Chapter 10 – Faculty

10.1 Tenure and Non-Tenure Appointments

(Amended 9/93; 2/15/95; 2/01; 1/02; 4/05; 5/07; 9/08; Faculty Senate 10/18/11; 4/13)
  1. Statement on tenure and academic vitality at The University of Iowa (Regents 2/14/74).
    1. Introduction. From the end of World War II until the late 1960s, higher education in the United States experienced rapidly expanding student demand coupled with an even more rapid expansion of the world's knowledge base. Throughout this period, faculties and facilities increased constantly and substantially in an effort to keep pace with the enlarging student bodies. The twenty-year period involved was among the most exciting and vital in the history of higher education. As younger, recently trained faculty members came to campuses all over the country, their energy and enthusiasm contributed greatly to the academic vitality of higher education.

      Student demand for higher education has leveled off and is likely to remain level for some years to come. With the leveling off of student demand, the influx of new faculty members has diminished. The challenge facing The University of Iowa — along with all similar institutions — is to retain and increase its academic vitality and flexibility in a period of a relatively stable student body and faculty. The challenge is not new to American higher education which previously has had to maintain its vitality in times of stable enrollments and faculty.
    2. Basic Premises. The basic assumptions on which The University of Iowa proposes to function over the next several years are: First, tenure will continue as a cornerstone of the University's relationship with faculty members. Tenure is not only consistent with academic vitality but essential to it. Second, consistent with the University's educational needs and as permitted by its resources, faculty members in probationary status will be given the opportunity to acquire tenure if their performance merits tenure. No system of tenure quotas is contemplated. Third, the University must provide mechanisms by which a varied group of new faculty members come to the University so that the institution may continuously revitalize itself. Fourth, the University will retain the flexibility to adjust its educational programs to meet the changing needs of students and society, and to take into account advances in the world's knowledge base. In the process of making such adjustments, every effort will be made to plan well in advance and the faculty will play a major role in defining institutional needs in the process of departmental, collegiate, and University decision-making.

      Tenure is not a very well-understood concept. If a university is to perform its function effectively, it is essential that faculty members in their teaching and research feel free to express new ideas and divergent viewpoints. In the process of teaching and research, accepted "truths" often must be challenged and questioned. A good university must create an atmosphere which, in a positive way, encourages faculty members to express new ideas and divergent viewpoints and to make inquiries unbounded by present norms. Such an atmosphere currently exists at The University of Iowa; and tenure has contributed substantially to the creation of this atmosphere and to its continuance. Put simply, free inquiry and expression are essential to the maintenance of excellence; tenure is essential to free inquiry and expression; The University of Iowa's consistent goal is excellence; and the tenure system must continue if the University is to recruit and maintain a distinguished faculty. While tenure would be an integral part of the University's relationship with the faculty without regard to the competitive situation, it also is important to note that the outstanding universities throughout the country have tenure systems and that The University of Iowa's competitive position as it attempts to recruit and to retain outstanding faculty members would be damaged beyond repair if tenure were abandoned or seriously weakened.

      ​As a job security system, tenure is not substantially different from the job security aspects of civil service systems for state and federal employees; nor are they very different from job protection provisions in union contracts generally. The probationary period preceding the granting of tenure is, of course, longer than similar periods under civil service systems and union contracts — five or six years as opposed to six months or one year. Once the probationary period has passed, all of the systems contemplate job security only to the extent that either resources permit or the need for the services continue to exist, or both; and before the employment relationship of such personnel can be terminated for inadequate performance, all of the systems require a showing of adequate cause (inadequate performance) at a hearing. In addition, the tender of ultimate job security is an important mechanism for inducing qualified persons to aspire to careers in the area involved. While the job-security aspects of tenure bear surface relationship to other job-security systems, the primary rationale for tenure is that it is essential to the creation and maintenance of an atmosphere which encourages the free exchange of ideas so necessary to educational vitality.
    3. The tenured faculty. The cornerstone on which excellence has been created at The University of Iowa, both in periods of growth and stability, is its tenured faculty. The tenured faculty at The University of Iowa has never been stagnant. It contributes greatly to the University's vitality. It will continue to do so. As a general proposition, the excellence and vitality of the tenured faculty is motivated from within individual faculty members, and to some extent, from peer pressures. Some institutional mechanisms also have contributed and will continue to contribute to the vitality. Thus, the University, in consultation with faculty members, plans:
      1. To continue its present faculty compensation policy which rewards excellence;
      2. To expand its constant evaluation of teaching effectiveness of tenured as well as non-tenured faculty members and its explorations of mechanisms for improving such effectiveness;
      3. To continue in University-sponsored research a system of campus-wide peer review of research proposals and results to assure consistently high scholarly productivity by faculty members;
      4. To continue departmental, collegiate, and University-wide reviews and priority planning efforts to assure that resources are made available to new programs and to programs enjoying significant increases in student interest, or, where necessary, programs be modified, consolidated with other programs, or eliminated;
      5. To continue to review and evaluate the administrative structures within which educational programs function to assure that the educational goals of the University are being met as effectively as possible;
      6. To encourage the exchange of faculty with other universities on a visiting basis so that new ideas and approaches will be brought to the campus both by the visiting teachers from other institutions and by the Iowa professors upon their return to campus;
      7. To fill some existing teaching positions on a permanently rotating basis with persons from other institutions or professions for periods ranging from one or two weeks to a semester or a year;
      8. To encourage the development of team teaching of courses by combining senior and junior faculty members from the same department as well as interdisciplinary team teaching by faculty members from different departments;
      9. To encourage the expansion of the present program of faculty seminars in which faculty members learn from each other;
      10. To seek to expand the program of developmental leaves to encourage faculty members who wish assistance in keeping abreast of newly developed and developing knowledge and instructional approaches;
      11. To develop a system of tenure for part-time faculty members so that a faculty member might hold a tenured position at The University of Iowa for one semester and a position at some other university for the other semester; or hold a tenured position for one semester at the University and some other job — perhaps in industry — for the balance of the year, and so that the University might take advantage of the talents of persons who, while completely qualified to join the faculty and remain on it for a long period of time, are unable, for one reason or another, to work full time as a faculty member.

        Other than internal pressures for excellence within individual faculty members and, perhaps peer pressure, the merit salary system is the most important mechanism available to the University for assuring the continued academic vitality of tenured faculty members. While the University does not control the total number of dollars available for faculty salary increases, it can and must control the allocation of dollars it has so that excellence may be rewarded. For many years, the University has stressed to the Board of Regents and to the Legislature that its top budgetary priority was salaries and that whatever was made available for faculty salaries would be awarded on a merit basis.

        In establishing faculty salaries the University has attempted — not always successfully — to be competitive; and when funds have been available for salary increases, the effort consistently has been and will continue to be to reward meritorious performance. Continued teaching and research excellence, and to a lesser extent the quality of other major professional contributions to the University or to society in general, form the basis for salary increases as they do for promotion and tenure. While objective data should be considered in making salary judgments, and while the department's or college's particularized statement of expectations concerning teaching, research and other professional contributions should serve as primary guidelines, it should be understood that the judgments being made relate in large part to the quality of the faculty member's professional performance and such judgment cannot be quantified. A faculty salary system which recognizes merit will function to encourage a continued striving for excellence and one that also recognizes the need to recruit and retain the best available persons who will help keep the institution vital.

        ​While the catalog of mechanisms available for encouraging continued high level performance by tenured faculty members is not complete, the list set forth does suggest that many patterns are available to encourage such performance. It should be emphasized again that more important to academic vitality than University programs to encourage it are the inner mechanisms within individual faculty members which "compel" a constant striving for excellence. These inner mechanisms have contributed most to making the University the excellent institution it is and with whatever encouragement is possible from the institution, these mechanisms will function to assure a continuation of excellence.
    4. Probationary faculty members. In establishing and maintaining a university of excellence and vitality, the most vital institutional decision points are the initial appointment, the reappointment review, and the time of the tenure decision. At each of these decision points, there must be University-wide review to assure adherence to University-wide standards.
      1. Initial appointment. When making an initial probationary appointment, the condition precedent must be a determination that the person being considered is of a quality that her or his performance is likely to lead to an affirmative tenure decision. Only if the record presented leads to such a conclusion should an initial offer be tendered. And after the initial appointment, probationary faculty should be reviewed annually with the results reported by the appropriate collegiate dean to the Executive Vice President and Provost on the form provided by the latter's office. Initiation of the annual review is the responsibility of the dean and DEO. It is expected that the annual review will be performed in consultation with the individual faculty member.
      2. Reappointment review (President 10/85; amended 2/01; 5/07). Most initial probationary appointments at The University of Iowa are for 1) three years for colleges having a collegiate norm to make a tenure decision of not more than six years, or 2) four years for any college having a collegiate norm to make a tenure decision of more than six years, at the end of which time the candidate can be reappointed following a reappointment review. See paragraph (c) below. With the approval of the DEO, the dean of the college, and the Executive Vice President and Provost shorter initial appointments can be made.
      3. Time in which to make tenure decision. The norm for making the tenure decision shall be the sixth year of probationary service, except for the Colleges of Law, Medicine, and Dentistry. The norm for the College of Law shall be the fifth year. The Colleges of Dentistry and Medicine may establish a norm of no more than eight years for all tenure track faculty members with significant patient care responsibilities. Other faculty in these two colleges will be subject to the six year norm. A new collegiate norm of more than six years must be approved by a majority of the tenured faculty of the respective college, the dean of the respective college, and the Executive Vice President and Provost. The new norm becomes effective upon approval by the Executive Vice President and Provost. Other colleges may request that the Faculty Senate authorize consideration of changes in their own collegiate norms.
      4. Joint or secondary appointment. If a faculty member has a joint appointment in two colleges with different probationary period norms, or has a secondary appointment in a college with a different probationary period norm, the norm for that faculty member will ordinarily be that of the primary department. If the norm of the secondary college is to be used, this must be agreed to by the faculty member, both DEOs, both deans, and the Executive Vice President and Provost; and the length of the probationary period must be stated in writing in either the offer letter or the memorandum of understanding that defines the terms of the joint appointment.
      5. Extensions.
        1. Automatic Extension: For each minor child (e.g., biological, adopted, stepchild, or by guardianship) added to the family of a probationary faculty member from two years prior to the initial appointment through September 1 of the tenure decision year, and upon relevant notification, the faculty member's probationary period shall be automatically extended twelve months per child (up to two children). Extensions for the addition of more than two children may be considered under the Discretionary Extensions provisions (e)(ii).

          It is a faculty member's responsibility to notify his or her DEO, dean, or Provost of the relevant qualifying event that activates the automatic extension of the faculty member's tenure clock. The Provost's office shall remind probationary faculty annually of the extension policy and direct probationary faculty to a person in the Provost's office to whom they may provide the notification that activates the automatic extension. Probationary faculty may also provide the relevant notification through any other form of communication with their DEO, dean, or Provost. When providing the relevant notification, the faculty member shall provide the name(s) of the minor child(ren) and the date on which the child(ren) joined the family (e.g., birth date, adoption date). This notification can be submitted at any time but, if the faculty member expects an automatic extension to be granted in what would otherwise have been the tenure decision year, notification must be submitted no later than the department or college deadline by which faculty members are expected to submit their dossiers for review. Upon receipt of the notice, the Associate Provost for Faculty shall issue a written acknowledgment to the dean, with copy to the probationary faculty member, confirming the extension and resetting the relevant tenure decision dates (e.g., for reappointment, tenure review).

          To decline an automatic extension (i.e., have clock reset to the previous tenure review date), a faculty member must submit written notification to her or his DEO (when applicable) or dean. Notification can be submitted at any time but, if a faculty member wants to be considered for promotion in the upcoming academic year, notification must be submitted no later than the department or college deadline by which faculty members must notify their DEOs of their desire to be considered for voluntary review (i.e., review at any time prior to the required tenure review year). If such a date is not specified in a college's written procedures, the deadline for notification will be no later than the first day of the academic year in which the promotion decision is to be made. The DEO shall advance notice of the declination to the dean and the Executive Vice President and Provost. When a faculty member declines an automatic extension, her or his tenure clock is reset to its previous date and the tenure expectations remain the same as for probationary faculty members who did not decline or were not eligible for an extension. The Associate Provost for Faculty will issue a written confirmation of the declination, including the reset tenure clock date, to the dean, with copy to the probationary faculty member. Once declined, a faculty member is not able to reinstate an automatic extension for the same minor child. A faculty member with an extended tenure clock may request voluntary review (i.e., the option granted to all faculty members to request review before their official tenure year) without declining the automatic extension.
        2. Discretionary Extension: The probationary period may be extended upon the mutual agreement of the probationary faculty member, the DEO (when applicable), the dean, and the Executive Vice President and Provost because of a professional or personal impediment, such as the assumption of additional teaching or clinical responsibilities above the normal load at the request of the department or college, the failure of the University to provide resources in a timely manner if the resources are promised in writing, personal health reasons, the assumption of significant ongoing care responsibilities for a spouse, domestic partner, or minor or adult child, or parent with a serious health problem, or because of the death of the faculty member's spouse, domestic partner, or minor or adult child. The faculty member is responsible for describing and documenting the unusually difficult circumstances posed by the impediment in her or his request.

          ​Requests for Discretionary Extensions shall be submitted by the faculty member to the DEO (when applicable), who shall advance a recommendation to the dean for review, recommendation, and subsequent routing to the Executive Vice President and Provost for approval. The Associate Provost for Faculty will issue a written decision to the dean, with copy to the probationary faculty member, and, if approved, the written decision will include the new tenure decision dates. Generally, no extensions under this paragraph (e)(ii) shall extend the probationary period two years beyond what the period would have been, taking into account the relevant collegiate norm and any previously issued automatic or discretionary extensions.
        3. When the probationary period of a faculty member is extended by one or more years, then the faculty member's reappointment and tenure review dates are postponed by the same number of years (e.g., a probationary faculty member who receives a one-year extension in his or her second year would have his or her "third year" review postponed one year to allow for a full three years of preparation; his or her tenure decision date would also be postponed by one year). Tenure expectations remain the same for probationary faculty members who have received an automatic or discretionary extension. The Office of the Executive Vice President and Provost shall annually notify probationary faculty members, DEOs, and deans of the existence of this policy.
      6. Impact of extensions on expectations of scholarship. No expansion of a faculty member's probationary period as a result of an extension under paragraph (e) above shall result in any increase in the quantity or quality of the probationary faculty member's expected scholarship from what would have been expected had that faculty member been considered for promotion or tenure in the final year of probationary service as defined by the collegiate norms.
      7. Prior related experience. In some cases, prior related experience coupled with excellence in teaching and research will warrant a shorter probationary period to be established at the time the faculty member is hired by the University.
      8. Establishment of norm. The establishment of a norm will permit a thorough evaluation and will give the faculty member sufficient time to establish a strong record of performance. A candidate for reappointment shall be evaluated in accordance with III-10.5b below. (See also III-29.5f(2).)

        Annual reviews of the performance of probationary faculty members should be made and a full-scale departmental-collegiate review shall be made during the reappointment review conducted in the third or fourth year of service, depending upon the collegiate norm. See paragraph (4)(b) above. Reappointment reviews should take into account the faculty member's proven teaching effectiveness and research productivity and potential. It also should include an evaluation of departmental, collegiate, and University educational goals and include a determination of the likely role of the faculty member in achieving such goals. Only if an institutional need is found likely to exist for a person with the faculty member's substantive background, and only if the faculty member's teaching effectiveness and research productivity and potential are deemed of such a quality that an affirmative tenure decision is likely to be made, should something other than a terminal appointment be tendered. To assure unified decision making at this point, full central administration review of the departmental-collegiate recommendation is necessary.
      9. The tenure decision (President 10/85; amended 2/01; 4/06; 5/07). In making a tenure decision, teaching, research, and other professional contributions must be considered. Further, the institution's overall educational needs must be taken into account along with the institution's fiscal ability to support the position occupied by the faculty member. Thus, the tenure decision has two elements: 1) an evaluation of the actual performance of the individual involved; and 2) an evaluation of institutional needs — educational and fiscal. A candidate for tenure shall be evaluated in accordance with III-10.5b below. (See also III-29.5f(2).)

        While the individual evaluation relates to teaching, research, and other professional contributions, the University's policy recognizes specifically that the first two elements — teaching and research — are the fundamental tasks of a faculty member. Although teaching is a faculty member's primary obligation, teaching and research are inextricably intertwined. Over a period of years, outstanding university teaching is unlikely to be maintained in the absence of strong research efforts by the faculty member. And university research — as distinguished from similar work off-campus — normally is stimulated and encouraged by the faculty member's teaching role.

        The first step in a tenure decision should be an evaluation of teaching effectiveness. Only after an affirmative judgment as to teaching effectiveness is made should serious consideration be given to an evaluation of research competence. Unless a determination is made that the faculty member involved is an effective teacher — whether at the departmental or interdisciplinary level —tenure is not and should not be granted. Only after an affirmative decision as to teaching effectiveness is made should consideration be given to research. And only after both of the basic criteria are satisfied is an affirmative tenure decision possible. The University is committed to the proposition that neither teaching nor research standing alone justifies the granting of tenure. In the absence of research, it is believed — and strongly believed — that teaching effectiveness will not be maintained for a lifetime career. Thus, while teaching effectiveness is the condition precedent to a consideration of the quality of research, in the absence of quality research, teaching effectiveness alone will not permit the granting of tenure.

        In summary, The University of Iowa is both a teaching and research institution, as all good universities are. Unless both tasks are accomplished, the University's vitality will be sapped and neither function will be performed well. As noted, the two functions cannot be separated. Unless a faculty member is able and willing to permit her or his ideas to be evaluated by peers, the faculty member is not performing fully the function assigned, and effective teaching is unlikely to continue.

        Throughout the process of making a tenure decision, all concerned must recognize that an affirmative tenure decision is a prediction of future conduct, which prediction is based primarily on past performance. Unless those making the decision have a record of excellence before them — a record of excellence in both teaching and research — the prediction about the future is too uncertain to justify an affirmative decision. Any other premise is inconsistent with the "permanence" associated with tenure. The tenure decision is the most important quality control available to the University. And unless the record presented is one of excellence in both teaching and research, an affirmative prediction about the future is too uncertain to be tolerated. In making a tenure recommendation to the Board of Regents, the University must be taken as saying that its prediction is based on a record of excellence.

        The process of making a tenure recommendation to the Board of Regents shall follow University and collegiate Procedures for Tenure and Promotion Decision Making at The University of Iowa. The process starts with a review of the faculty member's performance by the tenured members of the department involved, the review to be instituted by the DEO. While not all-controlling, an affirmative peer group recommendation is an almost necessary condition to the granting of tenure. Because of the significance of peer group recommendations, each academic unit is expected to develop and distribute to all departmental faculty members and to all persons under serious consideration for appointment to the faculty a written and particularized statement of expectations to guide departmental deliberations concerning the granting of tenure — the statement to serve as a guide to the department in its deliberations, and to the faculty member whose tenure status is being considered. The particularized statement must, of course, be consistent with University-wide policy relating to teaching, research, and other professional activities. In addition, all concerned should recognize that a decision relating to quality must be made and that such a decision can be quantified only in part. The nature of the decision is such that it necessarily is subjective to some extent.

        Within the University administration, consultation occurs and the record and recommendations are examined carefully to assure that University standards have been met. As at all levels, educational goals, program changes, and fiscal needs must be taken into account and may lead to a decision to deny tenure despite a record of teaching and research accomplishment sufficient to support an affirmative decision on the basis of performance. At the departmental level, departmental educational goals and fiscal needs must be considered; at the collegiate level, collegiate educational goals and fiscal needs must be taken into account; and at the central level, overall University needs play a dominant role. To assure fairness to faculty members who are denied tenure or whose contracts are not renewed because of a shift in educational goals and/or financial resources, every reasonable effort should be made to give advance notice of possible shifts, and to protect the professional reputations of such faculty members. As part of that protection, the affected faculty member shall be given a written statement documenting the reason(s) for the decision. While changing educational goals and/or fiscal resources are a necessary consideration in the making of tenure decisions, such changes must not be asserted unless real, and they must not be used as a ground for denying tenure when, in fact, tenure is being denied for other, perhaps improper, reasons.

        The final step, of course, is a University recommendation to the Board of Regents. The process is complex and difficult. Many of the ideas expressed above — uniform University-wide review of promotions and tenure, the insistence on "hard" data with respect to teaching effectiveness, careful review of research output — stem from a resolution adopted unanimously by the Faculty Senate in October of 1972 and codified substantially in University regulations. Fairness to all — the probationary faculty members, the students, the institution, and the State of Iowa — require the kind of review described above. The University's academic excellence and vitality require such a review.
    5. Tenure track faculty hired on or before the adoption by a college of a collegiate norm of more than six years (or more than five years in the College of Law) may elect to have a tenure decision made in accordance with any new collegiate norm adopted by the college pursuant to this section as amended in 2007. In the absence of an election, the collegiate norm for such tenure track faculty shall be six years (or five years in the College of Law). An election shall be made on or before the end of the third month following the adoption of a collegiate norm of more than six years. The election shall be in writing sent to the DEO, with a copy to the dean and the Executive Vice President and Provost. Any extensions previously granted apply regardless of whether the probationary faculty makes an election under this paragraph.
    6. Affirmative action and tenure. As affirmative action and tenure function at The University of Iowa, they are completely compatible concepts. Both seek to assure the acquisition and retention of those who are most qualified. In the appointment process, affirmative action operates to assure that the most qualified available person is identified and is offered the opportunity to join the faculty; and after initial appointment, it assures that in making tenure and salary decisions, irrelevant considerations such as race and sex play no role.

      Prior to the initiation of the affirmative action program, the traditional process of identifying the most qualified person for an available position was somewhat limited in scope and, thus, the pool from which the most qualified person was drawn was relatively narrow. Under the present affirmative action program, all positions are advertised widely and direct inquiries are made of many more persons than in the past. With the expanded search, the pool from which to draw has been broadened substantially. The goal of the selection process has remained unchanged — to select the most qualified from among those available. With a broader pool from which to draw, the University can be more confident that the person truly most qualified has been identified. As affirmative action and tenure function at The University of Iowa, not only are the two compatible; they complement each other in assuring a quality faculty.

      Only if the University's tenure system becomes frozen — either by the imposition of quotas on the percentage of persons who may acquire tenure or by restricting access to the tenure rank because substantially all faculty members have tenure — is tenure incompatible with affirmative action. If either quotas are established or tenuring-in occurs, access and upward mobility become impossible or extremely difficult; and in such a situation, affirmative action is stymied and vitality lost.

      ​Coupling a dedication to affirmative action with awareness of the problem, initial appointment practices that limit somewhat the number of persons appointed to probationary (tenure ladder) positions, and firm quality control in the process of tenure decision-making, the University sees no danger of unduly restricting access to tenured positions to the extent that would subvert its affirmative action program. Any quota system restricting access to tenure by establishing maximum percentages of tenured faculty members can only function to the detriment of the University's vitality and to its affirmative action program. Those who qualify and are needed must be rewarded or initiative will be destroyed. Access to tenured ranks must remain open to those who qualify or women and minority group members without tenure will be deterred from joining The University of Iowa faculty. With an open system — and we are persuaded that it can remain open — vitality will remain and affirmative action accomplished.
  2. Faculty status. Faculty status is accorded to those members of the University who are charged with the duty of advancing and disseminating knowledge. As a consequence, appointment to, and progression through the academic ranks requires demonstrated competence and potential for continued growth as a scholar and teacher.
  3. Termination of tenured faculty.
    1. General rule. Because of the centrality of tenure to the University's mission, the appointment of a tenured member of the faculty may be terminated only for good cause and in accordance with the principles of academic freedom stated in the Statement on Tenure and Academic Vitality at The University of Iowa (paragraph a above), which commits the University to the principle that "free inquiry and expression are essential to the maintenance of excellence; tenure is essential to free inquiry and expression." The procedures governing any termination must conform in all respects to the principles of due process. Thus, unless alternative procedures are specified in this manual, any termination proceedings shall be conducted under III-29 Faculty Dispute Procedures.
    2. The appointment of a tenured faculty member may be terminated for:
      1. Violations of University policies, including but without limitation:
        1. Sexual Harassment and Consensual Relationships (II-4 and II-5.9b(9)(c));
        2. Violence (II-10);
        3. Anti-Retaliation (II-11.4f);
        4. Drug Free Environment (II-12.3b(1));
        5. Ethics in Research (II-27.6b(22)(a));
        6. Professional Ethics and Academic Responsibility (III-29.7i(2)(e)); or
        7. Regents Rules (II-29.14b(6)).
      2. Demonstrated unacceptable performance of duty pursuant to III-29.8.
      3. Financial exigency that is demonstrable and bona fide, defined as a financial crisis which exists or is imminent and which, if not corrected, threatens the survival of the University as a whole, but only if the crisis cannot be corrected by less drastic means than termination of tenured faculty.
      4. Programmatic change or discontinuance for academic reasons (when approved by the President of the University and the Board of Regents) which cannot reasonably be accomplished without terminating the tenure of faculty in the particular program. No faculty member may be terminated because of programmatic change or discontinuance unless, following the good faith efforts of the University and the faculty member, the faculty member cannot be transferred to another college or department where the professional services of the faculty member can be used effectively.

10.2 Criteria for Promotions

(President 10/85; amended 2/01)

The criteria for promotions include teaching, research, and other professional contributions. Since teaching and research are the central functions of the faculty, other professional contributions are considered subsidiary to these fundamental tasks. The length of service, whether long or short, does not constitute, of itself, a qualification for promotion nor the sole justification for the denial of same. It is also the policy of the University that promotions shall not be dependent upon offers of positions from other institutions. A candidate for promotion shall be evaluated in accordance with the provisions of III-10.5b. (See III-29.5d(4)(b), second paragraph.)

  1. Teaching. The prime requisites for an effective teacher are intellectual competence, integrity, and independence; a willingness to consider suggestions and to cooperate in teaching activities; a spirit of scholarly inquiry which leads to the development and strengthening of course content in the light of developments in the area of interest, as well as to improve methods of presenting material; a vital interest in teaching and working with students and, above all, the ability to stimulate their intellectual interest and enthusiasm. The quality of teaching is admittedly difficult to evaluate. This evaluation is so important, however, that recommendations for promotion should include evidence drawn from such sources as the collective judgment of students, of student counselors and of colleagues who have visited the individual classes or who have been closely associated with the person's teaching as supervisor or in some other capacity, or who have taught the same students in subsequent courses. Academic counseling or advising of students should be recognized as an important component of the teaching process, and due credit should be given to faculty members who exert an unusual effort in this function.
  2. Research. In most of the fields represented in the programs of the University, publications in media of quality are expected as evidence of scholarly interest pursued independently of supervision or direction. An original contribution of a creative nature is as significant or as deserving as the publication of a scholarly book or article. Quality of production is considered more important than mere quantity. Significant evidence of scholarly merit may be either in a single work of considerable importance or a series of studies constituting a general program of worthwhile research. The candidate should pursue a definite, continuing program of studies, investigations or creative works.
  3. Other professional contributions. From time to time, a faculty member is called upon to render major professional services to the University or to society in general. Such contributions should be evaluated in terms of the effectiveness with which the service is performed, its relation to the general welfare of the University and its effect on the development of the individual.

10.3 Assignment of Academic Rank

Academic ranks of assistant professor, associate professor, and professor should be assigned only to those who are directly engaged in the teaching of courses approved for listing in the University's General Catalog or engaged in research which involves the teaching of graduate students.

10.4 Qualifications for Specific Ranks

(Amended 6/99; 10/00; 7/01)

 Each academic unit is expected to develop detailed tenure and promotion criteria consistent with the following qualifications. If the pattern and practice in some units deviates markedly from these norms, such units may seek approval of the Executive Vice President and Provost for alternate criteria.

  1. Assistant Professor.
    1. Promise of ability as a teacher.
    2. Holder of the doctorate or its equivalent.
    3. Promise of scholarly productivity, supported by publications or the equivalent.
    4. Term of appointment is typically three years, although it may be for a shorter period of time if recommended by the departmental executive officer and the dean of the college.
    5. Appointments at the rank of assistant professor shall ordinarily not exceed a total of seven years of service and thus shall be reviewed for tenure no later than during the sixth year of service. Unless otherwise agreed upon, the status of a faculty member who has served both as an instructor and as assistant professor in this University should be reviewed during the sixth year of service in the two ranks combined. A faculty member for whom a denial-of-tenure recommendation has been made by the Executive Vice President and Provost shall be given notification of a terminal year of appointment.
  2. Associate Professor.
    1. Convincing evidence that the candidate is an effective teacher of, as appropriate, undergraduate, graduate, postdoctoral, and professional students.
    2. Demonstration of artistic or scholarly achievement supported by substantial publications or equivalent artistic creations or performances, of high quality, as appropriate to the discipline(s).
    3. Departmental, collegiate, and/or University service and, if appropriate, professional service will be expected at an appropriate level.
    4. The quality and quantity of teaching, scholarly/artistic accomplishment, and service should give unmistakable promise of promotion to full professor.
    5. A tenure appointment, except that for persons appointed from off the campus the initial appointment may be for a term of three years or less.
  3. Professor.
    1. Consistent record of high-quality teaching at all appropriate instructional levels, including successful guidance of doctoral graduate students to the completion of their degree programs, where applicable.
    2. Continued artistic or scholarly achievement of high quality, accompanied by unmistakable evidence that the candidate is a nationally and, where applicable, internationally recognized scholar or creative artist in the chosen field.
    3. The candidate should have a record of significant and effective service to the department, college, and/or the University and, if appropriate, to the profession.
    4. A tenure appointment, except that for persons appointed from off the campus the initial appointment may be for a term of three years or less.

10.5 Review and Promotion Procedures

(President 10/85; amended 2/01; 7/01; 5/07)
  1. The question of promotion of faculty may be brought up at any time deemed appropriate, but if not considered earlier, it should be brought up for formal consideration between the dean and the departmental executive officer as follows: assistant professors during the final year of the probationary period as defined by the college, and associate professors no later than the seventh year after promotion to that rank. Promotion may take place earlier if the qualifications and promise of the individual concerned warrant such action. Individual faculty members may request review for promotion, tenure, or both, at any time, and shall be afforded such review by the applicable department or nondepartmentalized college. The offer letter to a faculty member whose initial appointment will begin at a time other than the start of the fiscal or academic year or who has previous years of service at another institution should specify when the tenure and promotion review will take place.
  2. A candidate for tenure and/or promotion or reappointment shall be evaluated under the relevant, clearly defined standards of the faculty member's academic unit(s) that were 1) in effect at the time of the faculty member's initial appointment or promotion to the rank currently held; 2) any such standards in effect since that time; or 3) any such standards in effect at the time of the evaluation, whichever of these the candidate elects. However, no standards may be applied if they were superseded more years ago than the time specified as normal time at rank (adjusted to account for any extension, family leave, or illness granted to the faculty member). For assistant professors, the normal time in rank is six years, unless the college has established a longer probationary period norm (III-10.1a(4)(c)), and for associate professors seven years (see paragraph a above). The candidate shall make an election under this section no later than the end of the academic year prior to the academic year in which the candidate is considered for tenure and/or promotion or reappointment. Absent such election, the standards for evaluation shall be those standards in effect at the end of the academic year before the academic year in which the candidate is considered for tenure and/or promotion or reappointment.

10.6 Post-Tenure Effort Allocation

(Board of Regents 5/22/97)
  1. In planning, setting priorities, and making decisions, The University of Iowa is guided by its commitment to the core values of learning, integrity, quality, community, and responsibility. With respect to faculty, the core values of learning, quality, and responsibility are extremely important. These three values state:
    1. Learning. The University of Iowa is dedicated to discovering, disseminating, and preserving knowledge and to the development of an educated citizenry. Through teaching, research, scholarship, creative endeavor, clinical practice and public outreach, the University develops ideas, enlarges understanding, and extends its resources to society. Recognizing the need for constant inquiry and continuous reinterpretation of knowledge, the University vigilantly protects free expression of thought, respects difference and diversity, and fosters opportunities for all members of the community to generate and discuss ideas and contribute to the vitality of the educational environment.
    2. Quality. As a center of learning, the University of Iowa measures itself by exacting standards, honors high aspiration and achievement, and expects all persons associated with the University to strive for excellence.
    3. Responsibility. The University of Iowa is obligated to exercise responsible stewardship over the intellectual and material resources entrusted to it. As a public institution, the University aims for accessibility, affordability, and quality, so that a broad array of qualified students from Iowa and elsewhere may obtain an excellent education at reasonable cost. The University recognizes the responsibility of its faculty to determine what students should learn and to shape the body of knowledge that will be passed on to future generations. It is also the University's obligation to engage all members of its community in collective reflection on their responsibilities not only to their disciplines and professions but also to the institution and to society.

    In carrying out its obligation to transmit learning in an exacting and responsible manner, faculty at a major research institution are expected to engage in teaching, research, and service. Although these categories parallel our University's threefold mission, in our experience, they do not adequately suggest the complexity of faculty work, its different configurations across the University, and its development throughout any single faculty member's career. Faculty members engage in teaching, research, scholarship, artistic endeavor, clinical practice, and public outreach; they administer departments and colleges; they run teaching and research laboratories; design curricula; write grants; and advise students. Although each faculty member's efforts may not be distributed evenly among the various components of academic work, each has the responsibility to serve the University and its constituents in full measure and according to exacting standards.

    The expectations of work for the attainment of tenure are spelled out in various documents relating to pre-tenured faculty. Pre-tenure effort allocations must generate profiles that demonstrate teaching effectiveness, research, and, to a lesser extent, service.

    Faculty profiles can be expected to look most alike at the time of the tenure decision. It seems reasonable, and even desirable, however, to expect that after tenure, faculty careers will begin to diversify as individuals develop different strengths and assume different responsibilities. This policy establishes the concept of a "faculty portfolio" that allows for variations in the combination of teaching, research, and service for a limited period of time through which faculty can make their maximum contribution to the University's mission. Because the efforts of all faculty will be marshaled in ways to assure that the talents of all at a given time are used most effectively, use of individualized portfolios and portfolios consistent with unit norms should only have a positive impact on the quality of faculty teaching and research.

    The faculty portfolio concept reflects the notion that tenured faculty members may negotiate with their DEOs individualized patterns of work that differ from the expected distribution of efforts for a typical faculty portfolio (herein "unit norms") of their college, department, or unit (hereinafter called unit). These portfolios, however, should be developed with the view that all faculty within a unit will commit their collective strengths to fulfilling the overall mission of their units and the University consistent with appropriate strategic plans. The opportunity for differential allocation of post-tenure effort thus facilitates the attainment of the University's core values of quality, learning and responsibility.

    The activities of faculty at institutions with a significant research mission differ markedly from the activities of faculty at institutions with no significant research mission. Immediately below are highlighted some of the prominent features of the activities of the faculty at The University of Iowa under the categories of: 1) Teaching, 2) Research, Scholarship, and Creative Work, and 3) Service, Administration, and Outreach.

    1. Teaching. Faculty members teach a wide variety and types of courses at the University. Teaching of courses includes the preparation of course syllabi, classroom materials, class lectures, and discussion topics, and student assignments such as papers and projects. Faculty also prepare and administer examinations, evaluate student work, train and supervise the work of teaching assistants, continuously read in their field to include up-to-date material and information in their classes, and meet their students outside of class to advise, help, and guide them in their course work. Teaching also includes the mentoring of undergraduate and graduate students in research settings.

      Other important teaching efforts include faculty initiatives to improve instruction through the design and revision of the curriculum, the creation of new courses, the revision of existing courses, and supervision of the creative work and research of students.

      In carrying out its obligation to transmit learning in an exacting and responsible manner, faculty at a major research institution are expected to engage in teaching, research, and service. Although these categories parallel our University's threefold mission, in our experience, they do not adequately suggest the complexity of faculty work, its different configurations across the University, and its development throughout any single faculty member's career. Faculty members engage in teaching, research, scholarship, artistic endeavor, clinical practice, and public outreach; they administer departments and colleges; they run teaching and research laboratories; design curricula; write grants; and advise students. Although each faculty member's efforts may not be distributed evenly among the various components of academic work, each has the responsibility to serve the University and its constituents in full measure and according to exacting standards. The unique requirements and features of faculty work in the different types of classes taught can vary. For example, in a large lecture course, considerable effort is spent in preparing lectures, maintaining records of student work, and coordinating teaching with other faculty in other sections of the course. By contrast, in a clinical or professional course, considerable effort is devoted to working with small groups of students in clinical or professional settings, arranging for the settings and the student activities in these settings, and closely guiding the interactive work of the students in those settings.
    2. Research, scholarship, and creative work. Faculty conduct a wide range of research, scholarship, and creative work to advance the core value of learning, including engaging in hands-on creative work and research, directing and collaborating with graduate students and professional students in joint creative activities and research, directing and supervising undergraduate creative work and research, and supporting this scholarly work through efforts to arrange and sustain adequate physical, financial, and institutional (and inter-institutional) support.

      As with teaching, there are many different types of activities necessary to create and sustain vitality in research, scholarship, and creative work by faculty. At the center of this activity, faculty require the time and resources to pursue scholarly or creative work in the laboratory, the library, the studio or office, and/or in the field, to supervise and direct the work of their students, to write proposals to obtain support for their projects, to attend professional meetings and to consult with a variety of groups and individuals to enhance their understanding of problems and challenges.
    3. Service, administration, and outreach. Faculty serve their professional colleagues and organizations, the public, and various off-campus constituencies. They also administer and govern the academic programs and services of the University and assist colleagues and University administrators with a variety of functions and tasks.

      With regard to professional service, faculty are often asked to hold offices in professional organizations and help to organize professional meetings. They edit books and professional journals and serve as reviewers for such publications. They serve on federal and regional panels and offer advice to private, corporate and government funding agencies. With regard to public service, faculty may provide health care, legal service, artistic leadership, and educational expertise. Faculty offer educational outreach programs to the business community, community organizations, and governmental bodies. Faculty expend considerable effort to help administer and govern the University. They chair departments, serve on a wide-range of appointed and elected committees, and recommend the allocation of fiscal and human resources necessary to the educational mission of the institution.

      The University's commitment to learning and to the above listing of some of the efforts of faculty toward the achievement of that commitment implicitly recognize that teaching, research, and service are inextricably interwoven and that the proportions of time and effort that all faculty within a unit devote to them at any particular time need not be equal.
  2. In determining differential allocation of post-tenure effort, the following rules and principles apply:
    1. Each unit is obligated to contribute fully to the accomplishment of the overall mission and values of the University, consistent with the strategic plan of the University and the unit. Just as the proportion of effort among units may vary in carrying out the University's mission, so too may the proportion of effort by individual faculty vary. However, the aggregate efforts of all faculty within a unit must be consistent with the overall strategic plan of the unit.
    2. Over a faculty member's aggregate post-tenure work life, the faculty member is expected to contribute to the University's core value of learning by efforts expended primarily in teaching and research and, to a lesser extent, service. In some units, the common use of the terms "service" or "clinical service" includes efforts that may properly be viewed as teaching or research.
    3. As individual faculty members follow typical post-tenure career patterns, shifts may occur in the proportion of a faculty member's efforts devoted to these three components, capitalizing on the individual faculty strengths at any particular time to fulfill the teaching, research, and service needs of the unit or the University.
    4. Following the adoption of this policy, the faculty of each unit will develop expected norms for a typical faculty portfolio reflecting its judgment as to the appropriate allocation of effort for its faculty among teaching, research and service. Unit norms must be approved by the dean in which the unit is located and by the Executive Vice President and Provost. Changes in unit norms must be initiated by the faculty of the unit and approved by the dean in which the unit is located and by the Executive Vice President and Provost.
    5. Faculty members within a unit may negotiate with the DEO individualized effort portfolios that differ from the unit norms. Ordinarily, portfolios are effective for a maximum of two years. Renewals are possible. Either the individual faculty member or the DEO may initiate discussions for an individualized portfolio. Agreements concerning individualized faculty portfolios that differ from unit norms shall be formalized in a document to be included in the faculty member's personnel file. Such agreements should reflect a clear understanding of the efforts to be made by the faculty member.
    6. The use of individualized portfolios within a unit must advance the teaching, research or service missions of the unit or the University, must not significantly compromise the unit's teaching, research, and service mission, and should be consistent with the career goals of the faculty. Because of this, no faculty member is entitled to, or can be compelled to have, an individualized portfolio. Furthermore, when considering the advisability of an individualized portfolio, both the DEO and the faculty member should consider how such a portfolio would fit with the goals of the unit, the University, and the faculty member.
    7. The DEO shall discuss all proposed individualized portfolios with the dean or Executive Vice President and Provost, who will approve them before they are implemented during the subsequent academic year. The DEO also shall distribute to the faculty of the unit a list of faculty members who have negotiated individualized portfolios, together with a statement of the area of emphasis for those particular faculty members and a statement of how the unit strategic plan will continue to be realized by the unit faculty taken as a group. All of this shall occur within sufficient time to permit appropriate planning of the unit's teaching, research and service mission.
    8. The use of individualized portfolios within a unit will not compromise the standards required for a tenured faculty member to obtain promotion. Therefore, individualized faculty portfolios that would interfere with a tenured faculty member's opportunity to be promoted in a timely manner are inadvisable.
    9. Regardless of how a faculty member's responsibilities are distributed among teaching, research, and service, the faculty member is expected to perform those responsibilities to a high standard of excellence. For purposes of annual merit pay adjustments and peer review evaluations, all faculty will be evaluated relative to how well they perform their efforts pursuant to their individualized portfolio, or, if none, consistent with unit norms, and without regard to whether those efforts involve teaching, research, or service.
      1. Example #1: In prior years, Faculty A, B, and C each devoted their efforts to teaching, research, and service consistent with unit norms, but with varying degrees of achievement and success. Each of them and their DEO have recognized that their individual strengths are not being utilized to the best in light of their current interests and talents, and that, as a result, the unit has not been able to maximize its commitment to learning as reflected in its strategic plan. Through the use of individualized portfolios, their collective efforts can be reallocated so that each of them expends efforts in a manner that takes into account their different strengths; this effort reallocation will increase the overall productivity of the unit.
      2. Example #2: Faculty members A, B, C, and D are in the same unit. Faculty A and the DEO agree that, for a particular period, Faculty A will have greater classroom teaching obligations than would otherwise be the norm within the unit. Faculty B and the DEO agree that, during some particular period, Faculty B will have greater governance responsibilities that would otherwise be the norm. Faculty C and the DEO agree that, for a particular period, Faculty C will have greater research obligations than would otherwise be the norm. Faculty D's responsibilities remain consistent with unit norms.

        The efforts of each of them will be rewarded on the basis of how well each performs such activities, since all of them contribute in their respective ways to the overall mission of the unit. If each individual performs his or her agreed upon activities to the highest level, then the merit pay of each should be determined in the same manner, all other things being equal (e.g., no salary compression issues; no competing offers).

        On the other hand, if one of them excels in the performance of his or her agreed upon activities while the other three faculty members' performances of their efforts are deemed very good, the faculty member who excelled should receive a higher merit pay adjustment.
      3. Example #3: Unit X has adopted unit norms that state that in the absence of individualized portfolios, faculty members in the unit shall allocate 50% of their time to teaching, 40% of their time to research, and 10% of their time to service. All but two faculty in the unit have allocated their work efforts according to those norms this year. The work effort of Faculty A and Faculty B, who joined the unit within one year of each other, typically comport with unit norms. This year, however, each of them has an individualized portfolio with Faculty A's time being allocated: 70% to teaching, 20% to research, and 10% to service and Faculty B's time being allocated: 70% to research, 20% to teaching, and 10% to service.

        Faculty A has a history of being a good teacher and scholar. Faculty B is recognized to be an exceptional scholar and has consistently been assessed as one of the premier teachers in the unit. In the current year, both A and B continue to perform their work as they have in the past. Under this policy Faculty B should receive a higher merit pay adjustment than Faculty A.
    10. The decision of a DEO and/or any other group authorized to evaluate and reward faculty in a manner that fails to take into account individualized faculty portfolios may be appealed to the dean of the college in which the unit is located or, in nondepartmentalized colleges, to the Office of the Executive Vice President and Provost.
      1. Example #4: Faculty A and the DEO agree that Faculty A will devote the next academic year exclusively to teaching. At the end of the year, the DEO advises A that even though A has performed to a high standard of excellence, the DEO has decided to provide more merit funds to those faculty in the unit who have complied with the unit norms. This decision would be inconsistent with the intent of this policy, which is that A's merits be determined by reference solely to the agreed upon portfolio. Any adverse salary determination would be appealable to the dean or the Office of the Executive Vice President and Provost, as appropriate.

10.7 Review of Tenured Faculty Members

(Faculty Senate 3/29/11; amended Faculty Council 8/11)
  1. Introduction.
    1. Scope. This section establishes procedures to be followed by the University in conducting reviews of a tenured faculty member's academic performance in areas of teaching, scholarship, and service. There are two kinds of review of tenured faculty: annual reviews conducted by the unit head, and periodic reviews conducted by faculty peers.
      1. An annual review should, in the main, be evaluative, but may also be formative and developmental.
      2. A peer review should, in the main, be formative and developmental, and should facilitate and encourage professional vitality.
    2. Academic freedom. All proceedings under this section shall respect the principles of academic freedom and tenure stated in the Statement on Tenure and Academic Vitality at The University of Iowa (III-10.1a(2) above), which commits the University to the principle that "free inquiry and expression are essential to the maintenance of excellence; tenure is essential to free inquiry and expression." The expectation is that all post-tenure reviews will respect the significance and importance of tenure.
    3. Rationale. A tenured faculty member has the responsibility of strengthening his or her university citizenship through his or her work in education, research, and service. The faculty member must also ensure that he or she continues to strive to meet this responsibility. Post-tenure review is a process that has been developed to assess a tenured faculty member's progress. The process includes annual review or evaluation conducted by the faculty member's unit head, and a five-year review conducted by the faculty member's peers.
  2. Annual review of tenured faculty. An annual performance review of all tenured faculty members, through a process developed by the unit head (DEO, or equivalent) in consultation with the faculty of the department, or in nondepartmental units with the faculty of the college, and approved by the dean and Provost, is conducted by the unit head as part of the salary-setting process. Review of tenured faculty shall include an evaluation of research/scholarship, teaching, and service. As part of this review, each faculty member must make available to the unit head materials specified in the statement of the department's review process (e.g., vitae, teaching evaluations, etc.).

    When, as a result of an annual review, the unit head concludes that there are significant deficiencies related to teaching, research, or service, the unit head shall provide written notifications of these conclusions to the faculty member being reviewed, and the faculty member will be given an opportunity to respond in writing. The final report and the faculty member's response will be sent to the dean and will be kept with the faculty member's personnel records.

    The annual review will consider, as appropriate, issues of long-term research, instructional development, or service that cannot be adequately represented on a strictly annual basis. Faculty members being reviewed by their department for the special purpose of promotion may be exempted from this annual faculty review requirement.
  3. Five-year peer review of tenured faculty.
    1. Overview. In a shared-governance academic environment, the faculty plays an indispensable role in appointment, reappointment, promotion, tenure, and dismissal of faculty members. One of the ways that faculty exercise this responsibility is through the formal process of peer review. Post-tenure peer review is intended to acknowledge achievements and to provide an appropriate mechanism to encourage constructive responses to normal changes that are likely to occur over the course of a successful academic career. The developmental nature of post-tenure review mandates that a faculty member being reviewed should be accorded adequate time to respond to the review and to improve performance where necessary, prior to initiation of any proceedings which may be viewed as adversarial or punitive.
    2. Procedure. All tenured faculty members will undergo a peer review once every five years subsequent to their most recent tenure or promotion review. Faculty members are exempted from their scheduled five-year peer review if:
      1. they are being reviewed for promotion to a higher rank during the year of the scheduled review,
      2. they are within one year of announced retirement or are on phased retirement, or
      3. they serve as DEO, assistant dean, associate dean, or dean.

      The five-year peer review will include a comprehensive review by a committee composed of tenured faculty peers in the same college as the faculty member undergoing review and at the same or higher academic rank appointed by the DEO or dean in consultation with the faculty member who is to be reviewed. DEOs and other academic administrators may not serve on peer review committees. The outcome of this peer review is confidential and confined to the faculty member being reviewed, the review committee, the DEO, the dean, others directed by the faculty member, and in special circumstances the Provost.

    3. Plan. Consistent with the foregoing, each college must develop and implement a plan for the five-year peer review of each tenured faculty member. The plan is to include specific guidelines regarding:
      1. selection of the five-year peer review committee;
      2. committee procedures and timelines;
      3. materials to be reviewed;
      4. distribution and use of the committee's written report; and
      5. mechanisms for the faculty member to respond.

      Faculty members of the college will approve the plan by vote. The dean and Provost will approve each plan and ensure consistency with review processes across the departments and colleges.

      A faculty member who believes that she or he has been treated unfairly at any point during the five-year peer review process may seek redress of her or his grievance within the scope and framework of III-29.6 Faculty Dispute Procedures.

  4. Special cases procedures. If, after receiving the results of the five-year peer review, the dean, on advice of the peer review committee and in consultation with the DEO, if one exists, concludes, on the basis of the peer review's findings, that the faculty member's performance has fallen for a significant period of time below the expected standard of performance for the faculty member's unit, then the dean may initiate discussions with the faculty member concerning the development of a plan to address problems uncovered in the review. Such discussion may focus on the faculty member's individualized portfolio. The plan will be put in writing, will contain a justification for its implementation, will provide a specific timetable for evaluation of acceptable progress (normally to occur at the faculty member's next five-year review), and will provide a description of possible consequences for not meeting expectations by the time of that evaluation. The DEO and/or dean may monitor progress through the annual review and give feedback to the faculty member.

    If the plan prepared by the peer review committee and the dean is not agreed to by the faculty member, then the faculty member will provide a written justification for not agreeing to the plan. The plan and the faculty member's response will be submitted to the Provost, who will make the final determination as to whether the plan should be implemented. If the faculty member believes that there are grounds for grievance, then the faculty member may seek redress of his or her grievance within the scope and framework of II-29.6 Faculty Dispute Procedures.

    In deciding whether or not to implement such a plan, it is important that the dean and DEO respect the importance of tenure and the academic freedom it is designed to protect. With respect to research, there is a critical distinction between a faculty member who has ambitious research programs that they are actively pursuing and the very few faculty members who have no such plans and who have had no work in progress for a substantial period of time. It is expected that if plans envisioned focus on research productivity, they would typically be appropriate only for the latter group.

    If the plan is implemented, then the dean (or dean's designee) and the DEO will oversee the faculty member's progress under the plan. If after the agreed-to time period, the dean and the DEO, in consultation with the peer review committee, find no acceptable progress, then the DEO, the dean, the Provost, and the peer review committee will meet to decide which of the consequences described in the plan will go into effect. The consequences will be implemented by the dean, in consultation with the DEO, and monitored by the Provost.

    Use of the special review procedures described above does not preclude deans from utilizing available, alternative procedures for addressing problems of unacceptable performance of duty (III-29.7,  III-29.8). On those rare occasions where a faculty member has proved unwilling or unable to benefit from developmental assistance to improve his or her performance, the administration may feel compelled to proceed against the faculty member in a disciplinary or unfitness proceeding, where the burden of proof is on the administration to show that the proposed sanction is justified. However, deans are strongly encouraged to proceed with formative and developmental plans before resorting to such measures.

10.8 Part-Time Faculty Members

(Regents 6/27-28/74)
  1. Definitions. As used in these regulations:
    1. "Part-time" means fifty percent or more but less than one hundred percent of full-time.
    2. "Faculty member" means a person holding the rank of assistant professor, associate professor or professor.
  2. Mutual obligations. A part-time faculty member on the tenure track is expected to meet the various obligations of a full-time faculty member in proportion to the percentage of the appointment. Administrative units of the University are expected to assign duties and provide support to a part-time faculty member on the same basis as to a full-time faculty member, except prorated in accordance with the percentage of appointment.
  3. Requirements and qualifications. Except for the time periods specified in III-10.5, all requirements and qualifications of III-10.1–10.5 apply to part-time faculty members.
  4. Time periods. The six- and seven-year periods specified in III-10.5 are applicable to full-time faculty members. For the purposes of III-10.5, the service of part-time faculty members will be calculated by adding together part-time service (fifty percent or more) until the time periods set forth in III-10.5 and elsewhere have been completed. Thus, twelve years of fifty percent service will be deemed the equivalent of six years of full-time service; ten years of sixty percent service will be deemed the equivalent of six years of full-time service; eight years of seventy-five percent service will be the equivalent of six years of full-time service; and six years of seventy-five percent service coupled with three years of fifty percent service will be deemed the equivalent of six years of full-time service.
  5. Tenure status. Tenure status shall be awarded to part-time faculty members who are found to meet University standards for granting tenure, with the performance expectations to be identical with those required of full-time faculty members. Faculty service which is less than fifty percent of full-time service will not be credited towards completion of a probationary period leading to a tenure decision.
  6. Percentage of full-time service. The percentage of full-time service obligation and right of a part-time faculty member who has earned tenure normally will be at the median percentage of full-time service rendered by the faculty member during the probationary period. Part-time faculty members who currently have tenure shall have a percentage of full-time service obligation and right at the percentage at which the faculty member was serving when tenure was awarded.
  7. Adjusting part-time service. The decision to increase permanently to full time the percentage of a part-time faculty member's service is to be made in the same fashion as a new hiring decision and in all cases the person most qualified to fill the available position will be employed. A present part-time faculty member shall be given preference in filling a vacancy in his or her academic unit, however, if equally qualified for the position in comparison with all other applicants. In considering whether to increase a part-time faculty member to full-time status or to employ a new full-time faculty member, the decision will be made wholly on the merits of the candidates under consideration and shall not be influenced by the fact that it may be more inconvenient to move the present part-time faculty member to full time and to hire a new part-time faculty member than to employ a new full-time faculty member, nor to the extent fiscal resources permit, by the fact that the salary of the part-time faculty member when moved to full time may be higher than that of a full-time faculty member hired from off campus. A part-time faculty member and the collegiate dean may agree in writing at any time 1) to decrease permanently the percentage of full-time service to be required of the faculty member, as long as the percentage does not fall below fifty percent; and 2) to decrease or increase temporarily — for not more than two years — the percentage of service to be rendered.
  8. Reducing full-time appointment. Any agreement that a full-time tenured appointee will thereafter serve on a part-time basis shall specify either 1) that the tenured appointment thereafter will relate solely to service on an agreed part-time basis; or 2) that the appointee will return to full-time service on a specified date. Such an agreement shall be in writing and is subject to modification only by a written agreement between the faculty member and the collegiate dean. In no event shall the percentage of tenure status be reduced to less than fifty percent.
  9. Rights and Responsibilities. Part-time faculty members shall be entitled to all University, collegiate, and departmental rights, and have all responsibilities of full-time faculty members.

10.9 Clinical Track Policy

(Regents enacted 2/15/95; amended 7/00; 1/02; 4/05; 9/13)

Preamble. Consistent with the University's need to retain the flexibility to adjust its programs to meet the changing needs of students and society, non-tenure track clinical faculty may be appointed and promoted as provided below. This policy sets parameters within which individual colleges can, but are not required to, develop policies and procedures that permit the hiring of clinical faculty. Operationally it is similar to the tenure policy, in that collegiate policy would amplify University policy and would be approved by the Executive Vice President and Provost.

  1. Definitions. Clinical faculty hold service positions through which they contribute to the service, teaching, and/or outreach missions of the University, and hold faculty rank at instructor, assistant professor, associate professor, or professor. Clinical faculty are not eligible for tenure. They participate in the faculty governance process as described below and as defined by individual colleges and the Faculty Senate.
  2. Role of clinical faculty. All clinical faculty must devote a significant portion of their time to providing or overseeing the delivery of professional services to individual patients or clients. In addition, teaching students, residents, or fellows of the University at the undergraduate, graduate, professional, or postgraduate level is an essential job function for all faculty (whether tenured, tenure track, or clinical). Thus, clinical faculty are expected to integrate the delivery of their professional services with their teaching. While the use of clinical faculty is most easily conceived in the context of health sciences and law where faculty are involved in the delivery of professional services to patients and clients, there are other disciplines in other colleges where the use of clinical faculty for similar purposes may be entirely appropriate. The services provided by clinical faculty outside of the health science colleges should be the professional equivalent of services provided to patients. The use of clinical faculty largely to perform administrative functions with little or no teaching obligations is inconsistent with this policy. Similarly, it is inappropriate to use clinical track faculty largely to engage in research, scholarship, or artistic creation.
  3. Types of appointments. As used herein, "clinical faculty" can hold one of two types of appointment within the University:
    1. Salaried appointments. Clinical faculty may hold salaried positions as employees of The University of Iowa. These faculty participate in faculty governance as defined by the college and Faculty Senate, receive usual faculty benefits, and undergo periodic reviews of their performance. Each college adopting a clinical track policy shall fix the percentage of its total salaried faculty that may hold clinical track appointments without limitation. However, any proposal made at any time to increase the percentage of clinical track appointments (computed in FTEs) within a college (including an initial proposal to create a clinical track) must obtain both the approval of a majority of the tenured/tenure track faculty within the college and the approval of a majority of the clinical track faculty within the college by a referendum supervised by the Associate Provost for Faculty. Any such proposal must also be approved by the Executive Vice President and Provost.
    2. Nonsalaried appointments. Other clinical faculty may hold nonsalaried positions with the University, but they are not considered employees of the University. These clinical faculty contribute in a material way to the University's missions, although their obligations are more limited in scope than salaried faculty. They do not participate in faculty governance and do not receive salary or benefits outside of nominal remunerations. However, recognizing their contributions with a "clinical faculty" designation denotes the importance of their teaching and service functions. There is no limit on the number of such nonsalaried clinical faculty who can be appointed within individual colleges.
  4. Terms of appointments.
    1. Salaried appointments. Salaried clinical faculty are searched for and appointed through recruitment processes also used to search for tenure track faculty. (See III-9 Appointments.)

      Initial appointments for salaried clinical faculty are one to three years in duration. In the final year of the initial appointment, a full-scale, departmental-collegiate review will be made. This review should take into account the faculty member's demonstrated effectiveness in fulfilling teaching and service missions. It should also include an evaluation of the departmental, collegiate, and University educational and service goals and the likely role of the faculty member in the future in achieving those goals. To assure unified decision-making at this point, full central administration review of the departmental-collegiate recommendation is necessary.

      After a positive review, salaried clinical faculty will receive a one- to seven-year appointment commencing at the beginning of the next academic year. Faculty will be reviewed on a schedule commensurate with their appointments according to written standards of competence and performance defined by their unit.
    2. Nonsalaried appointments. Nonsalaried clinical faculty are appointed pursuant to procedures adopted by individual colleges and approved by the Office of the Executive Vice President and Provost.
  5. Qualifications for specific ranks. The ranks of clinical faculty shall be assigned as defined below, and in accordance with collegiate policies.
    1. Instructor.
      1. Promise of ability in service, to include but not be limited to clinical service.
      2. Promise of ability to contribute to teaching.
    2. Assistant Professor.
      1. Evidence of ability in service, to include but not be limited to clinical service.
      2. Evidence of ability to contribute to teaching.
    3. Associate Professor.
      1. Acknowledged record of service and teaching success.
      2. Evidence of progress toward a record of professional productivity beyond clinical service, as defined by the college.
    4. Professor.
      1. Acknowledged record of service and teaching success.
      2. An established record of professional productivity beyond clinical service, as defined by the college.
      3. Unmistakable evidence of recognition by peers, as defined by the college.
    5. Demonstration of artistic or scholarly achievement shall not be a requirement for reappointment or promotion of clinical track faculty.
  6. Titles. All titles of clinical faculty shall contain the term "clinical" as a modifier. Exact titles must be stipulated in college procedures and approved by the Office of the Executive Vice President and Provost.
  7. Promotion.
    1. Salaried clinical faculty. The question of promotion of clinical faculty may be brought up during any regular promotions cycle. Promotion of salaried clinical faculty will follow University and collegiate Procedures for Clinical-Track Promotion Decision Making at The University of Iowa. All recommendations for promotion of salaried clinical faculty are submitted to the Board of Regents for approval.
    2. Nonsalaried clinical faculty. Procedures and criteria for the promotion of nonsalaried clinical faculty shall be adopted by individual colleges and approved by the Office of the Executive Vice President and Provost. The provisions of III-10.5 and those regarding salaried clinical faculty described herein do not apply.
  8. Termination and non-renewal.
    1. Salaried clinical faculty.
      1. Termination of salaried clinical faculty during the term of the appointment must be for failure to meet written standards of competence and performance established by the unit and the University.
      2. A decision not to renew an appointment of a salaried clinical faculty member may be for failure to meet written standards of competence and performance established by the unit and the University, or for changed economic circumstances or program needs such that the position itself is terminated. Non-renewal for changed economic circumstances or program needs may only occur at the conclusion of an appointment, and must carry appropriate notice.
      3. Notice of non-renewal of appointment, or of intention not to recommend reappointment after a stated period has elapsed, is given in writing in accordance with the following standards:
        1. Not later than March 1 of the first year of service, if the appointment expires at the end of that year; or if a one-year appointment terminates during an academic year, at least three months in advance of its termination.
        2. Not later than December 15 of the second year of service, if the appointment expires at the end of that year; or the appointment terminates during an academic year, at least six months in advance of its termination.
        3. At least twelve months before the expiration of an appointment after two or more years of service in the institution.
      4. A decision for termination or non-renewal of salaried clinical faculty is subject to the provisions of the Faculty Dispute Procedures. (See III-29.)
    2. Nonsalaried clinical faculty. Grounds and procedures for the termination or non-renewal of nonsalaried clinical faculty shall be adopted by individual colleges and approved by the Office of the Executive Vice President and Provost. Decisions to terminate or not renew nonsalaried clinical faculty appointments will be reviewed by the dean of the college in which the faculty member was appointed. However, because nonsalaried clinical faculty are not considered employees of the University, such decisions are not subject to the provisions of the Faculty Dispute Procedures.
  9. Collegiate policies and guidelines.
    1. Every college that plans to offer salaried, non-tenured clinical faculty appointments must develop its own written policy statement with respect to such appointments, subject to approval by its own faculty and by the Executive Vice President and Provost.
    2. The resulting policy statement will provide detailed guidelines for every relevant item in this section on "Clinical Faculty." In the development of a policy statement, the following elements should be addressed:
      1. Participation in collegiate faculty governance. Policies for the participation of clinical faculty in collegiate faculty governance, including in the hiring of tenure and clinical track faculty, will be developed by each college using its usual governance procedures, provided, however, that no such governance policy shall permit clinical track faculty to vote on the reappointment, tenure, or promotion of any tenured or tenure track faculty member.
      2. Procedures for appointment, reappointment, and promotion.
      3. Criteria for appointment, reappointment, and promotion.
      4. Participation in peer review for appointment, reappointment, and promotion of other faculty.
      5. Teaching. If the college defines "teaching" as training or instruction given to individuals or small groups while service is delivered, then that limited definition will apply to the evaluation of teaching for appointment, reappointment, and promotion purposes.
      6. Professional productivity beyond clinical service.
  10. This policy shall be reviewed not later than five years following its implementation.

10.10 Research Track Policy

(Regents enacted 6/12/08; amended 7/15; 12/15)

Preamble. Consistent with the University's need to retain the flexibility to adjust its programs to meet the changing needs of the modern research university, non-tenured research-track faculty may be appointed and promoted as provided below. This policy sets parameters within which individual colleges can develop policies and procedures that permit the hiring of research-track faculty. Operationally, collegiate policy would amplify this policy.

  1. Definitions. Research-track faculty hold positions through which they contribute primarily to the research mission of the University and hold faculty rank at assistant professor, associate professor, or professor. Research-track faculty are not eligible for tenure. Research-track faculty members can participate in internal college governance by the approval of the tenured/tenure-track faculty but cannot vote on the hiring of tenured/tenure-track or clinical-track faculty. With regard to Faculty Senate representation, no more than 10 percent of the senators from any college, or one senator, whichever is greater, may be research-track faculty from that college and may be appointed to any committees of the Senate or to University charter committees as a faculty representative. They can qualify for awards and can compete for internal research grants in the same manner as research scientists who are professional and scientific staff.
  2. Role of research-track faculty. Research-track faculty will devote almost all of their time to performing externally supported research and are expected to submit or assist in the submission of research grant applications. Teaching is an essential function of all faculty, but in the case of the research-track faculty it would occur predominantly in the form of service on doctoral committees (including serving as a co-chair with a tenure-track faculty member) with the approval of the Graduate College. Research-track faculty cannot be assigned to teach courses, but they could provide auxiliary lectures on areas of knowledge relevant to their research or to engage in other teaching as may be required by the terms of their research grant or contract. Research-track faculty cannot be assigned to perform administrative functions with little or no research obligations as that assignment would be inconsistent with this policy.
  3. Collegiate policies and changes; size of research faculty.
    1. Every college that plans to offer salaried, non-tenured research-track faculty appointments must develop its own written policy statement with respect to such appointments consistent with all the terms of this policy. Any policy must address each of the following:
      1. Participation of research-track faculty in collegiate faculty governance, including the appointment, reappointment, promotion, and peer review of other research faculty. Research-track faculty may not participate in any personnel decisions relating to the appointment, reappointment, promotion, and peer review of tenured/tenure-track or clinical-track faculty.
      2. Procedures for appointment, reappointment, and promotion of research-track faculty.
      3. Criteria for appointment, reappointment, and promotion for research-track faculty.
      4. Description of the role of salary support in the decision to renew or terminate appointments, including a statement regarding whether limited bridge funding may be available, but not guaranteed, from the department or college from funds other than general education funds.
      5. Research-track faculty members may apply for open positions in the tenure track, but they may be appointed to the tenure track only one time during their career at The University of Iowa. Colleges may further define their own policies related to track switching.
    2. Each college adopting a research-track policy shall fix the size of its total salaried faculty that may hold research-track appointments. The limit on the number of research faculty in any college shall be the greater of eight faculty members or ten percent of the tenured/tenure-track faculty (computed in FTEs) of that college.
    3. Support for research-track faculty, including all start-up costs, shall be funded exclusively by grants, contracts, clinical income, and private donations, and not with general education funds.
    4. The initial policy to create a research track in a college and any proposal made at any time to change that policy within a college must obtain both the approval of a majority of the tenured/tenure-track faculty within the college and the approval of a majority of the research-track faculty within the college by a vote supervised by the Associate Provost for Faculty. Any proposal to adopt or to change a college's research track policy must be approved by the University of Iowa Faculty Senate, the Executive Vice President and Provost, and the President. Any collegiate policy must be wholly consistent with this policy.
  4. Terms of Appointments. Research-track faculty are sought and appointed through recruitment processes used to appoint tenure-track faculty.

    Initial appointments for research-track faculty are one to three years in duration. After three years or prior to that if a promotion is contemplated, a full-scale, departmental-collegiate review will be made. This review should take into account the research-track faculty member's effectiveness in fulfilling the research mission and the ability of the research-track faculty member to obtain and sustain extramural salary support. It also should include an evaluation of the departmental, collegiate, and University research goals and the likely role of the research-track faculty member in the future in achieving those goals. To assure adherence to standard procedures, a full central administration review of the departmental-collegiate recommendation is necessary.

    After approval of the departmental-collegiate review, research-track faculty will receive terms of appointment consistent with established procedures for non-tenure track University employees; however, appointments cannot be for a period longer than current external support for that faculty member.

    Research-track faculty will be reviewed on a schedule commensurate with their appointments, according to written standards of competence and performance defined by their college and departments. Reappointments are to be made only if the research faculty member has a demonstrated record of successfully obtaining external support to fund the research-track faculty member's research.
  5. Qualifications for specific ranks. The ranks of research-track faculty shall be assigned as defined below, and in accordance with collegiate policies. Candidates for promotion shall be evaluated primarily upon the quality of their research (see paragraph g).
    1. Assistant professor.
      1. Terminal degree (or its equivalent) appropriate to the field.
      2. Evidence of productive scholarship.
      3. Evidence of ability to fulfill relevant responsibilities in the research enterprise.
    2. Associate professor.
      1. Terminal degree (or its equivalent) appropriate to the field.
      2. Record of productive scholarship in high-quality venues such as peer-reviewed journals, conference proceedings, or books appropriate to the discipline.
      3. Evidence of extramural research funding and sustained salary support from extramural grants and/or contracts on which the faculty member is listed as key personnel. 
      4. Fulfillment of important responsibilities in the research enterprise.
      5. Clear evidence of regional recognition by peers.
    3. Professor.
      1. Terminal degree (or its equivalent) appropriate to the field.
      2. Established record of productive scholarship in high-quality venues such as peer-reviewed journals, conference proceedings, or books appropriate to the discipline.
      3. Established record of sustained research funding with substantial salary support from extramural grants and/or contracts on which the faculty member is listed as key personnel.
      4. Sustained fulfillment of important responsibilities to the research enterprise.
      5. Clear evidence of national or international recognition by peers.
  6. Titles. All titles of research-track faculty shall contain the term "research" as a modifier. Exact titles must be stipulated in college procedures and approved by the Executive Vice President and Provost.
  7. Promotion. The question of promotion of research-track faculty may be brought up during any regular promotions cycle. Candidates for promotion shall be evaluated primarily upon the quality of their research. Incidental teaching and service activities may also be given some consideration as permitted by collegiate and department guidelines. Promotion of research-track faculty will follow University and collegiate Procedures for Research-Track Promotion Decision Making at The University of Iowa. All recommendations for promotion of research faculty are submitted to the Board of Regents for approval.
  8. Termination and non-renewal.
    1. Termination during the term of the appointment due to end of funding. In cases where a research track faculty member’s funding ends before the end of the appointment, the faculty member shall receive three months’ written notice prior to termination.
    2. Termination during the term of the appointment for reasons other than end of funding — i.e., for cause. Termination of a research track faculty member during the term of his or her appointment may also occur for failure to meet written standards of competence and performance established by the University or the unit.
    3. Non-renewal of appointment for reasons other than end of funding. Written notice of non-renewal or the intention not to renew an appointment shall be given according to the following standards:
      1. During an initial appointment on the research track, at least three months in advance of the last day of employment.
      2. During a second or subsequent appointment on the research track, at least six months in advance of the last day of employment.
    4. A decision for termination or non-renewal of research-track faculty is subject to the provisions of III-29 Faculty Dispute Procedures.
  9. This policy shall be reviewed not later than five years following its implementation by a committee of the Faculty Senate appointed by the President of the Faculty Senate after consultation with the Executive Vice President and Provost. The review shall be completed within one academic year. Immediately following such review, the University of Iowa Faculty Senate shall vote on whether to renew this policy. Subject to paragraph h above (relating to termination and non-renewal), if the policy is not renewed, the research track shall be abolished.

10.11 Instructional Faculty Policy

(Faculty Senate 3/22/16; President 5/4/16)

Preamble. The purpose of this policy is to set parameters guiding the employment of instructional faculty across the University. While tenured and tenure-track faculty, with portfolios of teaching, scholarship, and service, are the foundation of the faculty at the University, colleges have the option to employ non-tenured faculty who are primarily engaged in the teaching mission.

The policy applies to all colleges that employ or continue to employ instructional faculty. It also sets requirements for individual colleges to develop policies related to instructional faculty within the college. As with other University-wide policies, collegiate policy shall further elaborate on but not contradict University policy. See III-10.11i below.

  1. Definitions. Instructional faculty contribute predominantly to the teaching mission of the University and may also do some service. They may work for a single year or may dedicate many years of service. Instructional faculty typically occupy full-time positions, but must be 0.5 FTE or greater. They participate in the faculty governance process as described below and as defined by individual colleges and the Faculty Senate. They are not eligible for tenure.

    Instructional faculty shall hold rank at Lecturer, Associate Professor of Instruction, Associate Professor of Practice, Professor of Instruction, or Professor of Practice. The Associate Professor/Professor of Instruction title is applicable when instructional faculty have an established record of excellence in teaching. The Associate Professor/Professor of Practice title is applicable when instructional faculty are distinguished professionals whose professional expertise and experience qualifies them to teach, advise students, develop curricula, or engage in other pedagogical activities related to their expertise.
  2. Role of instructional faculty. Instructional faculty may be hired to teach courses or to educate and prepare students for their professional roles. Instructional faculty shall devote a substantial amount of their time to providing or overseeing the delivery of instruction to University of Iowa students in the classroom or in other settings appropriate to the discipline. Instructional faculty may also perform administrative and/or service functions; however, instructional faculty shall not be assigned primarily to perform service or administrative functions with few or no educational obligations. Similarly, research, scholarship, or artistic creation shall not be a requirement for appointment, reappointment, or promotion of instructional faculty, but may be considered as evidence of professional productivity if provided for by collegiate policy.
  3. Hiring and terms of appointments. Salaried instructional faculty are searched for and appointed through University-wide recruitment processes. (See III-9 Hiring and Appointments.)
    1. Terms of appointments vary, based on rank:
      1. Lecturer: Upon meeting the qualifications prescribed in III-10.11d, and upon mutual agreement of an applicant and the department and/or college, an applicant may be appointed as an instructional faculty member at the rank of Lecturer. Lecturers shall receive one- to three-year appointments. Lecturer appointments shall terminate at the end of the contract period, but reappointment is possible at the discretion of the college.

        Instructional faculty may choose to remain at the Lecturer rank indefinitely or may pursue promotion as described herein. Upon request of a Lecturer, a college may review a Lecturer for promotion according to applicable University and collegiate policies. This review ordinarily would occur during the sixth year of service; however, collegiate policy may allow the DEO or dean to choose not to review the Lecturer or to review the Lecturer at a different time. If the DEO or dean decides not to review the Lecturer during or after the sixth year of service and after the Lecturer has timely requested review, the DEO or dean shall communicate to the Lecturer in writing the reasons for the decision. A Lecturer’s choice not to request promotion, or the DEO or dean’s decision not to review or promote a Lecturer, does not automatically require termination of employment. (See III-10.11f Promotion.).
      2. Associate Professor of Instruction or Associate Professor of Practice: Upon meeting the qualifications prescribed in III-10.11d, and upon mutual agreement of the faculty member and the department and/or college, an instructional faculty member may be hired or promoted into the Associate Professor of Instruction or Associate Professor of Practice rank. Associate Professors of Instruction and Associate Professors of Practice shall receive three- to five-year appointments; however, if an applicant is initially hired into this rank, the college may choose to provide a probationary one- to three-year appointment. Associate Professors of Instruction and Associate Professors of Practice may choose to remain at this rank indefinitely or may pursue promotion as described herein.
      3. Professor of Instruction or Professor of Practice: Upon meeting the qualifications prescribed in III-10.11d, and upon mutual agreement of the faculty member and the department and/or college, an instructional faculty member may be hired or promoted into the Professor of Instruction or Professor of Practice rank. Professors of Instruction and Professors of Practice shall receive three- to seven-year appointments; however, if an applicant is initially hired into this rank, the college may choose to provide a probationary one- to three- year appointment.
    2. A decision to terminate, not to renew, or not to promote an instructional faculty member may occur only as described in III-10.11g.
  4. Qualifications for specific ranks. The ranks of instructional faculty shall be assigned according to the qualifications below, and in accordance with collegiate policies.
    1. Lecturer:
      1. Terminal degree or other educational qualifications appropriate to the position;
      2. Evidence of potential in teaching, which can be demonstrated through experience in classroom teaching (including as a teaching assistant), pedagogically related advising or mentoring, curriculum development, or other means; and
      3. Evidence of potential to contribute to departmental and collegiate service and/or professional productivity, if the appointment will require service and/or professional productivity.
    2. Associate Professor of Instruction:
      1. Terminal degree or other educational qualifications appropriate to the position;
      2. Established record of excellence in teaching; and
      3. Established record of excellence beyond teaching in professional productivity and/or service, if required and as defined by the college.
    3. Associate Professor of Practice:
      1.  Terminal degree or other educational qualifications appropriate to the position;
      2. Experience and achievement in a profession relevant to the position;
      3. Established record of excellence in teaching, advising students, developing curricula, or other pedagogical activities related to expertise, or an established record of success in professional endeavors indicating the potential for such excellence; and
      4. Established record of excellence in professional productivity and/or service, if required and as defined by the college.
    4. Professor of Instruction:
      1. Terminal degree or other educational qualifications appropriate to the position;
      2. Sustained record of excellence across a range of teaching endeavors as recognized by faculty and students within the department, college, and/or University community; and
      3. Sustained record of excellence beyond teaching in professional productivity and/or service, if required and as defined by the college.
    5. Professor of Practice:
      1. Terminal degree or other educational qualifications appropriate to the position;
      2. Substantial experience and outstanding achievement in a profession relevant to the position;
      3. Sustained record of excellence in teaching, advising students, developing curricula, or other pedagogical activities related to expertise, or a sustained record of success in professional endeavors indicating the potential for such excellence; and
      4. Sustained record of excellence in professional productivity and/or service, if required and as defined by the college.
  5. Titles. Colleges shall use the title Lecturer for the first rank of instructional faculty. Colleges may choose the Associate Professor/Professor of Instruction titles or Associate Professor/Professor of Practice titles, or both, for subsequent ranks. Colleges may use these titles in conjunction with particular subject matters, if desired (e.g., Professor of Practice in Marketing; Professor of Instruction in Legal Analysis, Writing, and Research). Exact titles shall be stipulated in college procedures and approved by the Office of the Executive Vice President and Provost (Provost).
  6. Review and promotion. All reviews of instructional faculty shall be conducted according to written standards of competence and performance defined by the relevant units and in compliance with applicable University policies. Promotion of instructional faculty shall occur during the regular faculty promotion cycle and shall follow both collegiate procedures and Procedures for Instructional Faculty Promotion Decision-Making at The University of Iowa. Given that promotion decisions within instructional faculty ranks do not carry the same “up or out” decision associated with tenure, a negative recommendation on a promotion request need not translate into termination of employment.
  7. Decisions to terminate or not to renew.
    1. Termination. Termination of instructional faculty during the term of the appointment shall be for failure to meet written standards of competence and performance established by the unit or violation of any applicable University policy.
    2. Non-renewal.
      1. A decision not to renew a Lecturer appointment that began in the first six years of service, or a probationary appointment at a higher rank, is within the discretion of the dean or designee and is not subject to dispute procedures.
      2. A decision not to renew any other instructional faculty appointment shall be for failure to meet written standards of competence and performance established by the unit, violation of any applicable University policy, changed economic circumstances, or program or curricular needs. A decision not to renew such an appointment is subject to dispute procedures only as defined herein.
    3. Notice. Notice of non-renewal of appointment, or of intention to recommend non-renewal after a stated period has elapsed, where required, shall be given in writing or by email in accordance with the following standards.
      1. For Lecturer appointments beginning in the first six years of service, no notice is required. For Lecturer appointments beginning after the completion of six years of service, or for probationary appointments at higher ranks, notice shall be given at least three months in advance of termination.
      2. For all other appointments, notice shall be given at least six months in advance of termination.
  8. Instructional faculty disputes.
    1. Scope and applicable review. These procedures provide the exclusive process within the University for review of administrative action or non-action concerning instructional faculty. These procedures do not substitute for or override University processes and procedures reserved for alternative forums or procedures, such as (but not limited to) those pertaining to investigation of research misconduct or sexual harassment.
      1. Instructional faculty members at the rank of Lecturer or on probationary appointments at a higher rank may challenge administrative action or non-action concerning their employment through the Administrative Review Procedures in paragraph h(2) below.
      2. Associate Professors of Practice/Instruction and Professors of Practice/Instruction who are not on probationary appointments may challenge administrative action or non-action concerning their employment through the Peer Review Procedures below. The Peer Review Procedures are not available to instructional faculty at any other rank.
      3. In a Title IX case, the applicable review procedures shall be modified with the Title IX Procedures also set forth separately below.
    2. Administrative Review Procedures. These procedures apply to instructional faculty members at the rank of Lecturer or on probationary appointments at a higher rank.
      1. Initiation of review. An instructional faculty member initiates a review by completing the Instructional Faculty Administrative Review (IFAR) Form regarding the administrative action or non-action being challenged. To preserve any due process rights, the instructional faculty member shall submit the IFAR Form in hard copy or by email to the appropriate party (see below) no later than 10 University business days after the faculty member’s discovery of the action or non-action giving rise to the challenge.
        1. An instructional faculty member challenging any of the following actions or non-actions shall submit the form to the head administrator (ordinarily the dean) or designee, and the review shall proceed according to the procedures set forth in paragraph h(2)(b)(ii)-(iv) below (the local review step described in paragraph h(2)(b)(i) below is not applicable here):
          1. a decision to terminate the instructional faculty member during the term of appointment;
          2. a decision not to promote the instructional faculty member to a higher rank after a promotion review has been completed;
          3. a decision not to renew the instructional faculty member’s appointment, if the appointment began after completion of six years of service; and/or
          4. a decision not to review the instructional faculty member for promotion, if the decision not to review occurred during or after the sixth year of service and the instructional faculty member timely requested review according to applicable collegiate and University policies.
        2. An instructional faculty member challenging any administrative action or non-action other than those specified in paragraph h(a)(i) above shall submit the IFAR Form to the DEO, associate dean, or other immediate supervisor, and the review shall proceed according to procedures set forth in paragraph h(2)(b)(i)-(iv) below.
      2. Review process.
        1. Local review. The administrator receiving the IFAR Form will conduct a review and engage in discussions as appropriate. This departmental level review may include input from parties with relevant information to resolve the challenge. The participants will agree on a time frame for a response, ordinarily 15 University business days from receipt of the IFAR Form. On completion of the review, the administrator or designee shall complete the IFAR Form with the response and rationale and shall send the IFAR Form to the instructional faculty member, with copies to other appropriate administrators.
        2. College or division review. The instructional faculty member may seek review at the college or division level by submitting the IFAR Form to the head administrator (ordinarily the dean) or designee within 10 University business days of receipt of the departmental response, or within 10 University business days after notice of the event giving rise to the challenge, as appropriate under this policy. Review and discussions at the college/division level may include input from parties with relevant information to resolve the challenge. The participants will agree on a time frame for a response, ordinarily 15 University business days from receipt of the IFAR Form. The collegiate/division administrator or designee shall complete the IFAR Form with the response and rationale and shall send the IFAR Form to the instructional faculty member, with copies to other appropriate administrators.
        3. Provost review. The instructional faculty member may appeal the collegiate/division level response by sending the completed IFAR Form with a written request for review to the Associate Provost for Faculty within 10 University business days after receiving the collegiate/division determination. The Associate Provost for Faculty will review the information provided, consult as appropriate, and issue a written determination within 15 University business days of receiving the request for review.
        4. Final action. The determination of the Associate Provost for Faculty shall constitute final University action, and the instructional faculty member may seek appeal from the Board of Regents, State of Iowa, pursuant to the policies of the Board.
    3. Peer Review Procedures. These procedures apply to non-probationary instructional faculty members at the rank of Associate Professor of Practice/Instruction or Professor of Practice/Instruction.
      1. Initiation of challenge. An instructional faculty member who wishes to challenge the legitimacy of some administrative action or non- action is encouraged to settle the matter through informal discussions with the DEO, dean, or other persons connected with the matter. If the matter is not settled informally to the instructional faculty member's satisfaction, the instructional faculty member may challenge the administrative action or non-action by stating the basis for challenge in writing or by email to the Associate Provost for Faculty no later than 10 University business days following the faculty member’s discovery of the action or non-action giving rise to the challenge. As soon as is practicable, the Provost or designee shall notify the dean of the respective college of the challenge.
      2. Faculty committee. Within 10 University business days of the date of the notice the Provost or designee shall form a faculty committee to review the challenge. The committee shall be comprised of three faculty members, one of whom shall be an instructional faculty member at the same or higher rank as the grievant. If feasible, the three faculty members on the committee shall be from the same college as, but from different departments than, the grievant. The faculty committee shall meet with the grievant within 10 University business days of the committee’s formation. In that meeting, the instructional faculty member shall explain the basis for the challenge and may submit supplemental materials related directly to it. The faculty committee also may obtain relevant information from the dean of the respective college or other appropriate sources.
      3. Committee consideration and recommendation. The faculty committee shall consider the challenge and related submissions and shall submit a concise written report with a recommendation to the Provost or designee within 15 University business days after meeting with the grievant.
      4. Decision and final action. The Provost shall issue a decision within 15 University business days after receiving the committee’s report. The decision of the Provost shall constitute final University action in the matter, and the instructional faculty member may seek appeal to the Board of Regents, State of Iowa, pursuant to the policies of the Board.
    4. Title IX modification of the procedures. In a case subject to Title IX, the applicable review procedures shall be modified as follows:
      1. Within 3 University business days receipt of the notice of challenge, the Provost or designee shall provide the alleged victim a copy of the notice of challenge and an opportunity to respond in writing within 10 University business days of the alleged victim’s receipt of the notice of challenge.
      2. Any administrator making a determination shall have completed appropriate Title IX training prior to meeting with the grievant or alleged victim.
      3. The administrator shall provide the alleged victim the same opportunity as the grievant to meet, to submit materials regarding the appeal, and otherwise to participate in the appeal.
      4. Upon final University action, the alleged victim as well as the grievant may seek an appeal to the Board of Regents, State of Iowa, pursuant to the Board’s policies.
  9. Collegiate policies and guidelines.
    1. Every college that offers salaried, non-tenure-track instructional faculty appointments shall develop its own written policy statement with respect to such appointments consistent with all the terms of this policy. Each policy shall address all of the following items:
      1. Justification for hiring instructional faculty. Each college shall provide a statement describing the justification for hiring instructional faculty, rather than tenure-track or tenured faculty, to fulfill the college’s teaching mission.
      2.  Participation of instructional faculty in faculty governance. Colleges are encouraged to integrate instructional faculty into relevant matters of collegiate and departmental governance, as appropriate. Specifically, colleges and departments are encouraged to allow instructional faculty to participate in the review of other instructional faculty. In addition, collegiate or departmental policy shall not permit instructional-track faculty to vote on the reappointment, tenure, or promotion of any tenured or tenure-track faculty member, but colleges and departments have discretion to decide whether instructional faculty may participate in the review of other faculty tracks.
      3. Evaluation of instructional faculty. Every instructional faculty member shall be evaluated annually, but not every annual evaluation must be equally extensive. Colleges shall define appropriate evaluations, including intervals for extensive and less extensive evaluations. Colleges shall specify the criteria used to evaluate instructional faculty, and those criteria shall be consistent with the instructional faculty member’s workload allocation. See paragraph i(1)(g) below.
      4. Procedures for appointment, reappointment, and promotion of instructional faculty.
      5. Criteria for appointment, reappointment, and promotion for instructional faculty, including which degree(s) or educational qualifications are required under III-10.11d above.
      6. Service and/or professional productivity. The collegiate policy shall define what type of service and/or professional productivity, if any, is expected of instructional faculty, and this definition shall be applied to the evaluation criteria for appointment, reappointment, and promotion purposes. Research, scholarship, or artistic creation shall not be a requirement for appointment, reappointment, or promotion, but, if present, may be considered as evidence of professional productivity.
      7. Workload. Colleges shall specify the standard expectation for calculation of teaching and service load for its instructional faculty, including for part-time instructional faculty. Additionally, the colleges’ individual employment contracts shall specify expectations for workload allocation (e.g., the percentage of time the faculty member shall devote to teaching, service, administration, or other functions) for each instructional faculty member.
      8. Eligibility to apply for tenure-track positions. Instructional faculty members may apply for open positions on the tenure-track, but they may be appointed to the tenure-track only one time during their career at The University of Iowa. Similarly, tenure-track faculty may apply for open instructional faculty positions, but an instructional faculty appointment shall not be used as an automatic default appointment for accomplished teachers who made an unsuccessful tenure bid. Colleges may further define their own policies related to switching of tracks.
    2. Each college adopting an instructional faculty policy shall monitor the percentage of its total salaried faculty (computed in FTEs) that hold salaried instructional faculty appointments. The Office of the Provost shall provide an annual report on the composition of the University faculty, including total numbers and percentages represented by each track, to the President of the Faculty Senate.
    3. Each collegiate instructional faculty policy, and any subsequent proposals to change the policy, shall obtain the approval of a majority of the voting faculty within the college by a referendum supervised by the Associate Provost for Faculty. Any proposal to adopt or to change a college’s instructional faculty policy shall also be approved by the Provost or designee.
  10. Integration of instructional faculty into University mission. Consistent with the role of instructional faculty and with institutional needs, instructional faculty shall be full participants in the educational mission and intellectual life of the University. The University, as well as individual colleges and departments, shall strive to integrate instructional faculty into faculty governance, to stimulate innovation and collaboration in their teaching and other endeavors, to promote diversity and inclusion among their ranks, and to protect their academic freedom.
  11. Representation in Faculty Senate. Instructional faculty are eligible to vote in Faculty Senate elections and to hold Senate positions; however, no more than 10 percent of the senators from any college, or one senator, whichever is greater, may be instructional-track faculty from that college. Instructional faculty may be appointed to any committees of the Senate or to University committees as a faculty representative.
  12. Review of this policy. This policy shall be reviewed not later than five years following its implementation by a committee of the Faculty Senate appointed by the President of the Faculty Senate after consultation with the Provost or designee. The committee shall include representation by instructional faculty. This review shall include, but not be limited to, an evaluation of the:
    1. effect of this policy on the number of tenure-track, tenured, clinical, and adjunct faculty relative to instructional faculty at the University and in individual colleges;
    2. effect of this policy on the composition of Faculty Senate, Faculty Senate committees, and University committees; and
    3. instructional faculty dispute procedures in III-10.11h.

10.12 Fixed-Term Faculty Appointments

(President and Faculty Senate 4/13)

While the primary teaching responsibilities at The University of Iowa are fulfilled by tenure-track and tenured faculty, there are occasions when it is appropriate and necessary, in a limited context, to hire fixed-term faculty to teach courses and, in some cases, to participate in research and service. Fixed-term faculty appointments are made for a specific term length designated at the time of hire and subject to nonrenewal at the end of that term. Reappointment is possible for many fixed-term positions, subject to positive performance evaluations and educational need. Fixed-term faculty appointments include: 1) adjunct, 2) renewable term, and 3) visiting faculty. The percentage of time, length of appointment, assigned duties, and benefits eligibility vary (see III-9.6 Affirmative Action Employment Guidelines for hiring requirements and University Benefits for benefits eligibility guidelines). The requirements for the recruitment, hiring, and promotion of fixed-term faculty are detailed on the Office of the Provost's website under Fixed-Term Appointments (https://provost.uiowa.edu/fixed-term-appointments).

10.13 Exceptions to Employment Regulations

Contracts of employment made by the University with the members of its instructional staff are subject to the following exceptions and general regulations:

  1. The employment of members of the Departments of Aerospace Military Studies and Military Science, and coaches of the University athletic teams in the Departments of Intercollegiate Athletics, whose tenures are fixed by the United States Air Force or Army, or by the Presidential Committee on Athletics respectively, are not governed by these regulations.
  2. Deans, directors, chairpersons, or heads of departments have such academic rank as may be given them. The duties and titles of administrative officers are separate from their academic ranks. The dismissal or resignation of officers from an administrative position does not impair their rights in their academic rank.