Promotion of Tenure Track Faculty: Policy and Procedure

Dean's Office or Dean's Designee

1. Notifies Candidate's Area Chair, in the Spring Semester, that the candidate is due to be considered for tenure and/or promotion during the next academic year.  The candidate's Area Chair notifies the candidate.
2. Determines which candidates who are up for promotion have joint or secondary appointments with another university collegiate unit or non-departmental unit (e.g. DVA) and notifies candidate, the Associate Dean for Academic Affairs, the Associate Dean for Faculty, Dean and Chair of Faculty Council of the need to determine review procedures for the candidate consistent with University Policy (see Appendix E Review Procedures for Faculty with Joint Appointments, UI Operations Manual or see Policy on Faculty Appointments to Non-Departmental Units).
3. Assists the candidate with technical aspects of uploading/submitting materials to the dossier including setting up folders, etc.
4. Sends candidate materials to External Reviewers
5. Uploads:
   • Cover Sheet for promotion by the second Tuesday in September.
   • Candidate's Administrative Reviews since last (re)appointment by the second Tuesday in September.  In the absence of an administrative review since last appointment and/or promotion, a copy of Dean's Recommendation to Provost from last reappointment and/or promotion is added to the dossier.  These materials are watermarked "confidential".
   • Internal Review Summary of the candidate's file as a pdf document(s) with secured signatures (at least 2 weeks prior to the Peer Group meeting). 
   • Candidate's appointment letter (if the candidate has a joint or secondary appointment with another collegiate unit or non-departmental unit).
6. Provides and closes access to the candidate's file according to a present timeline and composition of the Peer Review Group; exceptions may be granted under direction from the Chair, Faculty Council.
   • Open file for candidate by the end of May
   • Close file to candidate at the close of business (COB) on the second Tuesday of September.
   • Open file for Internal Reviewer in the first week of September.
   • Open file to Peer Group in the first week of September.
   • Close and archive file in the first week after the Peer Group meeting.
7. Communicates important deadlines, including reminders, to the candidate and the candidate's Area Chair, Internal Reviewers, External Reviewers and Peer Group members.
   • Verifies completeness of file 2 days prior to September deadline.
   • Sends reminder to candidate and candidate's Area Chair 2 days prior to September deadline if dossier is incomplete.
   • Sends reminders to Internal Reviewers when Summaries of candidates' files are due to the Dean's office for uploading.
   • Sends reminders to Peer Group Members to review files 2 weeks prior to the Peer Group Meeting using table below.
   • Sends agenda for Peer Group meeting to Peer Group members one week prior to Peer Group meeting.
8. Provides materials necessary to conduct the Peer Review Group meeting to the Chair of the Peer Group.
   • Ballots for each candidate.
   • Faculty verification and sign-in sheets for each candidate.
   • Reserves meeting room.
   • Makes technology arrangements to accommodate "remote" participation, if applicable.
9. Stores ballots and results of Peer Group Voting and other documents for 1 year following Peer Group meeting.

Chair, Faculty Council

1. Serves as interpreter of the Promotion Policy and Procedure for all parties.
2. Resolves issues related to processes in consultation with Candidate, Chair of Peer Group, Dean, Associate and Assistant Deans, and/or Associate Provost as appropriate.
3. Serves as liaison to Dean's Office.
4. Serves as liaison to Other Collegiate Unit or Non-Departmental Unit to facilitate the review of candidates with joint or secondary appointments.

Candiate's Area Chair

1. Advises faculty to archive pertinent documents in folders labeled Scholarship, Teaching, Practice and Service (based upon faculty workload assignment).  Reinforces to the candidate the importance of maintaining archival files during Administrative Reviews.
2. Advises the candidate with respect to content of personal statements, CV, selection of documents demonstrative clinical scholarship, etc., and appropriate names to submit to Dean as potential external reviewers.
3. Appoints two faculty members from the appropriate Peer Group to collaboratively review each candidate's materials as internal reviewers.
4. Informs the candidate of the Peer Group's recommendations on the same day after the Peer Group meeting is adjourned.
5. Consult, as needed, with the candidate, Chair of Faculty Council, Dean's Office and others to facilitate the review of candidates with joint or secondary appointments.

Candidate

1. If electing to go up for promotion before customary periods described above (6th year for tenure track assistant), the candidate shall make this decision known to the Dean in writing, as well as their Area Chair, no later than the end of the academic year prior to the academic year in which the candidate is considered for promotion.
2. Submits/uploads the following materials (with assistance from the Dean's Office designee) to the designated website by the first Tuesday in September.  These materials represent the candidate's dossier.  The candidate will have access to the designated site in May prior to the following September deadline.  The candidate's access to the file is closed at 5pm on day of the deadline.  It is the candidate's responsibility to assemble and ensure these materials are forwarded to the Dean's Office in time to be uploaded.
3. If the candidate holds a joint or secondary appointment with another collegiate unit or non-departmental unit, the candidate together with the Dean, Area Chair, and Chair of Faculty Council ensure that appropriate University procedures are followed (see Appendix E-Review Procedures for Faculty with Joint Appointments, UI Operations Manual) or see Policy of Faculty Appointments to Non-departmental Units.
   • Curriculum Vitae
     • List of education institutions attended, dates, field of study, and degrees awarded.
     • List of professional and academic positions.
     • List of courses taught (enrollment, mode of delivery, level of student, when taught).
     • List of honors, awards, recognitions, and outstanding achievements.
     • List of publications - identify databased articles and theoretical/methods publications.
     • List of scholarship activities and funded grants.
     • List of professional presentations.
     • List of graduate students advised, committees, chaired committees.
     • List of participation in and offices held in professional organizations, review panels, collegiate committees, University committees, community involvement.
     • List of pending decisions (grants, manuscripts, awards, abstracts).
4. Scholarship
   • Personal statement (up to 3 pages, include unfunded grant applications, address contributions to multi-authored works) and other appropriate examples of clinical scholarship.  Personal statement on clinical scholarship consists of a summary and explanation of the candidate's accomplishments and future plans concerning scholarship.
   • Publications: 3 to 5
   • Abstracts from funded and pending grants since last promotion
5. Teaching
   • Personal statement (up to 3 pages, include special contributions to instructional programs).  Personal statement on teaching consists of a summary and explanation of the candidate's accomplishments and future plans concerning teaching.
   • No syllabi, lectures, or instructional materials (only if requested by reviewers).
   • Student evaluation summary stats since last administrative review.
   • Peer evaluation of teaching since appointment or last promotion.
6. Service
   • Personal statement (up to 3 pages).  Personal statement on service consists of a summary and explanation of the candidate's accomplishments and future plans concerning service.
7. Additional materials may be added after the specified date under extenuating circumstances when requested by the candidate or the Internal Reviewers of the dossier (see procedure for candidate below and procedure for internal review under Internal Reviewer).
8. Submit names of 5 to 6 persons who can potentially serve as External Reviewers (see External Reviewer below).  Include name, title, and contact information.
9. Procedure for Candidate to request an extension of the September deadline for uploading files due to extenuating circumstances:
   • Candidate petitions Area Chair, with written notification to the Chair of Faculty Council and Dean, to upload/revise content in the Candidate's dossier.
   • Together, Area Chair, Chair of Faculty Council and Dean, deliberate on request and arrive at consensus with respect to request.
   • Area Chair notifies Candidate of decision, with written notification to Chair of Faculty Council, Dean and the Dean's Office.
   • Candidate submits materials to Dean's Office for uploading.
10. Procedure for Candidate to respond to recommendation of Peer Group and/or Dean.
    • The candidate has five (5) working days after meeting with Dean (see below) to notify the Dean that he or she is responding to the Dean's recommendation and/or the Peer Group's Summary recommendation.
    • After notification of the Dean, the candidate has five (5) additional working days to submit a letter of response and submit additional information for inclusion in the record.  This response from the candidate is submitted to the Provost's Office with the Dean's Recommendation Letter in the spring.

Internal Reviewers

1. Write a Summary of the candidate's work based on submitted/uploaded dossier and previous administrative reviews.  This is a summative report of the candidate's work.  Tenure Track candidates up for promotion will typically be 40% scholarship, 40% teaching (note teaching buyout), 20%service.
2. Procedure for Requesting Additional Materials from the Candidate
   • If the Internal Reviewer finds the candidate's file incomplete (e.g. missing student evaluation summaries or peer evaluations of teaching), he/she may request this information be added to the file by contacting the Chair of Faculty Council.
   • Chair of Faculty Council will make the request to the candidate with a cc to the Area Chair.  Materials added in this manner will be uploaded in a folder labeled "Late Additions."
3. Share the Summary with candidate at least 3 weeks prior to the Peer Group meeting.
4. Modify the Summary based on feedback and/or clarification from candidate at least 2 weeks prior to the Peer Group meeting.
5. Sign the Summary and obtain candidate's signature signifying satisfaction with its accuracy at least 2 weeks prior to the Peer Group meeting.  For example, "I agree that this summary accurately characterizes my dossier."  If the candidate and internal reviewer cannot agree to the accuracy of the document, add a statement to this effect and have both parties sign the statement.  For example, "I do not agree with the characterization of my dossier regarding the following items . . . . . . "
6. Forward the signed Summary to the Dean's Office to be uploaded to candidate's file at least 2 weeks prior to the Peer Group meeting.
7. Compare the signed Summary with the criteria for promotion of the candidate.  Based on these comparisons, draft Evaluative Statements with regard to how the candidate is meeting or not meeting above rank criteria for each componet of their appointment (e.g., scholarship, teaching, and service).
8. During the Peer Group meeting of the candidate, present a brief synopsis of the Summary and share Evaluative Statements.
9. After the Peer Group meeting, modify Evaluative Statements to include perspectives of candidate's performance by other members of the Peer Group.  To the Evaluative Statements document, add the recommendations of the Peer Group including results of the vote (number yes, number no, number abstain) and number of years to be appointed.
10. Forward the signed Summary (have Dean's office download version from the candidate's electronic file) and completed evaluative statements to the Chair of the Peer Group within 3 calendar days of the Peer Group meeting.

External Reviewers

1. External Reviewers are invited from institutions outside the University of Iowa to participate in the review of a candidate's scholarship/research.  External reviewers are above the rank of the candidate they are reviewing and each external reviewer should be from a different instiution than other external reviewers.  Non-academic External Reviewers will be considered by the Dean on a case-by-case basis in the context of complelling rationale presented by the candidate.

Chair of Peer Group (must be Tenured Full Professor)

1. Develops the agenda for Peer Group meeting, including order of candidate review and time allocated for each review.
2. Convenes Peer Group.
3. Assures appropriate Peer Group is assembled for each candidate and establishes a quorum (50%) of the eligible membership is present.
4. Documents that each member has reviewed the file or will abstain.
5. Educates Peer Group as to responsibilities including ethics reminder related to confidentiality of the Peer Group discussion.
6. Appoints ballot accounting to members of Peer Group.
7. Facilitates Peer Group discussion.
8. Compiles and evaluates accuracy of the Summary and Evaluative Statements and forwards to the Dean within 5 calendar days of the Peer Group meeting.

Peer Group as identified by Provost's Office

*Tenure Track Assistant and Associate Deans participate in promotion decisions at the level of the Dean’s office and do not participate on faculty peer groups.

1. Meet in January on the Wednesday before classes begin--time to be announced.  It is expected that Peer Group members be physically present at the meeting in order to vote on the promotion at hand.  Exceptions can be made in some circumstances such as unavoidable travel.  All requests to attend the meeting via electronic means must be made in writing to the Chair of Faculty Council, 1 - 2 weeks in advance of the meeting.  The faculty member must then make necessary arrangements to connect to the discussion using electronic technologies.  In addition, the candidate must complete a ballot prior to the meeting and leave with Chair of Faculty Council.  After the discussion, the distant faculty will be asked if they wish to change their vote or not.
2. Individually, each Peer Group member reviews each candidate's file and compares it to the appropriate criteria for that candidate using the above rank criteria, before the Peer Group meeting.  The candidate's file is open to members of the Peer Group the first week in September.
3. Peer Group members who have a "conflict of interest," as defined by the University of Iowa (see 8.2 and 8.4 of the UI Operations manual and I.H from the appendix of the UI Policy and Tenure Procedures), with respect to the candidates promotion or denial of promotion should disqualify themselves from participating in the process for that candidate.  Anyone with a perceived conflict should discuss with the Chair of Faculty Council or Chair of the Peer Group to determine if, indeed, a conflict exists prior to the Peer Group meeting.
4. The Peer Group reviewing a candidate for promotion shall be comprimised of a quorum (50%) of the eligible membership of that group.
5. Discusses the candidate's performance in relation to each criteria outlined in the promotion criteria (see Criteria for Promotion of Tenure Track Faculty) for each component of the candidate's appointment.  Teaching should be evaluated first.
6. Vote on promotion of candidate.  Ballot counters tally and report on vote.  Promotion recommendations require that 2/3 affirmative vote by the members of the Peer Group present at the meeting (including distance participants).
7. The actual vote (numbers) is recorded by Internal Reviewers in the Evaluative Statements document.
8. The Peer Group makes a recommendation for the number of years for the candidate's appointment (3-7 years).
9. The Candidate's Area Chair notifies the candidate of th Peer Group recommendation (see above).

Dean's Group (Tenure Track Assistant and Associate Deans)

1. Provides input to the Dean at the Dean's request and in a manner determined by the Dean.

Dean

1. Selects and invites at least three persons as External Reviewers to review candidate's scholarship.  External Reviewers are selected from the pool of potential reviewers submitted by the candidate or others that the Dean deems appropriate.
2. Reviews the Candidate's dossier, internal review summary, external review letters, evaluative statements from the Peer Group meeting, and the Peer Group vote.
3. Seeks input on the candidate's performance from Tenure Track Assistant and Associate Deans in a manner to be determined by the Dean.
4. Makes a final decision regarding his/her promotion decision based on the same criteria employed in the Peer Group Review.  At his/her discretion, the Dean may seek out additional data as deemed necessary in order to form a comprehensive statement on the candidate's contributions to the College mission.
5. Writes a letter to the candidate, summarizing the candidate's performance and outlining the Dean's recommendations.
6. Meets with the candidate within 2 weeks of the Peer Group meeting and shares with the candidate the Dean's recommendation letter as well as a verbal summary of the Peer Group vote.
7. Forwards Dean Recommendation letter, including the Peer Group vote, the candidate's CV, and the candidate's response letter, if appropriate, to the Provost's Office in February.