Academic Appointee Responsibilities and Conduct

Scope

This policy applies to all academic appointees throughout the duration of their employment, including periods when the university is not in session, periods during which an appointee is on leave, and the full calendar year for 10-month appointees.

A foundational principle of Indiana University is its enduring partnership across its units, including faculty and librarians, to collectively advance the institution's mission. The establishment, revision, and retirement of academic policies will occur with consultation and input from the University Faculty Council.

Pursuant to Indiana Code (IC) 21-38-11, faculty governance organization actions are advisory only.

This policy shall supersede all campus, school and college, program, department, center, institute, and unit policies on any core or regional campuses of Indiana University.

This policy does not govern conduct addressed in:

• ACA-30: Research Misconduct
• UA-03: Discrimination, Harassment, and Sexual Misconduct

Situations involving incompetence or serious misconduct that may lead to loss of tenure and/or involuntary dismissal are governed by:

• BOT-11: Faculty Tenure and Promotion
• BOT-18: Permanent Separations for Academic Appointees

Violations of criminal law are not protected by the First Amendment; see BOT-33: Expressive Activity for related guidance.

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Policy Statement

The core functions of an academic community are learning, teaching, and scholarship. To fulfill these functions, the university must uphold the values of reasoned discourse, intellectual honesty, freedom from bias, mutual respect, and openness to constructive change.

By choosing to join this community, individuals do not surrender their rights or their fundamental responsibilities as citizens. Rather, they acquire additional rights as well as additional responsibilities to the broader university community.

Because academic norms do not require silence or passivity, appointees are encouraged to engage in robust exchange; however, these norms demand an awareness of how easily the principles of civil discourse that sustain an academic community can be undermined. In support of these principles, the university affirms the importance of academic freedom, and academic appointees are expected to adhere to the standards outlined in ACA-32: Academic Freedom.

Term of Appointment

Appointment Periods for Faculty and Academic Appointees

Academic-Year (10-month) Appointments

• Made on an academic-year basis and encompass the fall and spring academic terms as defined by the university’s official academic calendar.
• Begin prior to the start of fall semester instruction, including posting course syllabi and other start-of-year academic activities.
• Conclude after completion of spring semester responsibilities, including final grading and required end-of-year academic activities.
• Governed by the appointment letter.

Annual (12-Month) Appointments

• Made on an annual basis and encompass a continuous twelve-month employment period.
• Begin on the stated effective date of appointment and continue for a full twelve months, subject to university policies governing leave and holidays.
• Salary payment schedules do not alter the underlying employment obligation.
• Governed by the appointment letter.

One-Semester Appointments

• Made on a single academic-term basis (fall or spring), as specified in the appointment.
• Begin prior to the start of fall semester instruction, including posting course syllabi and other start-of-year academic activities.
• Conclude after completion of spring semester responsibilities, including final grading and required end-of-year academic activities.
• Governed by appointment letter.

Summer Session Appointments

• Made on a summer-term basis for the instructional session or sessions specified in the appointment.
• Begin prior to the start of the summer session instruction, including posting course syllabi.
• Conclude after completion of the summer session responsibilities, including final grading.
• Limited to the scheduled summer session(s) and do not extend or modify academic-year or twelve-month appointments except by separate written agreement.
• Governed by the appointment letter.

Work Schedule

Academic appointees are expected to be present and available on campus during their appointment period unless authorized otherwise by the principal administrator of their unit and approved by the relevant campus senior executive officer. Appointees may take occasional, brief absences for personal or academic reasons, provided such absences do not interfere with instructional, research, service, or other assigned responsibilities. See BOT-17: Leaves for Academic Appointees.

Any arrangement permitting the regular or recurring performance of assigned duties from a remote location requires formal approval. See ACA-83: Remote Work for Academic Appointees.

Academic appointees are entitled to reasonable and equitable scheduling of their assigned duties. When feasible, classes, meetings, and other instructional activities should be scheduled during standard university operating hours. Units may assign duties outside these hours or at off campus locations, including evenings, weekends, or university observed holidays; such assignments must be distributed equitably, and all academic appointees are expected to carry a reasonable share. See ACA-59: Accommodations for Religious Observances.

Academic appointees teaching in online modalities are also entitled to reasonable and equitable scheduling. However, online instruction may require responsiveness or participation outside standard university operating hours, including asynchronous instructional activities and student support. Assignments to evening, weekend, holiday, or off campus duties—whether online or in person—must be based on curricular, programmatic, or student needs.

Expectations for Academic Year (10-month) and Annual (12-month) Appointees

• Academic year (10-month) appointees are not required to participate in university activities during periods when they are not receiving university compensation, but there may be occasions when such participation occurs. At all times, academic year appointees remain bound by university policies, including, but not limited to UA-03: Discrimination, Harassment, and Sexual Misconduct and ACA-30: Research Misconduct.
• All academic appointees may engage in paid or unpaid external activities, provided such activities do not interfere with their university responsibilities and comply with BOT-34: Conflicts of Interest and Commitment, including all applicable disclosure and approval requirements.

Responsibilities of Academic Appointees

The responsibilities described here reflect the professional, ethical, and academic obligations of academic appointees in support of the university’s mission, academic integrity, and educational aims. Shared expectations for conduct and performance are articulated consistent with the roles and responsibilities of members of the academic community.

These expectations apply to all academic appointees. Provisions addressing instructional responsibilities apply only to those with teaching or instructional duties.

Adherence to University Standards and Laws

Academic appointees will:

• Be familiar with and comply with the Indiana University Principles of Ethical Conduct.
• Be familiar with and uphold STU-00: Code of Student Rights, Responsibilities, and Conduct, including cooperating with student affairs officials in enforcing student behavioral standards.
• Comply with applicable state and federal laws and all duly adopted university policies that are consistent with principles of academic freedom and shared governance, including but not limited to:
  • UA-01: Non-Discrimination
  • UA-02: Americans with Disabilities Act (ADA)
  • UA-03: Discrimination, Harassment, and Sexual Misconduct
  • UA-22: Employee Relationships Involving Students

Fulfillment of Core Academic Duties

Academic appointees will:

• Strive for effectiveness in teaching (including librarianship), research and creative activities, and service, as appropriate to the role and terms of appointment.
• Engage in service to the university by serving on committees, participating in faculty governance, and accepting a share of administrative duties, as appropriate.
• Keep abreast of knowledge and developments in their disciplines.

Academic Freedom and Instructional Integrity

Academic appointees will:

• Understand, protect, and promote academic freedom in teaching (including librarianship), research and creative activities, and scholarly activity consistent with ACA-32: Academic Freedom.
• Foster intellectual diversity and uphold principles of academic honesty.
• Encourage open and critical discussion of ideas relevant to course subject matter and learning objectives and/or class topics.

Management of Outside Commitments

Academic appointees will:

• Ensure that outside professional commitments do not materially interfere with university responsibilities and comply with BOT-34: Conflicts of Interest and Commitment through established disclosure and review processes.

Copyright, Intellectual Property, and Scholarly Credit

Academic appointees will:

• Be familiar with and adhere to applicable laws and university policies related to copyright, intellectual property, fair use, attribution, and licensing, including:
  • UA-23: Intellectual Property: Copyrightable Works
  • UA-24: Intellectual Property: Inventions and Patents
  • VPCM-LT-01: Licensing and Trademark
• Consult appropriate university resources—such as Office of University General Counsel or other campus experts—when questions arise.
• Provide appropriate authorship or scholarly credit to students, postdoctoral appointees, and other researchers based on significant intellectual contributions, consistent with disciplinary norms.
• Acknowledge outside funding sources according to disciplinary norms and practices.

Respectful, Fair, and Inclusive Conduct

Academic appointees will:

• Treat all members of the university community respectfully, fairly, and civilly, fostering a community committed to inclusion, tolerance, accessibility, and respect for differences.
• Uphold non-discrimination and accessibility requirements.
• Refrain from behavior that is threatening, intimidating, humiliating, verbally abusive, or that exploits members of the university community for private advantage.

Instructional Responsibilities

Academic appointees with instructional duties will:

• Ensure that course content, instructional conduct, assessments, and classroom discourse reasonably align with the published course description and stated learning objectives.
• Avoid remarks that are materially unrelated to course objectives, class topics, or inconsistent with professional instructional responsibilities, as outlined in applicable Indiana law.
• Use class time effectively to advance course learning goals.

Communication of Expectations and Use of Instructional Resources

Academic appointees with instructional duties will:

• Clearly communicate learning objectives, grading criteria, assessment methods, and relevant academic policies.
• Inform students of permitted and prohibited resources and practices for exams, assignments, and academic activities.
• Use university-designated instructional systems appropriately and ensure students do the same.

Fair Evaluation of Students

Academic appointees with instructional duties will:

• Assess student performance objectively, consistently, and without bias, using criteria aligned with academic policy and established disciplinary standards.

Instructional Commitments and Availability

Academic appointees with instructional duties will:

• Follow the published class and final examination schedule and fulfill required contact hours.
• Provide reasonable notice of class cancellations or changes.
• Maintain regular availability to students and clearly communicate office hours and alternative contact methods.
• Adhere to the course modality listed in the schedule of classes, unless authorized otherwise by the principal administrator of their unit and approved by the relevant campus senior executive officer.

Academic Integrity

Academic appointees will:

• Foster intellectual honesty among students, particularly in examinations and other graded exercises.
• Address suspected academic misconduct—including cheating, fabrication or falsification of information, and intentional plagiarism—by following applicable university policies, and campus and/or unit procedures.

Personal Misconduct

Personal misconduct refers to specific acts or patterns of behavior that violate the legal, ethical, or professional obligations an academic appointee is expected to follow in the university community. Personal misconduct constitutes a breach of professional integrity necessary to sustain the university’s mission.

The university may exercise disciplinary action when such conduct meets one or more of the following criteria:

• Occurs on university property or in connection with university activities;
• Involves the unauthorized or improper use of university resources;
• Disrupts university functions, programs, or operations;
• Has a significant adverse effect on the university’s mission or integrity; and/or
• Threatens, compromises, or substantially interferes with the safety and well-being of members of the university community.

Categories of Actionable Misconduct

Acts of personal misconduct include, but are not limited to, the following categories:

1. Legal and Policy Compliance
   • Violating criminal law.
   • Engaging in a serious or repeated violation of university or campus policies or procedures.
   • Failing to comply with the terms of a previously imposed disciplinary sanction.
2. Safety, Health, and Public Order
   • Possessing or using firearms or other weapons on university property, except as permitted under PS-03: Possession of Firearms and Weapons.
   • Refusing to comply with directives from public safety, fire, or public health officials.
   • Persistently refusing to follow university health and safety requirements.
   • Appearing intoxicated from alcohol and/or drugs while in class, on university property, or at a university function or activity.
3. Disruption, Threats, and Harmful Conduct
   • Intentionally interfering with, disrupting, or blocking access to university activities, facilities, or programs, including conduct prohibited by BOT-33: Expressive Activity.
   • Engaging in or encouraging retaliation or threatening or intimidating participants in judicial or disciplinary processes.
   • Engaging in bullying, threatening, or intimidating conduct—including verbal, non verbal, written, or electronic communication—that a reasonable person would find sufficiently severe or pervasive to create a hostile environment or substantially interfere with an individual’s academic or professional performance.
     • Note: This provision will not be interpreted to prohibit speech or expression protected by academic freedom. See ACA-32: Academic Freedom.
   • Acting with, threatening, or encouraging physical violence that is likely to cause harm, or intended to interfere with another’s academic efforts, employment, or participation in a university activity.
4. Misuse of University Property, Records, or Access
   • Unauthorized taking, possession, use, or destruction of university property or services.
     • Note: Incidental and occasional personal use of common resources (e.g., paper, pens, computers, printers, copiers, email) is not a violation.
   • Knowingly submitting false information for official purposes, or the forgery or unauthorized alteration of university documents, records, or databases.
   • Knowingly allowing unauthorized access to computing resources, records, secure facilities, or similar property (e.g., sharing passwords, access codes, or swipe cards).
5. Failure to Fulfill University Responsibilities
   • Persistent, repeated, or egregious failure to fulfill assigned responsibilities of the unit, school, or campus that demonstrates an unfitness to perform the core duties of the academic appointment.
     • Note: For matters related to leaves and other absences. See BOT-17: Leaves for Academic Appointees.
6. Misuse of University Email
   • Using university email for personal or commercial purposes beyond ordinary personal communication or academic-related consulting activities for which the appointee is compensated.
   • Use of email for political purposes is governed by GR-01: Contact with State Officials, Federal Officials, and Political Campaigns, and Other Political Activities.

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Reason for Policy

This policy sets out shared expectations for professional responsibility applicable to academic appointees and outlines the processes used to address misconduct. It applies to all campuses and academic units because all academic appointees—regardless of rank, title, appointment term, or campus—are employees of Indiana University and therefore subject to uniform standards of conduct. A single university-wide policy promotes fairness, transparency, and due process; minimizes inconsistent treatment across campuses; and clarifies the responsibilities that accompany academic appointments.

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Procedures

Complaint, Investigation, and Resolution Procedures

I. Scope and Guiding Principles

These procedures govern the receipt, investigation, and resolution of complaints alleging personal misconduct by academic appointees. All proceedings will be conducted in a manner that is prompt, fair, equitable, and consistent with principles of due process outlined below.

Individuals who make good faith disclosures of suspected misconduct are protected under UA-04: Whistleblower Protection.

The university will ensure:

• Timely notice of allegations
• An opportunity to respond
• Impartial investigation and decision-making
• Findings based on the preponderance of the evidence
• Sanctions that are proportionate and applied consistently
• Access to appeal or review mechanisms

II. Filing a Complaint

Any member of the university community may file a complaint under this policy.

A formal complaint must be submitted in writing to the relevant principal administrator of the unit or relevant campus senior executive officer and must describe the alleged misconduct with sufficient detail to permit assessment and investigation. Any supporting materials the complainant wishes to provide may be included.

Anonymous complaints may be received but will not, standing alone, serve as the basis for disciplinary action unless corroborated by independent evidence.

The filing of a complaint alone does not constitute evidence of misconduct and will not in itself result in adverse personnel action.

III. Preliminary Assessment and Informal Resolution

A. Preliminary Assessment

Upon receipt of a complaint, the principal administrator of the unit or relevant campus senior executive officer will conduct a preliminary assessment to determine whether the allegations fall within the scope of this policy and warrant further action. If no further action is warranted, both parties will be notified in writing.

B. Informal Resolution

Prior to initiating a formal investigation, the principal administrator of the unit or relevant campus senior executive officer must offer informal resolution. Participation in informal resolution is strictly voluntary and requires the agreement of the complainant, respondent, and the principal administrator of the unit or relevant campus senior executive officer. Any of the involved parties may terminate the informal process at any time, at which point the matter may proceed to a formal investigation. The identity of the complainant may be withheld during these discussions.

Informal resolution is offered in various forms but is generally designed to allow a respondent to acknowledge harm and accept responsibility for repairing harm (to the extent possible) experienced by the complainant and/or the university community. Informal resolution is designed to eliminate the prohibited conduct, prevent its recurrence, and remedy its effects in a manner that meets the needs of the complainant while maintaining the safety of the campus community.

All informal resolution processes must result in a written agreement.

IV. Formal Investigation

A. Notice to the Respondent

If a formal investigation is initiated, the respondent will receive written notice that includes:

• A copy of the complaint, including the specific allegations
• The identities of the complainant(s)
• An opportunity to submit a written response prior to the conclusion of the
  investigation

The complaint may reference student or learner evaluations but may not rely solely on anonymous allegations.

B. Authority for Investigation and Determination

The principal administrator of the unit or relevant campus senior executive officer, acting as the investigator, holds primary authority to conduct formal investigations, which includes reviewing evidence, issuing findings of fact, and determining whether a respondent is responsible for a violation. Should a violation be established, the principal administrator of the unit or relevant campus senior executive officer is authorized to impose appropriate sanctions in accordance with applicable university policies and procedures.

C. Investigation Process

The investigation may include interviews, review of documents and other relevant evidence, and the collection of written statements. Both parties will be afforded an opportunity to present information to the investigator. Information obtained during the investigation will be shared only with individuals who have a legitimate need to know, consistent with the university’s confidentiality obligations.

The respondent will be afforded the opportunity to consult a faculty advocate who is a member of the campus community and who serves in a non-investigatory, advisory capacity by assisting the respondent in understanding applicable policies and procedures, preparing submissions, and navigating the process, without participating in fact-finding or decision-making.

D. Investigation Report and Decision Letter

The investigator will prepare a written report that identifies the allegations, describes the investigative steps taken, summarizes relevant evidence, sets forth findings of fact, states whether the respondent is responsible for a violation, the specific sanction(s) imposed, and the classification of the sanction(s) as either common or severe. The report and decision letter will be provided to the respondent. The respondent may submit written comments in response to the letter within ten (10) business days.

V. Sanctions

A. General Provisions

Upon a finding of responsibility, the university may impose common or severe sanctions that are proportionate to the misconduct. In determining the appropriate sanction, relevant mitigating and aggravating factors will be considered, and the respondent will be advised of the prohibition against retaliation or harassment. The classification of a sanction as common or severe will be determined by its practical effect on the appointee, not its label.

B. Common Sanctions

Common sanctions may be imposed by the principal administrator of the unit or the relevant campus senior executive officer, as appropriate. Common sanctions are corrective, educational, or remedial disciplinary actions imposed for substantiated personal misconduct that does not materially alter the terms or conditions of an academic appointment or significantly restrict core academic duties. Common sanctions are intended to address discrete, minor, or first-time misconduct, prevent recurrence, and reinforce professional standards. They may include written reprimands, required training or counseling, corrective action plans, or monitoring requirements.

C. Severe Sanctions
Severe sanctions may only be imposed by the relevant campus senior executive officer. Severe sanctions are disciplinary actions imposed in response to serious or repeated misconduct that materially alter the terms, conditions, or status of an academic appointment or significantly restrict the respondent’s ability to perform core academic responsibilities. In determining whether severe sanctions are warranted, the university may consider prior findings of responsibility and disciplinary history.

Examples of severe sanctions may include, but are not limited to, suspension with or without pay, salary reduction, demotion in rank or title, restrictions on activities, or reassignment of core duties.

Termination as a severe sanction is governed by BOT-18: Permanent Separations for Academic Appointees.

Examples of misconduct that may warrant severe sanctions include, but are not limited to:

• Failure to comply with previously imposed sanctions
• Repeated violations of university policy
• Harassment of, or retaliation against, a complainant or participant in a university process
• Conduct constituting a felony under criminal law, or
• Conduct that endangers the safety or wellbeing of members of the university community

VI. Use of Findings in Personnel Decisions

Findings of misconduct may be considered in annual performance reviews; salary and merit determinations; and reappointment, tenure, and promotion reviews, consistent with applicable university policy and campus-specific criteria.

VII. Emergency Measures

Only in exigent circumstances, when the relevant campus senior executive officer determines an immediate threat of harm exists, interim measures including, but not limited to, suspension with pay, temporary reassignment, or restrictions on campus access may be implemented. Emergency measures are precautionary, not disciplinary.

VIII. Appeal Rights

Academic appointees adversely affected by actions under this policy may request a review by a campus Faculty Board of Review in accordance with ACA-17: Faculty Board of Review Uniform Standards.

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Definitions

Academic Appointee: An individual covered by BOT-06: Classification of Academic Appointments, including visiting, adjunct and acting faculty; academic specialists; and emeritus faculty. This term does not include Student Academic Appointees covered by ACA-16: Student Academic Appointments.

Academic Unit: A school, department, program, division or similar organizational entity in which one or more academic appointees hold their primary appointment.

Investigator: The principal administrator of the unit or the relevant campus senior executive officer.

Member of the University Community: Any individual who is a student, staff member, faculty member, university official, or any other person employed by or acting on behalf of the university; as well as individuals present on Indiana University property, including employees of third-party vendors, contractors, volunteers, and visitors.

Principal Administrator: The head of an academic or administrative unit, or an individual authorized to serve as their representative, at the departmental, college, school, or university level. The position is defined by the delegated authority to act as the lead official for a designated academic and administrative area.

Senior Executive Officer: Chancellor, provost, vice-provost, vice-chancellor, or other comparable senior executive positions on each campus.

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History

1. 1. Enacted by UFC, November 3, 1970 and approved by Trustees, December 19, 1970.
   2. Section on relations with students amended by UFC, February 11, 1986.
   3. Section on relations with students amended by UFC, February 11, 1992.
   4. Section on librarianship responsibilities amended by UFC, April 28, 2009.
   5. Sections on faculty responsibilities for using copyrighted materials (ACA-31) and student cheating (ACA-72) transferred into ACA-33, UFC, November 12, 2019.
   6. Comprehensive revision by UFC, December 13, 2022. A copy of the policy that was in effect prior to this review can be accessed here. The revisions were reviewed and approved by the University President on March 1, 2023.
   7. Section on responsibilities of academic appointees amended by UFC, April 25, 2023, and approved by the University President.
   8. Revisions approved by the UFC on February 27, 2024 and April 23, 2024. Approved and made effective by the Board of Trustees on July 29, 2024.
   9. June 2025- Substantive revisions and update Responsible Office and Responsible Administrator; policy number updated from ACA-33 to BOT-15.
   10. June 2026- Substantive revisions.

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