with the campus Budgetary Affairs Committee and ask it to consider the possibility of a declaration of financial exigency.

Upon receipt of the Chancellor's request, the campus Budgetary Affairs Committee shall consult with the Faculty Affairs Committee and representatives of other affected groups to obtain any other information necessary to consider the advisability of declaring financial exigency.

Within 30 days of the request from the Chancellor, the campus Budgetary Affairs Committee shall submit to the Chancellor and the Faculty Council a written report on its deliberations, its judgment on the severity of the situation, and its recommendations. If in the judgment of the campus Budgetary Affairs Committee the severity of the financial condition warrants a declaration of financial exigency, it shall state that judgment in the report.

Upon receipt of the report from the campus Budgetary Affairs Committee, the Chancellor shall discuss its recommendations with the President or designee of Faculty Council and the chairs of the campus Budgetary Affairs and Faculty Affairs Committee. If this discussion leads to the conclusion that the institution is suffering a financial exigency, the Chancellor shall, in a forum open to all faculty, declare that the campus has reached a state of financial exigency and present a summary of the reasons

and evidence supporting that declaration. After making the declaration, the Chancellor shall allow ample opportunity for questions and discussion.

B. Formulation, review, and reporting of a detailed plan for meeting financial exigency

1. Formulation

Only when financial exigency has been declared is consideration of the most drastic of remedial measures appropriate. While it must be recognized that it may be necessary to dismiss tenured faculty or librarians, not reappoint, or terminate prior to the expiration of a term of appointment, such action should be taken only as a last resort.

The Chancellor has the responsibility for dismissal of faculty or librarians with tenure, non-reappointment, and termination before the expiration of a term of appointment. It is imperative that decision makers at the school or unit level be involved in the consideration of such actions as remedial measures for financial exigency, and that they and their respective faculties have in place detailed policies and procedures well in advance of the occurrence of financial exigency. However, deans and school or unit faculty committees do not have unilateral authority to implement such measures. Because financial exigency reflects the condition of the campus as a whole and permits the dismissal of faculty or librarians whose tenure originally was approved by the President and Trustees of Indiana University, the dismissal of tenured faculty or librarians for financial exigency must be authorized by the President and reported to the Indiana University Trustees.

Termination of faculty or librarians with tenure, non-reappointment or termination before the expiration of a term of appoint

ment under circumstances of financial exigency is a fundamentally different process from dismissal of tenured faculty or librarians for misconduct or incompetence because the elements of individual fault and responsibility are not present in the former. Accordingly, no tenured faculty members or librarians will be dismissed for reasons of financial exigency prior to the formulation of a Financial Exigency Plan developed by all affected schools or units. The Chancellor, in consultation with the campus Budgetary Affairs Committee, will determine which components of the university will be involved in developing the plan to resolve the state of financial exigency.

Preparation of the detailed written plan shall be the collaborative responsibility of a task force which will include the appropriate administrative officers and representatives of the faculty groups or librarians who will be affected by the implementation of the plan. The composition of the task force will be guided by the campus Budgetary Affairs Committee's identification of the affected schools. The Chancellor will appoint the members, and such appointments must include some faculty members drawn from a list of recommendations submitted by the President of the IUPUI Faculty Council. Each affected school or unit will submit specific recommended actions, including identification of the specific individuals who are to be dismissed under the terms of the financial exigency.

The faculty of each unit in consultation with the unit head shall adopt standing policies and procedures which will guide the development of the detailed plan described above. Included in these policies will be the criteria for selecting the departments, pro

grams or units within the school or individuals to be dismissed. These policies and procedures should be generated prior to the development of a state of financial crisis within the school or unit.

The criteria for selection of components of a school must consider the centrality of the component to the school or to other schools, its mission, its quality, the complementary of the component to other components within the school or campus, duplication of work done in other components, and student or community needs. Relative to the dismissal of individuals, the weighting of factors such as rank, seniority in rank, length of service at IUPUI are to be included. The criteria must stand the test of fairness and equity without regard to age, sex, color, race, national origin, religious preference, status as a veteran, political preference or allegiance, or sexual preference. In addition, given the university's long range commitment to diversity, such dismissals should consider the sexual and racial balance of faculty and librarians in the unit.

If this policy for responding to financial difficulties has been followed, by the time financial exigency is declared, in addition to faculty and librarians with tenure or serving an unexpired term of appointment, only those administrators, support personnel and non-tenured faculty deemed essential to the central mission of a unit designated for reduction will remain. Dismissal of a faculty member or librarian with tenure in favor of retaining a faculty member or librarian who has not attained tenure is a departure from AAUP policy and jeopardizes the academic freedom and economic security implicit in tenure that is acknowledged by Indiana University. (Indiana University Academic Handbook, "Faculty and Library

campus offices. The Budgetary Affairs Committee and the Faculty Affairs Committee will submit comments and recommendations to the Chancellor within one month of receipt of the final plan.

After receiving the recommendations of the Budgetary Affairs Committee and the Faculty Affairs Committee, and other bodies whom the Chancellor might consult, such as the Council of Academic Deans, the Chancellor will finalize the Financial Exigency Plan and notify appropriate administrators, faculty representatives, the President, and Indiana University Trustees.

3. Reporting

The Chancellor will ensure that timely, accurate, and comprehensive information about the status of the development and implementation of the Financial Exigency Plan is provided to the entire academic community throughout the process. The Chancellor will report to the IUPUI Faculty Council regularly for the duration of the financial exigency.

C. Procedures

1. Notification of Dismissal

The Chancellor has responsibility for implementing the plan by notifying tenured faculty and librarians of their dismissal and by directing other campus administrative officers to take the steps required to implement the plan. The Chancellor will have responsibility for notifying tenured faculty or librarians that they are dismissed under conditions of financial exigency and shall issue the notice of dismissal in writing via certified mail. The notice will include a summary of the conditions which led to the declaration of financial exigency. A tenured faculty member or librarian will have at least two years' notice prior to dismissal or receive an amount equal to at least two years' salary

Tenure" 1992 p.21) It can be justified only in the extraordinary circumstances where a serious distortion of the academic program would result. Any plan that retains untenured personnel while dismissing tenured personnel must clearly and convincingly justify the departure from policy. Changes in the status quo of an academic program, such as reduction in the number of course sections or increase in student-to-faculty ratios, of themselves do not constitute "serious distortion." However, all personnel who remain should recognize that their assignments and duties may be affected by actions that are consistent with the policy on reassignment and reorganization.

The IUPU Columbus faculty and librarians hold tenured appointments through the departments and schools of the IUPUI campus, but the budget which covers their salaries is separate and distinct. This policy for financial difficulties applies to IUPU Columbus.

2. Review

The task force will consolidate the recommendations received from each school and unit into a final plan. The task force may request modification of individual school or unit plans before incorporating the recommendations into the final plan. The final plan, along with any comments from the affected schools' and units' committees, is forwarded to the Chancellor, who within one week will present the plan to (1) the Budgetary Affairs Committee for final review and comment on the budgetary aspects, (2) the Faculty Affairs Committee for review and comment on the consistency of the application of the school or unit's policies and procedures for identification of the faculty or librarians to be dismissed, (3) the Faculty Council Executive Committee for information purposes and (4) other appropriate

and benefits or a combination of the two. Other employees affected by the financial exigency, including other academic appointees, shall be entitled to such notice as normally applies for any termination except misconduct.

2. Faculty Board of Review

Within a reasonable time following receipt of the notice of dismissal from the Chancellor, the individual faculty member or librarian may request a hearing before an IUPUI Faculty Board of Review. The issues in this hearing may include the following:

a. Whether the policy and procedures for declaring financial exigency have been followed. The burden will rest on the administration to prove compliance. The findings of Faculty Boards of Review in previous proceedings involving issues of the adherence to policy and procedures for declaring financial exigency may be introduced in subsequent board of review hearings if, but only if, all information identifying the grievant has been removed from the findings to be introduced.

b. The validity of the judgments made at the school or unit level and the criteria developed by the school or unit for identification of an individual for termination, but the recommendations of a faculty body on these matters will be considered presumptively valid and will be overturned only upon a clear showing by the grievant that the recommendations were fundamentally unfair.

c. Whether the criteria are being properly applied in the individual case.

The purpose of a faculty board of review proceeding upon an individual's grievance shall be

to determine if the individual's selection for dismissal has been made fairly and in accordance with the policy and procedures specified in the Financial Exigency Plan. It is not for the purpose of opening up, on a wholesale basis, the merits of the declaration of a financial exigency, or the plan for addressing the financial exigency.

Any Faculty Board of Review convened for the purpose of reviewing a dismissal for financial exigency shall proceed to conclusion as soon as practicable, and must make its final report within three months of its receipt of a petition for review of such dismissal.

3. Replacement; reinstatement of dismissed faculty or librarians

Replacement and reinstatement of faculty dismissed pursuant to the financial exigency plan shall be governed by the following rules:

a. Vacancies created by dismissal of tenured faculty or librarians and faculty not reappointed or terminated prior to expiration of the term of appointment: For at least three years following dismissal, school or units that have terminated faculty or librarians pursuant to a financial exigency plan shall offer such person reinstatement and a reasonable time in which to accept or decline the offer prior to hiring a replacement for the dismissed faculty member or librarian.

b. Vacancies in tenured positions created by normal attrition: Within an affected school, unit, or University Libraries, essential replacement hiring to fill vacancies in tenured positions created by normal attrition shall be possible for the three year limitations periods above, and every consideration shall be

given to hiring dismissed faculty or librarians if the possibility exists for retraining or adapting to the requirements in the area of need.

c. Replacements for part-time positions: Every reasonable effort should be made by the affected school or unit to reinstate dismissed tenured faculty members and librarians before hiring replacements for part-time positions. Replacement hiring for part-time positions is appropriate in cases where part-time positions have been a regular component of the school or unit's workforce, and continuation of such positions is necessary to maintain the financial health of the school or unit.

d. Faculty Board of Review: Dismissed faculty or librarians have a right to request a Faculty Board of Review within the three year limitations periods above for the purpose of obtaining review of issues concerning hiring or reinstatement decisions that affect them.

4. Special Considerations for Dismissed Tenured Faculty and Librarians

Because faculty or librarians dismissed under financial exigency lose their position through no fault of their own, these individuals qualify for special considerations. As stated above, every consideration must be given to hiring dismissed faculty or librarians if the possibility of retraining or adapting to the needs of other units exists. Consideration for appointments in other units might include administrative or professional duties as well as teaching, research or service related to the faculty member's or librarian's areas of competence. The Dean of Faculties' office will also provide assistance in identi

fying positions on other campuses of Indiana University for these individuals. Faculty or librarians dismissed because of financial exigency will be notified of professional or administrative vacancies for which the individuals may be qualified for at least one year following termination of appointment. Every reasonable effort will be made to assist faculty or librarians in securing a comparable position at another institution.

For the three year period following dismissal for financial exigency or until appointment to a comparable position is achieved, the individual will be considered to have "affiliated" faculty or librarian status which, at a minimum, entitles the individual to use of the library; use of campus facilities under the same applicable fee structure that applies to other faculty members; purchase of health insurance under the same regulations that apply to faculty or librarians on sabbatical or unpaid leaves; office space where the office would not otherwise be occupied; use of office equipment that would not otherwise be used or disposed of, to include computers, printers, copy machines, telephones, etc.; and access to university computing services to the same extent as prior to dismissal or to the same extent as applies to retained faculty or librarians (e.g., e-mail, Internet, dial-up privileges). To the extent permitted by the terms of contractual obligations undertaken by the University with third parties in providing for retirement plans, faculty members and librarians dismissed pursuant to a Financial Exigency Plan shall retain rights to contribute to retirement funds.

D. Duration of declared state of financial exigency; report of actions

Although it may take a long time for the remedies to financial exigency to take effect, it is a condition based on future expectations which can change more quickly. As a result, the declared state of financial exigency will lapse after one year, at which time a report on the steps taken and resulting changes in financial conditions and projections must be made by the Chancellor to the campus Budgetary Affairs Committee, Faculty Council, the President of the University and University Trustees. Any further consideration of dismissal of faculty or librarians with tenure, non-reappointment or termination prior to the expiration of a term of appointment for reasons of financial exigency will require a new declaration of financial exigency, preparation of a Financial Exigency Plan, and adherence to the principles and procedures set out in this document.

A final report of the actions taken under financial exigency will be prepared by the Chancellor and kept on file in the Faculty Council office and the Office of the Chancellor. The report will be filed when all actions are complete or within one year of the date of declaration of financial exigency, whichever occurs earlier.

GRIEVANCE PROCEDURE
FOR DESIGNATED ACADEMIC APPOINTEES

The Grievance Procedure as outlined below is for those full-time academic employees not covered under current formal grievance procedures. Specifically, the following procedures are applicable to: visiting faculty (IRVX), teacher (IR92), research associate (IR93), postdoctoral fellow (IR98), and a small group of professional counselors (PCX). Most full-time academic appointees holding faculty rank (instructors, professorial ranks, and librarians), including clinical faculty as well as full-time scientist/scholar ranks and full-time lecturers, are eligible to use Faculty Boards of Review to resolve grievances. All other full-time

academic appointees as listed above may use the procedures stated below. Grievances considered through this process include dismissal, non-reappointment, academic freedom, or other conditions of work. Part-time lecturers and other part-time academic appointees may use procedures established in the policy statement, "IUPUI Policies Concerning Part-time Academic Appointees." Professional, technical, and all other employees are eligible to use the process set forth in the Human Resources Administration Handbook.

1. A resolution will first be attempted at the program or department level and the grievance will be heard by the director or department chair. In schools without departments or programs, the dean or designee will consider the grievance. Grievances must be initiated within a reasonable time after the cause of the complaint but not longer than six months. Grievances which are not filed in a timely fashion may not be considered.

2. If the grievance cannot be resolved at the department or program level, the employee has 10 days following a meeting with the chair or director (or designee) to submit the grievance in writing to the dean. The dean will respond in writing within 30 days of receiving the written statement. The dean may hold meetings, appoint panels, and review evidence in reaching a resolution. The employee has the right to present information, to be present for formal proceedings, if any, convened to make a recommendation to the dean, and to have access to any documents or information considered as a part of the process.

3. If a satisfactory resolution cannot be achieved at this level, the employee has 10 days following a response from the dean to make a written request for resolution to the Dean of the Faculties. The Dean of the Faculties will try to resolve the issue informally and inform the employee of the results within 30 days of the receipt of the written request.

4. If the Dean of the Faculties is unable to resolve the grievance informally, the employee may request a hearing. Within 10 days of the request for a hearing, the Dean of the Faculties will appoint an ad hoc committee to review and make a recommendation on the grievance. The committee will be composed of at least three persons; at least one person must hold the same or equivalent classification of the person who has filed the grievance. The committee will make its recommendation to the Dean of the Faculties within 30 days of its appointment.

5. After consideration of the recommendation from the ad hoc committee, the decision of the Dean of the Faculties will be final. It will be communicated in writing to the employee and all others who had earlier considered the grievance.

Effective: August 1, 1996
Issued By: Dean of the Faculties, IUPUI

Other Academic Appointments

Research Associate

Research associates are professional academic appointees who are full-time researchers, but do not qualify for appointment to a research rank. The vacation and sick leave policies for these individuals are the same as for any other twelve-month academic staff as outlined in the Indiana University Academic Handbook. On the IUPUI campus, they have representation on the Staff Council, and special grievance procedures have been developed for research associates and other academic staff who do not have access to Faculty Board of Review procedures.

IUPUI Policies Concerning Part-time Academic Appointments

School and Campus Policies

Most part-time academic appointees are hired by schools on a temporary basis for term appointments based on changing needs. Subject to review by the Dean of the Faculties, each School is responsible for appointing, evaluating, and reappointing part-time academic staff in accord with the policies found in the Indiana University Academic Handbook. Consistent with the Academic Handbook and the following general policies, each School should develop its own policies and procedures statement for part-time academic staff; in the absence of school statements, the following general policies will apply to part-time academic appointees.

ACADEMIC APPOINTEES

Although most part-time appointments are made at the rank of lecturer, appointment at other ranks may be approved when credentials and circumstances warrant. Within that framework, the following guidelines apply to lecturers, research associates, scientists, scholars, and faculty (instructors, assistant professors, associate professors, professors) who are appointed part-time. Schools may elect to cover other academic or professional appointees within their policies.

EXCEPTIONS

These policies do not apply to part-time persons appointed to line-numbered positions on a continuing basis even though their appointments are less than 100%. Similarly, student academic appointees (i.e., associate instructors, graduate assistants, faculty assistants, and research assistants) are a distinct group and should be covered by separate policies; however, policies for student academic employees should reflect the same concerns addressed below and should be stated in writing.

In brief, each academic appointee, whether full-or part-time, should have the benefit of and be advised of what policies govern her or his conditions of employment. The policies are not the same for full-time and part-time academic appointees.

A. Initial Appointment

Prior to the initial appointment of a part-time academic member, the unit administrator must file a completed Personnel Action Form, Personal and Professional History Form, an I-9 Form, a current curriculum vitae, at least two references, and verification of academic credentials; telephone validation of credentials is acceptable, but a signed memorandum should be entered in the file. New applicants should be interviewed by the department chair or designee (and other faculty as appropriate to the position and the practices of each unit). This information needs to be collected only once and only in one school. Unless requested, it need not be forwarded to the Dean of the Faculties Office, but it should be maintained in school files.

Appointments may be made for any length of time up to one year. No appointment, whether initial or recurring, may exceed 60% of full-time load (typically one three-credit-course equals a 20% appointment), inclusive of appointment in all units, without written prior approval of the Dean of the Faculties; appointments in excess of 60% will ordinarily not be approved for more than one semester. The review by the Office of the Dean of the Faculties is intended to avoid situations where cumulative appointments for a single individual in several schools might exceed allowable guidelines.

Each part-time appointee is entitled to receive a written offer of appointment which states the term, salary, and any particular conditions imposed by the appointing unit for the appointment. If the appointment is contingent on a certain threshold level of student enrollment in a course, for example, this condition must be stated; if part-time academic staff may be "displaced" by full-time faculty, this procedure should be explained.

B. Support

Upon initial appointment, each part-time appointee should be provided an orientation to teaching within the unit, to department and School policies, and to requirements affecting all faculty (e.g., meeting classes, observing the final examination schedule, submitting grades on time). Additional information about support services (e.g., Office of Adaptive Educational Services), emergencies, University Library, a copy of the "Code of Aca

demic Ethics," and a copy of this policy or the School policy should also be provided.

The orientation should be designed to meet the needs of the part-time appointees and the unit. It should include information about each course assigned to the part-time member, including textbooks, objectives, grading standards, course outline, minimum requirements, and other information essential to teaching the course in a manner consistent with curriculum integrity. The part-time appointee should provide a course syllabus to the department chair prior to the beginning of classes. The syllabus must be consistent with the course description and with the rules and regulations of the unit; it must be approved by the course or department chair. Part-time academic staff are subject to the supervision and review of the chair or other appointing officer.

The school or department should provide support services necessary for the responsible conduct of the courses assigned. Part-time appointees should be oriented to the services available and how to gain access to those services. Schools and departments are encouraged to integrate the part-time academic staff as colleagues into unit activities in appropriate ways.

C. Evaluation

The performance of each part-time appointee should be reviewed according to a systematic plan. A written statement summarizing the substance of each evaluation should be maintained in department or school files and a copy given to the part-time member. The Office of the Dean of Faculties should receive a copy of the evaluation protocol for the unit and written notification that reviews have been completed (and filed) according to the protocol; copies of individual evaluations should not be forwarded unless requested.

Each unit should design its evaluation protocol to meet the needs of the unit and the part-time appointee for the purposes of professional development and personnel decision. A common component of the evaluation system should be that all courses taught by part-time persons are evaluated regularly using assessment materials and processes as prescribed by the unit; student evaluations and full-time faculty peer evaluations should ordinarily be components. The part-time appointee should have the opportunity to attach comments to

the evaluation data which become a part of his or her file. Part-time academic staff should have the option to submit sample materials to demonstrate teaching performance and the obligation to submit specific materials based on the school or department evaluation protocols. Class visitation is strongly encouraged as a part of the evaluation of part-time lecturers new to the unit or those seeking or needing developmental guidance.

Based on evaluation materials, the responsible unit administrator should provide an evaluation summary and a recommendation regarding future appointment. This summary should be shared with the part-time appointee and a copy should be filed in the Office of the Dean. Reappointment should not occur in the absence of evaluation data and a positive reappointment recommendation.

Part-time appointees must recognize that class visitation by the department chair or designee is expected. Part-time appointees are required to cooperate in evaluation of teaching, including class visitation.

D. Continuing Reappointment

In unusual circumstances, some part-time academic staff may be reappointed on a continuing basis. Such reappointment should be for a fixed term to meet specific needs, along with other conditions. Specifically, there are no indefinite term appointments for part-time lecturers. Further, any appointment in excess of 60% for longer than one semester or term is an exception and is subject to written prior approval by the Dean of the school.

Reappointment is based on unit need and performance. When dismissal is based on performance, the part-time academic appointee may seek a review of the decision within the unit of appointment and according to applicable review procedures of that unit. There is no review process for non-reappointment. In all cases, the review of the Dean of the school will be final; there is no appeal process for dismissal or other grievances beyond the Dean of the appointing school.

E. Academic Freedom

Part-time academic appointees must observe the Code of Academic Ethics statement of rights, responsibilities, and enforcement procedures found in the Indiana University Academic Handbook. Complaints by students

involving part-time academic appointees will be resolved in the same manner and with the same assurance of due process as is followed for full-time faculty and as specified in the Code of Student Ethics (or approved School alternative).

F. Salary

Each school will establish salary schedules for part-time academic appointees annually. The salary schedule must be made available in writing upon request. Salary complaints must be addressed within the school in accord with established procedures.

G. Salary and Stipend Policy for Part-Time Academic Appointees and Graduate Academic Students

Each school will establish salary schedules for part-time academic appointees and for graduate students annually. Salary minima for each classification will be set by the Dean of the Faculties in consultation with the Graduate Affairs Committee. The school salary schedule must be made available in writing upon request and must be on file in the Office of Faculty Records not later than July 1 for the academic year covered by the schedule. Salary complaints will be addressed within each school in accord with written procedures established by the school.

Each school will establish its own policy for Fellowships awarded directly by the school. Campus-wide fellowship funds will be awarded in accord with policies established by the Fellowship Committee and approved by the Graduate Affairs Committee. To assist schools in developing fellowships which are regionally and nationally competitive and to promote greater consistency among comparable units, the Fellowship Committee will issue a fellowship advisory annually to suggest the amount of awards that are most likely to attract highly qualified students.

Teaching Loads
at IUPUI

Overload Teaching:
Full-time Faculty

Credit and non-credit courses taught in addition to a normal load are considered overload. "Normal load" is evaluated in the context of the faculty member's academic unit and is equivalent to the unit's and the institution's estimate of a full-time combination of teaching, research, and service functions. Overload teaching is considered to be in the category of outside activities, although the instructional services usually are rendered within the University. Therefore, amounts of time and remuneration are not to exceed the guidelines stated in the policy on Outside Activities and Extra Compensation in the University Academic Handbook. Prior notice to, and approval by, the faculty member's administrative officer are required before the beginning of overload activity. Except in emergencies, overload is not permitted within the faculty member's school or division. That is, a faculty member may not teach regularly on an overload basis within the department or school to which that faculty member has been appointed. Questions concerning faculty overload which cannot be resolved at the academic unit level should be referred to the Office of the Dean of the Faculties at IUPUI.

Teaching Loads:
Full-time Faculty

The Trustees of Indiana University have established an expectation that faculty in most schools on the IUPUI campus will teach six sections per academic year, taking into account the higher research expectations of this campus in comparison with the regional campuses where eight sections per year is the norm. However, the Trustees also recognize that the actual teaching assignment for an individual can best be determined at the department or school level. For this reason, the Trustees have set specific expectations for departments and schools in terms of the whole unit instead of individuals. As long as the department or school is meeting its expected capacity, individual faculty may have

differentiated teaching assignments to take into account research, administration, professional service, and service to the University. Department chairs and deans are responsible for establishing the teaching assignments of individuals consistent with the expected capacity of the whole unit.

Statement on
Faculty Work

A context for the continuing, consultative, and collegial discussion of the evolving nature of faculty work is provided by the statement written by the IUPUI Executive Vice Chancellor and Dean of the Faculties. (See Appendix D) The statement informs faculty of administrative philosophy framing issues involving varied aspects of faculty functions since teaching, research, and public service are linked to dealing with resource constraints, University-wide strategic planning, and defining departmental, school, campus, and University missions.

Salary Information

IUPUI Campus Salary Policy for Faculty and Librarians

In April 1989 the University Faculty Council adopted a set of principles guiding the Indiana University faculty and librarian salary policies. Whereas these principles apply to all of Indiana University's eight campuses, formulation of salary policies remains an individual campus prerogative. Consistent with the five-year academic plan of each school, as expressed in the 1988-2000 IUPUI development plan, and in keeping with the dispersion of operational control inherent in adoption of Responsibility Center Management, authority for implementing salary policies is delegated to the individual units. Annual performance review to assure adherence to the principles, as well as to the academic plans, will be carried out at the campus level by the Chancellor and the Dean of the Faculties, in consultation with the Budgetary Affairs Committee of the IUPUI Faculty Council

1. All responsibility centers will establish their own written salary policy (which should be reviewed annually), consistent with University policies and procedures. These individual unit salary policies will also be reviewed annually by the Dean of the Faculties in consultation with the Faculty Council Budgetary Affairs Committee.

2. With the advice of the Budgetary Affairs Committee and campus administrative officers, the Chancellor will allocate new state appropriations to responsibility centers each year. These allocations will be made in at least three ways. First, funds appropriated for specific purposes by the General Assembly, such as for programs improvement efforts, will be allocated in accordance with legislative priorities. Secondly, allocations will be made from a campus reserve fund to achieve academic program goals and objectives. Thirdly, a direct allocation will be made to units to address price inflation, to award salary increases (which also may be addressed in one of the two allocations), and to achieve other unit-specific objectives.

a. Allocations for program improvement: The Indiana General Assembly usually enacts a budget that includes specific program improvement appropriations for Indiana University. These funds are distinct from those noted below in items 2.b. and 2 Program improvement may include attracting and retaining high quality faculty. These appropriations will be distributed to responsibility centers in accordance with legislative priorities.

b. Allocations from campus reserve fund: Preceding any general distribution to responsibility centers, a campus reserve fund will be established at a level of between ¹/2 of 1 percent and 1 percent of the total campus general fund expenditure budget. The fund will be created annually from whatever new appropriations (i.e., increases in the general fund of the campus)

are made by the General Assembly. In consultation with the Budgetary Affairs Committee, the Chancellor will allocate this campus reserve fund to responsibility centers in accordance with the campus academic plan. The Chancellor will report on progress in implementing the campus plan through these allocations in the annual State of the Campus address. Typically, allocations from the campus reserve fund will not be for salary increases, although there may be exceptions in special cases to address inequities.

c. Direct Allocation: In consultation with the Budgetary Affairs Committee, and after the establishment of the campus reserve fund, the Chancellor will allocate new funds directly to units from the balance of new state appropriations. These are the funds which will be provided to address price inflation, to award basic salary increases (possibly in combination with quality improvement funds allocated under paragraph 2.a.), and to achieve other unit-specific objectives. In this connection, the Chancellor may establish a campus-wide minimum responsibility center average salary increase. For example, the Chancellor's office may require that the average faculty salary increase for each academic unit be 5 ¹/2 percent. The responsibility centers would have to meet this requirement so that the average for each unit was 5 ¹/2 percent. Responsibility centers may exceed the announced minimum average through internal reallocations but they may not provide less than the announced minimum average without prior authorization from the Chancellor's office. The Chancellor will announce any campus-wide minimum average salary increase to the IUPUI Faculty Council not later than the last scheduled meeting of the Faculty Council during the academic year,

or to the Executive Committee of the Faculty Council if the decision to establish a minimum is made after the last meeting of the academic year.

3. Finally, the dean of each school (or director of each responsibility center) will be responsible for administering all unit allocations. The dean or director of each unit will allocate salary increases in accord with the unit's written policy statement. Each unit will be required to have an expenditure budget on file prior to submitting salary recommendations for the next fiscal year. Each expenditure budget will be reviewed for consistency with the unit's five-year academic plan by the Dean of the Faculties.

The above policy was established by the Office of the Chancellor and reviewed by the Budgetary Affairs Committee on February 26, 1990, following IUPUI Faculty Council discussion on February 1, 1990.

Salaries as Public Records

The Policy Governing Access to and Maintenance of Academic Employee Records (University Academic Handbook, 1992 Edition) stipulates that employee compensation is public information. The Office of the Vice Chancellor for Administration and Finance maintains current budget year salaries for all employees, and this information is available for review in that office.

Faculty Awards

Various faculty awards given at IUPUI are described below. For deadline dates, additional information about other opportunities at IUPUI and on system awards, and consultation, contact the Office of Faculty and Professional Staff Development.

The Glenn W. Irwin, Jr., Research Award

Awarded every other year, a scholarship fund of up to $25,000 is set aside to recognize faculty making unique and important contributions to the institution and to their profes

sion. The highest faculty research award of the campus is named in honor of Glenn W. Irwin, Jr., M.D. who served with distinction as Professor of Medicine, Dean of the School of Medicine, Chancellor of IUPUI, and Vice President of Indiana University. The scholarship fund may be used during a two-year period at the discretion of the recipient and might include sponsoring a national symposium, released time for research, or a series of seminars of national importance. A national or international reputation is assumed as a prerequisite for the scholarship. Schools may nominate faculty members, but the selection committee will also identify possible candidates. Nomination deadline: November 1 in even numbered years. Additional information is available.

Outstanding New Faculty Award

Up to $10,000 will be awarded to outstanding tenure track scholars who received their Ph.D. (or terminal degree) within the last seven years and who show promise of achieving true distinction as scholars, professionals, or artists. Distinction will be based on past accomplishments, a clear plan of action, and letters attesting to likely performance. Funds may be used for summer salary, released time, a grant-in-aid, or a combination. As many as five awards may be made annually, and awards may be less than the full amount requested. Deadline for application: April 1

Chancellor's Awards

These awards are given annually to faculty members who best exemplify the high standards of teaching expected at IUPUI, and who have earned respect and admiration from colleagues and students alike for the gift of instilling in students a love of learning and a respect for knowledge. It is the highest campus award in recognition of teaching excellence. Two awards are presented annually at the Chancellor's Honors Convocation. The award for full-time faculty is a base salary increase of $3000. For part-time, a cash award of $2000 is made. The awards are based on nominations from students or faculty. Nominations should be made to the faculty member's dean by a date established by each school in accord with its own procedures. The dean's office

then prepares all supporting materials for submission to the Faculty and Professional Staff Development Office by January 15. A committee appointed by the Associate Dean of the Faculties reviews the dossiers and makes its recommendation to the Dean. Nominees not receiving an award in the year nominated may be reconsidered the following year, providing nomination materials are resubmitted.

Bynum Mentor Awards

Each year the campus recognizes outstanding academic mentors by designating one faculty member and one academic professional or part-time lecturer as Bynum Mentors. The award is named in honor of the former Dean of the University Division, Alvin S. Bynum, in appreciation of his personal encouragement of individual achievement among students by his working with them individually and helping them discover their potential for growth through learning. To be eligible, candidates must have provided unusual service as an academic advisor or personal mentor to students over a period of several years and thus have demonstrated a cumulative impact on the quality of learning available at IUPUI. The award is intended to recognize service to students at the undergraduate, graduate, or professional levels. The awards, $1000 for a faculty member and $500 for a staff member, are presented annually by the Chancellor at the Honors Convocation. Candidates may be nominated by students, faculty, or staff before January 15. A committee appointed by the Associate Dean of the Faculties for Faculty and Professional Staff Development reviews the dossiers and makes its recommendation to the Dean. Additional information is available from the Faculty and Professional Staff Development Office.

Glenn W. Irwin Experience Excellence Awards

The IUPUI Glenn W. Irwin, Jr., M.D. Recognition Awards were established in 1984 as the IUPUI Experience Excellence Awards. At Dr. Irwin's Retirement in 1986, the name of the award was changed to honor Dr. Irwin for the many significant contributions that he made to IUPUI. Winners of this award have been nominated by the faculty and staff at large.

Guidelines developed by the original selection committee established a policy to present an equal number of awards to staff members and to faculty members on an annual basis.

All of us are here to do a specific job at IUPUI. The focus of this award is to recognize those individuals whose service activities go above and beyond the responsibilities of their basic job. All full-time faculty and staff are eligible to be nominated for this award, even if they have been a previous nominee.

External Fellowship Salary Supplement

Faculty who receive prestigious external awards may apply for a salary supplement in those cases where the amount of the award is not sufficient for salary replacement. There is no deadline. An application letter must be submitted along with endorsements from the department chair and dean.

Workshops

Special seminars or workshops are arranged on an ad hoc basis to assist faculty who are interested in applying for fellowships or individual grants, especially prestigious national awards. Representatives of the sponsoring endowment or agency are invited to informal gatherings to discuss their programs and to answer questions. These programs are arranged throughout the year; interested faculty are invited to propose particular workshops.

TEACHING EXCELLENCE RECOGNITION AWARD

The Teaching Excellence Recognition Award (TERA) was established in 1997 by action of the Board of Trustees to honor individuals who have a positive impact on learning through the direct teaching of students, especially undergraduates. Award recipients must have demonstrated a sustained level of teaching excellence and must have served at least three years at Indiana University. Individual schools make decisions on the distribution of funds within the restrictions of the Trustees' policy and the guidelines established at IUPUI. The faculty Annual Report Summary should be the basis of making decisions regarding the awards; however, the candidates are to be

reviewed in light of the criteria listed below. In addition to the Faculty Annual Report Summary, three additional pages of documentation may be submitted. Both achievement and improvement are considered important.

Faculty are eligible for TERA annually. The size of the awards range from $500 to $1500. Award winners may choose whether to receive the award in cash or to establish an account to be used for other professional purposes.

IUPUI Criteria to Consider in Making Teaching Excellence Recognition Awards

Positive student evaluations

Positive peer evaluations

Focuses teaching on student learning results/outcomes

Versatility/creativity in teaching strategies

Sought as guest speaker in area of expertise

Assists students with special needs

Leadership in curriculum or course development

Encourages critical thinking

Well regarded advisor/sought after mentor

Publications bearing on teaching

Presentations bearing on teaching

Teaching awards and honors/named master teacher

Grantsmanship bearing on teaching

Mentoring of new faculty to help them develop their teaching

Invited speaker on teaching

Consultant on aspects of teaching excellence

Leadership in professional associations concerned about teaching

Accreditation expert

Teaches entry-level students effectively

Facilitates socialization/adjustment of entry-level students

Teaches large-enrollment courses

Additional information about TERA is available from the Dean of each school or the Office of the Dean of the Faculties.

(Information excerpted from: Resolution on Teaching Excellence Recognition Award, IU Board of Trustees, 1/24/97

Report of the President's Committee on Teaching Awards, 1997

Memo on Teaching Excellence recognition Award, William Plater, 2/28/97)

The IUPUI Senior Academy

The Academy is an independent association of retired faculty and staff who contribute their expertise and experience to the University and to the greater community. Founded in 1994, membership is open to all retired faculty and staff who agree to make a commitment to the activities of the Academy and pay the annual dues. The Academy, with the assistance of the University, encourages and assists scholarly, professional, educational, and service interests of the members, enabling them to contribute to the campus and its programs.

The IUPUI Senior Academy is an organized response to current and potential interests shared by the campus and its retirees, with emphasis on mutually beneficial volunteer activities. The Academy Office is located in Room 126 in the IUPUI Administration Building, 355 N. Lansing Street, Indianapolis, IN 46202-2896. The telephone number is (317) 278-2444.

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