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Office of the Provost and Executive Vice President for Academic Affairs

ARTICLE THREE: EVALUATION PROCEDURES

Section 3.0 Evaluation File

An evaluation file shall be maintained for each tenured, probationary, term, and full-time temporary Faculty

Member. The file shall be located in the departmental office. The following materials shall be included in

evaluation files:

Subdivision 3.01 Resumes

Current resumes and other materials relevant to the evaluation process as provided by each Faculty

Member. Bulky materials may be located physically outside the file proper, provided a record of the

material is included within the file.

Subdivision 3.02 Student Assessments

Reports of student assessments conducted by the Department Head, except for those conducted under

Subdivision 3.26, Informational Assessments.

Subdivision 3.03 Professional Assessment Committee Assessments

Reports of assessments conducted by the departmental Professional Assessment Committee.

Subdivision 3.04 Evaluation Reports

Reports of evaluations conducted by the Department Head, College Dean, and Executive Vice President and

Provost.

Subdivision 3.05 Other Materials

Materials submitted by the Department Head, College Dean, Graduate Dean, or Executive Vice President

and Provost. A copy of the Faculty Member’s appointment letter, and any relevant addenda to it, shall be

placed in the evaluation file by the Department Head. When materials are added to a Faculty Member’s

evaluation file by the Faculty Member, the Department Head shall receive notice in writing within fifteen

(15) days. When materials are added to a Faculty Member’s evaluation file by the Department Head, the

Faculty Member shall receive notice in writing within fifteen (15) days.

Subdivision 3.06 File Material Removal

A Faculty Member may request in writing removal of any item in the file. The written request shall also

contain a rationale for the requested removal. If the Dean and the Executive Vice President and Provost

agree, the item shall be removed from the evaluation file. If the Dean and the Executive Vice President and

Provost deny the request for removal, they will notify the Faculty Member in writing within thirty (30) days

from the date of the written request including reason for the denial. For purposes of this section, days shall

mean class days during the regular academic year.

Subdivision 3.07 Response to File Material

Responses to materials in the evaluation file as provided by the Faculty Member. Such responses shall be

attached to related materials and become part of said file.

Section 3.1 Access to File

Access to and copying of materials in evaluation files shall be provided in the following manner:

Subdivision 3.11 Faculty Member Review

Each Faculty Member shall have the right to review the contents of her/his evaluation file during regular

working hours, or at such other time as mutually agreed upon with the Department Head.

Subdivision 3.12 Professional Assessment Committee Review

When a Faculty Member is assessed by a departmental Professional Assessment Committee (PAC),

members of the committee or subcommittee shall have the right to review the contents of the Faculty

Member’s evaluation file. Reviews shall occur during regular working hours or at such other time as

mutually agreed upon with the Department Head.

Subdivision 3.13 Review Procedure

All reviews of evaluation files shall take place in the presence of the Department Head or her/his designee,

with the exception that the PAC chairperson is permitted to take the file to a regularly scheduled PAC

meeting.

Subdivision 3.14 File Copies

A Faculty Member shall have the right to a copy, at her/his expense, of any material contained in her/his

evaluation file, at the rate of five cents ($.05) per page.

Section 3.2 Student Assessments (See Appendix F for Additional Terms and Procedures)

Upon request of either United Faculty or the Board, the Executive Vice President and Provost shall convene

a committee consisting of three members appointed by the United Faculty, three members appointed by the

Executive Vice President and Provost, and three students appointed by the Student Government. The

committee shall review and recommend revisions in the current assessment form and/or assessment

procedures to the Executive Vice President and Provost for approval. In the event the Executive Vice

President and Provost does not concur with the recommendation the matter shall be returned to the

committee for further review and deliberation. Student assessments shall be administered in accordance

with procedures as follows:

Subdivision 3.21 Assessment Procedure

Student assessments shall be administered by the Department Head or her/his staff designee. Individual

Faculty Members may assist and cooperate in the administration of the student assessment but a Faculty

Member shall not be required to do so involuntarily. The Faculty Member will leave the classroom when

the instrument is administered to her/his class.

Subdivision 3.22 Probationary, Term, and Temporary Faculty

Student assessments shall be administered for each probationary, term, and full-time temporary Faculty

Member during the fall or spring semester of each year, not counting years on leave or non-teaching

assignments.

Subdivision 3.23 Tenured Faculty

Tenured Faculty Members shall be assessed by students during the fall or spring semester each second

(2nd) year, not counting years on leave or non-teaching assignments.

Subdivision 3.24 Scheduled Assessments

When a student assessment is conducted to fulfill the requirements under Subdivisions 3.22 and 3.23, it

shall be administered in all sections of all classes.

Subdivision 3.25 Additional Assessments

Additional student assessments may be conducted as determined to be appropriate by the Department Head,

as required by procedure, or as requested by the Faculty Member.

Subdivision 3.26 Informational Assessments

Faculty Members may conduct additional assessments of their classes for informative purposes. The

administration of such assessments shall be arranged by the Faculty Member. The University shall process

such assessments but no record of the results shall be kept in the evaluation file or any other file maintained

by the University. Only when the Department Head and the Faculty Member agree, prior to the conducting

of a student assessment, that such assessment is for informational purposes, will the assessment be

processed according to the provisions of this Subdivision.

Subdivision 3.27 Assessment Report

A report of the results of student assessments of a Faculty Member shall be transmitted to the Faculty

Member no later than fifteen (15) class days after the last class day of the semester just ended and, except for

those covered under Subdivision 3.26, entered in the Faculty Member’s evaluation file. The report shall

consist of a statistical summary of all response items as well as a reproduction or verbatim transcription of

all written comments. The individual student assessment response sheets, paper or electronic, shall be

considered as part of the evaluation file.

Subdivision 3.28 Oral Communication

The oral communication competence of each member of the faculty shall be evaluated each academic

period as prescribed by Iowa law. The University shall implement this policy. Upon request of either

United Faculty or the University a committee process as provided in Section 3.2 hereof shall be convened to

review such policy.

Section 3.3 Professional Assessment Committee (PAC)

Each academic department shall have a Professional Assessment Committee (PAC) consisting of the

tenured members of the departmental faculty. Any PAC member who is a candidate for promotion shall be

excluded from committee deliberation on his or her candidacy. The Department Head shall not be a

member of the Professional Assessment Committee. However, after the Professional Assessment

Committee has made its report, either the Department Head or the Professional Assessment Committee shall

have the right to call a meeting of the Department Head and the Professional Assessment Committee to

discuss the report.

Subdivision 3.31 Assessment Procedures

The committee shall develop written assessment procedures which are not inconsistent with the provisions

of this Article and which are subject to the approval of the Department Head and the Dean of the College.

These procedures may be amended by the Professional Assessment Committee with the approval of the

Department Head and the Dean. The procedures may include delegation of responsibility for conducting

assessments to a subcommittee, and shall provide for addition of members from outside the department

whenever the membership falls below three (3) or whenever the Professional Assessment Committee

decides to do so.

Subdivision 3.32 Assessment

At the request of the Department Head or as required by official University policy, the committee shall

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provide assessment of the teaching, research/ scholarly work/creative work, and professional service of a

FacultyMember.

Subdivision 3.33 Committee Report

A written report of the collective judgments of the committee, together with any concurring or minority

reports, shall be transmitted to the Faculty Member, the Department Head, and the Dean, and shall be

entered in the evaluation file no later than January 15.

Section 3.4 Evaluation by DepartmentHeads

Evaluation of FacultyMembers shall be conducted by Department Heads as follows:

Subdivision 3.41 Evaluation of Probationary Faculty

Each academic Department Head shall annually provide a written evaluation of the teaching, research/

scholarly work/creative work, and professional service of all Faculty Members on probationary status prior

to making recommendations to continue probation, to grant tenure, or to terminate.

Paragraph 3.411

The written evaluation shall be transmitted concurrently to the Dean and the Faculty Member no

later than three (3) weeks after the start of the spring semester, and shall be placed in the

evaluation file together with any additional evidence used by the Department Head and not already

in the file.

Paragraph 3.412

The evidence used in this evaluation shall include, but not be limited to, a report of the

Professional Assessment Committee, the results of student assessment and all other materials in the

evaluation file.

Paragraph 3.413

In any case where the recommendation is to “continue probation with difficulties,” the Faculty

Member shall be provided written suggestions for improvement.

Subdivision 3.42 Evaluation of Candidates for Promotion

Each Department Head shall provide a written evaluation of the teaching, research/ scholarly work/ creative

work, and professional service of each FacultyMember who is in that year a candidate for promotion.

Paragraph 3.421

A candidate for promotion is a Faculty Member who has requested consideration for promotion or

who has been proposed for consideration by the Department Head or the departmental Professional

Assessment Committee.

Paragraph 3.422

The written evaluation shall be transmitted concurrently to the Dean and the Faculty Member no

later than three (3) weeks after the start of the spring semester and shall be placed in the evaluation

file together with any additional evidence utilized by the Department Head and not already in the

file.

Paragraph 3.423

The evidence used in this evaluation shall include, but not be limited to, a report of the

Professional Assessment Committee, the results of student assessments, and all other materials in

the evaluation file.

Subdivision 3.43 Evaluation forMerit Increases

Each academic Department Head shall annually evaluate the teaching, research/ scholarly work/creative

work, and professional service of each tenured, probationary, and term Faculty Member for the purpose of

merit salary increases.

Paragraph 3.431

A written report of the results of the evaluation shall be transmitted concurrently to the Dean and

the FacultyMember and shall be placed in the evaluation file.

Paragraph 3.432

The evidence used in this evaluation shall include, but not be limited to, material already contained

in the evaluation file. Additional evidence used shall be identified and placed in the evaluation

file.

Paragraph 3.433

Merit increases will be awarded on the basis of each faculty member’s performance in the areas of

teaching, research/ scholarly work/creative work, and service weighted according to the faculty

member’s work load. Faculty who are given a nonstandard 12 hour teaching load will be entitled to

merit on the basis of teaching and service.

Paragraph 3.434

On or before September 15 each year, Department Heads will distribute evaluation standards to all

members of the bargaining unit with an explanation of how faculty will be evaluated for merit

based on their workload with respect to research/ scholarly work/ creative work, teaching, and

service.

Paragraph 3.435

Annual evaluation letters to each faculty member will include a summary of that faculty member’s

assessment in the areas of teaching, research/ scholarly work/creative work, and service, along

with an explanation of how merit was awarded in relation to the Departmental evaluation standard.

Subdivision 3.44 Other Evaluations

Paragraph 3.441

Other evaluations of FacultyMembers may be conducted at the discretion of the Department Head.

Written reports of all such evaluations shall be transmitted concurrently to the FacultyMember and

Dean of the College and entered in the Faculty Member’s evaluation file together with any

additional evidence utilized by the Department Head and not already in the file except for Term

faculty, for whom PAC assessment is optional.

Subdivision 3.45 Application

When a Department Head's evaluation for one purpose may also serve another of the purposes under

Subdivisions 3.41, 3.42, 3.43, and 3.44, the evaluations and evaluation reports may be combined.

Section 3.5 Evaluation by Dean or Executive Vice President and Provost

Evaluations of the teaching, research/ scholarly work/ creative work, and professional service of Faculty

Members may be conducted by the Dean of the College or the Executive Vice President and Provost.

Subdivision 3.51 Evaluation Report

A written report of this evaluation shall be transmitted concurrently to the Faculty Member, Department

Head, and Dean of the College or Executive Vice President and Provost, and entered in the Faculty

Member’s evaluation file.

Subdivision 3.52 Evaluation Evidence

The evidence used in this evaluation shall include, but not be limited to, material already contained in the

evaluation file. Additional evidence used shall be identified and placed in the evaluation file.

Section 3.6 Principles, Standards and Procedures

Principles, Standards, and Procedures for faculty appointments, promotions and tenure shall be made

available to the Faculty Member in writing no later than September 15 of each year except that when no

changes have been made, provision of these materials to a Faculty Member in a previous year shall be

understood to comply with this Section.

Section 3.7 Administrative Evaluation Procedures

Administrative evaluation procedures shall not be inconsistent with the provisions of this Article. Such

procedures shall be available to FacultyMembers upon request to the Department Head.