3.1 THE RELATIONSHIP OF PROFESSIONAL AND SCIENTIFIC STAFF MEMBERS TO THE UNIVERSITY OF IOWA.
(Amended 9/93; 10/94; 12/94; 9/1/98; 7/1/99; 5/00; 3/02; 9/02; 5/04; 11/04; 8/05; 4/06; 7/06; 12/06; 7/08)

Note: Effective July 2008, the Furlough Networking Pilot Program has been approved as an ongoing University program. See paragraph k below.

a. Staff members covered. All non-organized professional and scientific staff members employed in that capacity for 50 percent or more of their time are covered by this policy. Each staff member is appointed to one of the following five categories and provided specific written notice of the category at the time of appointment: 1) career status, 2) probationary status, 3) at-will status, 4) term status, 5) temporary status. A list of all P&S classifications and of the probationary periods determined for each classification eligible for career status is available through the Human Resources web site and collegiate and division offices.

b. Career status.

(1) Probationary staff members can earn career status upon completion of continuous and satisfactory performance in a position during the probationary period established for that staff member in the position. If an employee receives a furlough notification letter and completes his or her probationary period prior to the end of the furlough notification period, he or she will be granted career status but will not be provided an additional notification period beyond what was stated in the original furlough notification letter.

(2) In an action of dismissal for cause relating to the staff member's lack of satisfactory performance or University-related conduct, career status will carry with it the right to place the burden of proof on the University in an appeal through the professional and scientific grievance procedure.

(3) Persons with appropriate experience may be appointed initially with career status if that status is requested in writing and recommended to the Associate Vice President/Director of Human Resources by each University official or designee recommending the appointment (e.g., DEO, dean, or vice president or provost).

(4) A staff member who has previously held career status in a University position and who is appointed to a new position with career status will be given a new career status date which coincides with the date of the new appointment. In some cases, the Associate Vice President/Director of Human Resources, based upon the written request of the appointing department and the other administrative officers who recommend the appointment (e.g., dean or vice president or provost), may approve retention of the original career status date.
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c. Probationary status.

(1) Probationary status is that time during which a staff member's performance is evaluated to determine whether the staff member is demonstrating the capacity for continued performance at a level necessary to meet the department or unit's standards set for the position.

(2) The probationary period for P&S classifications is 24 months, with the exception of Librarian I, which is 36 months. The length of the probationary period for a staff member shall be the period designated for the class except as provided in paragraph b(3) above and paragraphs d and h below. In addition, when requested by the appointing department, the Associate Vice President/Director of Human Resources can authorize the decrease in the probationary period on the basis of demonstrated and appropriate experience.

(3) If a staff member takes a leave of absence without pay during his or her probationary period, the time of the leave of absence does not count towards filling the probationary period requirement.

(4) During the probationary period, staff members will be provided with a written statement evaluating their performance at least annually. (See III-3.2 Performance Review for Professional and Scientific Staff.)

(5) A probationary period cannot be extended beyond the original ending date without the concurrence of the staff member and of those offices which acted on the original appointment. A request by a unit to extend the probationary period of an employee must be in writing and must be countersigned by the staff member. It should be submitted to the Associate Vice President/Director of Human Resources far enough in advance of the expiration of the original probationary period to permit 30 days for the Associate Vice President/Director of Human Resources to review the request.

(6) Probationary staff members may be terminated at any time during the probationary period. The staff member will be informed of the reason for termination. The only ground for appeal through the grievance procedure for the release of a probationary staff member or the failure to grant such person career status will be that the decision was made on grounds which are prohibited by constitution or statute, such as discrimination based on race or sex. In such an appeal, the burden of proof will be on the probationary staff member.

(7) If a staff member believes that his or her termination was improper for reasons other than those which entitled a staff member to file an appeal through the professional and scientific grievance procedures (see III-28.4), that staff member can appeal the termination through administrative channels to the next administrative level beyond which the decision to terminate was made and, if necessary, to the appropriate University-wide officer responsible for the general area in which the unit is located.
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d. Probation upon appointment to a new position.

(1) Professional and scientific staff members with career status, who change positions and assume duties in a position covered by this policy, will serve a one-year probationary period culminating in career status upon successful completion of the probationary period, and a new career status date, except as provided in paragraph b(3) above.

If the P&S staff member satisfactorily completes the probation period, the Associate Vice President/Director of Human Resources, based upon the written request of the appointing department, may approve retention of the original career status date.

Regents Merit System staff members with permanent status and at least four years of service will serve a one-year probationary period culminating in career status upon successful completion of the probationary period, except as provided in paragraph b(3).

(2) Career status staff members and persons with permanent status under the Regents Merit System referred to in paragraph d(1) above who do not achieve career status in the new position will be considered to have been furloughed from their prior position and have the priority status rights specified in paragraph i below. Such staff members who are terminated during the probationary period for reasons other than cause relating to the staff member's performance or University-related conduct will be covered by the notice provisions of paragraph h(1) below. Such staff members who are terminated due to failure to meet departmental performance standards are not covered by paragraph h(1) notice requirements.

(3) A staff member who is appointed to a new position while in probationary status ordinarily will start probationary status anew. With the concurrence of those who recommend the appointment (DEO, dean, or vice president or provost), an appointing department may request the Associate Vice President/Director of Human Resources to count prior probationary service toward completion of the probationary period in the new position. A minimum of one year of probationary service is required, except as provided in paragraph b(3).

(4) A staff member with career status whose position is reclassified will retain career status in the new classification with no change of career status date provided the classification carries career status. A staff member in probationary status whose position is reclassified shall receive credit for the time already served in probationary status toward completion of any remaining probationary period. A Regents Merit System staff member with permanent status and at least four years of service, whose position is reclassified to a position that carries career status, will serve one year in probationary status before becoming eligible for career status.

(5) A staff member with career status who is furloughed will not lose career status or his or her original career status date if reappointed to the same classification during the furlough period, unless the duties of the new position are substantially different, in which case the employee may be required to serve a one-year probationary period. If the employee successfully completes the probationary period, the original career status date will be retained. If the furloughed staff member is reappointed to a different classification in the same or a lower pay grade or in the same classification series, the staff member ordinarily will be reappointed with career status and retain the original career status date, unless the duties of the new position are substantially different, in which case the employee may be required to serve a probationary period of no more than one year before returning to career status and a new career status date. If the employee satisfactorily completes the probation period for the new position, the Associate Vice President/Director of Human Resources, based upon the written request of the appointing department, may approve retention of the original career status date.
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e. At-will status.

(1) At-will status applies to a staff member 1) whose administrative, policy-making, or other responsibilities make it inappropriate to confer career status in the position, or 2) who holds a temporary appointment as described in paragraph g below.

(2) Staff members in positions in classifications at pay grade 12 and above will be considered at-will for purposes of this policy and University employment unless the classification does not involve administrative, policy-making, or other such responsibilities.(1) Staff members in positions in classifications below pay grade 12 may be considered at-will if their responsibility for creating/implementing University policy or their administrative responsibilities are such that they significantly affect the efficiency of a department, program, and/or institution. To obtain approval to designate at-will status for a position in a classification less than pay grade 12, the dean or director of an administrative unit or designee must request at-will status in writing prior to beginning recruitment for the specific position in question. The request must be submitted to, and approved by, the Associate Vice President/Director of Human Resources. At the time of appointment and prior to the individual beginning employment, the hiring unit shall incorporate a paragraph into the offer letter informing the staff member that the appointment is in at-will status.

(3) Staff members who are appointed at-will may be terminated at any time unless as specified in paragraph h(2) below.
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f. Term status. Staff members may be appointed to term status for a specific term not to exceed three years in order to accomplish a specific purpose or when the duration of funding is limited or unknown.

(1) Reappointments to term status may be made, provided that the total period in term status does not exceed six years. However, a staff member who voluntarily leaves University employment before the end of a term appointment may be appointed to six additional years in term status.
(a) A staff member who is reappointed after the completion of six years in term status will be granted career status even if the position has been reclassified during the period in term status.

(b) A staff member who has achieved career status after having served six years in any combination of term-status professional and scientific positions, who is chosen to fill a position not previously held, may serve a probationary period in the new position of not more than one year prior to becoming eligible for career status, and be given a new career status date. If the employee satisfactorily completes the probation period, the Associate Vice President/Director of Human Resources, based upon the written request of the appointing department, may approve retention of the original career status date.

(c) Transfers from term status. In appropriate circumstances, staff members in term status may be transferred to probationary status. With the concurrence of those administrative offices who recommend the appointment (DEO, dean, or vice president or provost), units may request the Associate Vice President/Director of Human Resources to count a period of service in term status as probationary service. A minimum of one year of probationary service will be required before career status can be earned, except as provided in paragraph b(3) above.

(2) The nature and duration of such term appointments may be limited by contract. In the absence of special contract terms, term appointees may complete their terms unless they fail to demonstrate continued performance at a level necessary to meet the department's standards for the position. If an employee receives notification that his or her position is being eliminated and completes six years in a term appointment before his or her last day of employment, he or she will be granted career status but will not be provided an additional notification period beyond what was stated in the original position elimination notification letter.

(3) Employees in term status who are terminated for reasons other than causes relating to the staff member's lack of satisfactory performance or University-related conduct (e.g., funding, reorganization in the project, department, college, or University) will receive notice in accordance with the following schedule:

(a) One month notice during the first year of term employment. (Unless an employee is released mid-term, the term appointment will serve as notice.)

(b) Three months notice thereafter. (Unless an employee is released mid-term, the term appointment will serve as notice.)

(i) If a term employee has worked for The University of Iowa for two years or more, he or she will be offered an interview for positions applied for within the same job family, at the current pay grade or below, during the furlough notice period and for 12 months following termination. Employees must contact Compensation and Classification while a vacancy is posted on Jobs @ UIOWA in order to be interviewed under this provision and must be available to interview in a timely manner. The approved Office of Equal Opportunity and Diversity selection process will be followed, except that departments will not be required to provide justification for nonselection of the term employee.

(ii) If an appointing department does not believe the term employee is qualified for the position he or she applied for, based on a review of the basic or highly desirable requirements, the employee may petition Compensation and Classification, through the Senior Human Resource Leader, for an interview waiver. The appointing department will not be required to interview more than five (5) employees under this process for any given recruitment.

(4) In an appeal from a termination during the term of an appointment, the burden of proof shall be on the staff member. No right of reappointment shall be implied by an initial appointment. As a consequence, the notice provisions of paragraph h(1) below do not apply at the end of a term appointment.
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g. Temporary status. A staff member may serve in temporary status in a continuous appointment of not more than one year to meet an emergency or temporary need of the University. Temporary appointments of less than 50 percent (1040 hours) will not be subject to the one-year appointment limitation. Staff members in temporary status serve "at will."

(1) If during the term of the 50 percent (1040 hours) or greater temporary appointment the department anticipates the position extending beyond one year, then an affirmative action search must be completed as soon as possible and no later than within one year of the start of the initial temporary appointment. An affirmative action search also must be completed in the event that a temporary appointment of less than 50 percent (1040 hours) is increased to 50 percent (1040 hours) or more time and is expected to extend beyond the initial one-year temporary appointment. Exceptions include appointment in classifications designated on an annual basis by Compensation and Classification as experiencing a labor shortage.

(2) Limited extensions of temporary appointments of 50 percent or more time beyond one year are permitted in extenuating circumstances with the prior approval of the Office of Equal Opportunity and Diversity.

(3) Temporary appointments held by retirees are subject to the standards outlined above, with the exception of those classifications designated on an annual basis by Compensation and Classification to be experiencing a labor shortage.

(4) The Office of Equal Opportunity and Diversity establishes search procedures for affirmative action searches. Contact the Office of Equal Opportunity and Diversity, 202 Jessup Hall, for more information about search procedures.
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h. Terminations for other than cause.

(1) Staff members in probationary or term status who are terminated prior to the end of the probationary period or term for reasons other than causes relating to the staff member's lack of satisfactory performance or University-related conduct (e.g., funding, reorganization in the project, department, college, or University) will receive notice in accordance with the following schedule:
(a) One month notice during the first year of employment;

(b) Three months notice thereafter.

The notice provisions of this subsection will not apply if the Senior Vice President for Finance and Operations determines that notice of such duration would seriously impair the financial integrity of a major administrative unit (college or division) of the University.

(2) At-will employees who are terminated for reasons other than causes relating to performance or University-related conduct shall receive the same notice period described above. The notice provisions of this subsection will not apply if the Senior Vice President for Finance and Operations determines that notice of such duration would seriously impair the financial integrity of a major administrative unit of the University.

(3) Staff members in career status will receive the following notice if furloughed for reasons stated in paragraph i(1) below:

(a) Six months if furloughed during the first four years of current career status;

(b) Nine months if furloughed during the next four years of current career status;

(c) Twelve months if furloughed thereafter.

The notice provisions of this subsection will not apply if the Senior Vice President for Finance and Operations determines that notice of such duration would seriously impair the financial integrity of a major administrative unit of the University.
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i. Furloughs.

(1) "Furlough" means assuming inactive status without salary, or an involuntary reduction in time accompanied by a proportionate reduction in salary.

(2) If qualified, staff members in career status who receive notice of furlough or who are furloughed will have priority status with regard to vacant regular professional and scientific positions at The University of Iowa. If qualified, ADA-designated candidates have first consideration over other priority candidates. The procedures established in paragraphs (a) and (b) below will be followed:

(a) Prior to filling any such position which is in a pay grade no higher than the pay grade of the position from which the staff member was furloughed, the furloughed staff member will have the right of first consideration for the position. As soon as the Associate Vice President/Director of Human Resources or designee identifies an eligible furloughed staff member to a department which is filling a vacant regular position, the search process for the position will be halted. All staff members eligible for paragraph i(2) priority status will be given an equal opportunity to be considered for such position. The furloughed employee shall be interviewed by the department, utilizing the search committee that was established when the position was announced. Once the search process has been halted, it may not be resumed until approval to proceed has been received from the Associate Vice President/Director of Human Resources or designee. If a staff member applies for a vacant regular professional and scientific position that is at his or her current grade or below and does not invoke furlough priority status at the time of application, the staff member will not be eligible to invoke furlough priority status for the vacant position.

(b) Furlough rights will exist during the notice period and for one year from the end of the furlough notification period unless during that period the staff member accepts a regular or term position or fails to accept appointment to a comparable position for which he or she qualifies. If a staff member does not accept a comparable position, the Associate Vice President/Director of Human Resources or designee will determine if furlough rights will be preserved.

(c) Colleges, major administrative units, or departments are required to forward letters of furlough notification to the Associate Vice President/Director of Human Resources or designee. Position elimination notification letters for at-will, probationary, or temporary employees also should be forwarded to the Associate Vice President/Director of Human Resources.
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j. Lump-sum furlough option.

(1) When a department determines that a furlough notice needs to be provided to an employee, the department may offer a lump sum payment in lieu of the standard furlough notification period described under III-3.1h(3). In order to be offered this option, the employee must have at least one year of employment in career status. This option is offered at the choice of the department upon approval from Human Resources.

(2) A 90-calendar-day notice period begins on the date the staff member receives the written notice of position elimination, regardless of the length of time in career status at the time of notice. The employee will remain employed during the notice period, and will receive priority consideration for vacant positions for which he or she is qualified during the 90-calendar-day notice period, and for one year after termination from The University of Iowa. The 90-calendar-day notice period may be reduced or waived upon the agreement of parties. The employee will be eligible for priority consideration for the period described above.

(3) At the end of the 90-calendar-day notice period, if through the process of priority consideration no vacancy has been identified for which the staff member is qualified, or if the staff member has not declined a position for which he or she is qualified, the staff member is paid a lump sum in lieu of the longer notice period available under the current option, according to the following schedule:

(a) One year in career status: one week's pay (one week per year since most recent date career status was received).

(b) Two years in career status: four weeks' pay (two weeks per year since most recent date career status was received).

(c) Three years in career status: nine weeks' pay (three weeks per year since most recent date career status was received).

(d) Four years or more in career status: four weeks' pay per year since most recent career status date was achieved (maximum 26 weeks of pay).

(4) If the staff member terminates employment from the University for any reason, before the end of the 90-calendar-day notice period, except under the conditions described above in paragraph j(2) above, the lump sum payment will not be paid.

(5) The University will contribute to health insurance for the staff member only towards COBRA coverage for twelve months following termination.

(6) If the department chooses to offer the lump-sum furlough option based on operating needs, it is to be presented as a choice for the staff member, with the first option being that of the current notice period during which the staff member remains employed for the entire notice period of six to twelve months.

The employee will have three weeks to respond with a decision on whether or not to accept the lump-sum furlough option. If the employee does not respond within the three-week period, the furlough process described in III-3.1i will be followed. If the staff member responds with a preference but the department and staff member cannot agree on the option, the furlough process described in III-3.1i will be followed. Whichever option goes into effect, the respective notice period begins on the date the staff member was given the written notice of job elimination.

(7) Once the lump-sum option has been offered and accepted, it may be revoked at any time during the 90-calendar-day notice period upon agreement by both parties.

(8) In the event that a staff member's position is eliminated more than once during his or her University employment, the individual may elect the lump-sum option no more often than once in a 12-month period, nor more than twice during his or her total University employment.
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k. Furlough Networking Program (7/15/08). The University of Iowa Furlough Networking Program is intended for University of Iowa professional and scientific (P&S) non-organized employees who have been given a furlough notification letter or currently are furloughed (referred to in this document as "furloughed employee").

In order to facilitate the placement of furloughed employees at The University of Iowa, the following policy may be used to secure regular, specified term, or temporary P&S non-organized positions:

(1) This policy shall apply to furloughed employees holding career, specified term, at-will, or probationary status.

(2) Furloughed employees and/or Human Resources Unit Representatives may initiate contact with colleges, divisions, departments, or laboratories across campus to determine what employment opportunities may be available.

(3) If a college, division, department, or laboratory has a position vacancy and wants to fill the vacancy with a furloughed employee, they may do so as long as the position has not been advertised on Jobs@UIOWA. If the position has already been advertised or currently is being advertised on Jobs@UIOWA, the normal Office of Equal Opportunity and Diversity recruitment process must be followed.

(4) If a college, division, department, or laboratory does not have a vacant position but wishes to hire the furloughed employee, they can request the creation a new position by completing a position change form (Reason: New Position) and attaching a copy of the job description. A Position Description Questionnaire is not required.

(5) Preliminary discussions between the employee and the departmental Human Resources Unit Representative regarding salary and a proposed start date will take place prior to offering the position to the furloughed employee.

(6) If a college, division, department, or laboratory has funding for a vacant position and intends to hire a furloughed employee, they must complete a Transfer Form (Reason for Transfer: Furlough Transfer). A copy of the offer letter, the furloughed employee's resume or curriculum vitae, and salary justification, if required, must be attached to the Transfer Form.
(a) The employee shall transfer to the new position with the same job status (e.g., career to career, specified term to specified term, and probationary to probationary), as appropriate. A probationary employee will be asked to serve additional time in probationary status based upon III-3.1d(5) above.

(b) By accepting a transfer to the new college, division, department, or laboratory into a regular P&S non-organized position, the furloughed employee no longer will have furlough rights/priority consideration for regular P&S non-organized positions.

(c) By accepting a transfer to the new college, division, department, or laboratory into a temporary position, the furloughed employee will retain furlough rights/priority consideration for regular P&S non-organized positions until such time furlough rights/priority consideration ends. If the furloughed employee cannot successfully perform the responsibilities of the temporary position, the furloughed employee will return to his or her former position for the remainder of the furlough notification period.
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FOOTNOTE
1. Classifications at pay grade 12 and above in which positions may be eligible for career status include, but are not limited to: Chemist IV, Engineer IV, Systems Support Manager, Librarian IV, Research Scientist, Legal Clinic Supervisor, Research Engineer, Safety Engineer, Senior Engineer.[back]

3.2 PERFORMANCE REVIEW FOR UNIVERSITY STAFF.
(Enacted 6/22/92; amended 1/02; 6/05; 8/05; 2/07; 5/07)

a. Purpose:
(1) to establish a method for providing each University staff member with expectations for performance and periodic evaluation of performance;

(2) to facilitate direct communication between supervisors and staff members on performance expectations, achievements, and goal setting;

(3) to recognize the accomplishments and define the educational needs of staff members;

(4) to review the job description duties and assure the necessary resources are available to effectively perform the job duties;

(5) to identify potential career growth opportunities or expanded roles within departmental operations; and

(6) to serve as one criteria for determining salary increases for non-bargaining professional and scientific staff members in accordance with collegiate and departmental salary policy.

b. Philosophy. The performance review system facilitates the growth and development of staff members and achievement of institutional goals. It is a continuous process with shared responsibility that begins during orientation and continues throughout employment. The actual performance review is a formal opportunity to review the progress made during the year and set goals. This process should address the University's seven core values: Excellence, Learning, Community, Diversity, Integrity, Respect, and Responsibility. A fundamental principle of the process is to assure appropriate performance, encourage continuous developmental growth, and motivate behavioral change where expectations are not being met. It should stimulate both oral and written two-way communication, including opportunity for self-appraisal.
(1) Evaluations will be based on observable and, when appropriate, measurable outcomes. Reviews should occur no less than annually.

(2) The performance review system will serve to aid managers in decision making with respect to (but not limited to):

(a) achievement of organizational goals and individual goal setting;
(b) performance improvement;
(c) training and counseling;
(d) compensation;
(e) promotion, transfer, and reclassification;
(f) nomination for University and departmental awards;
(g) probationary period; and
(h) disciplinary action.

(3) All University staff members should be aware of the expectations of his or her position as well as how they will be evaluated. (See www.uiowa.edu/learn/perfmgt/index.html.)

(4) The performance review system will serve to aid staff members in the following ways:

(a) mechanism to express opinion about his or her performance;
(b) opportunity to list accomplishments for evaluation period;
(c) coaching;
(d) provide clear understanding of management's goals for the following year;
(e) request for training, or referral to, learning and development opportunities to enhance skills or develop new skills;
(f) discussion regarding career goals, including referrals to University programs that support staff to achieve career goals; and
(g) opportunity to provide feedback on process improvement.

(5) Performance review training, with opportunities for providing both qualitative and quantitative feedback, will be available through Learning and Development and through Hospital Human Resources.

c. Policy. Each administrative unit within the University shall demonstrate utilization of a performance management system consistent with the philosophy statement above.

Deans and vice presidents will be responsible for ensuring that each administrative unit for which they are responsible meets the requirements of this policy. The Associate Vice President for Human Resources will run annual compliance completion reports for each college or division. Reporting occurs utilizing HR web applications (www.uiowa.edu/hr/webinfo.html). Further, compliance reporting will be considered a part of the evaluation process for every dean, executive officer, manager, or supervisor.

Each unit, department, division, or college will be responsible for providing support to supervisors in the evaluation of staff members in accordance with University, collegiate, division, and departmental guidelines, and for identifying what latitude there is for creating the unit's own best practices. It is the responsibility of each supervisor to be consistent in the performance review practices with all staff members they supervise. All performance management systems shall be consistent with the philosophy, principles, and characteristics outlined in this University Policy on Performance Review. Tools are available at the performance management web site.

d. Procedure. The following steps are a guideline for the performance management process:

(1) The supervisor communicates clear expectations with measurable outcomes to the staff member. This occurs at the beginning of a staff member's employment and throughout the year. Job descriptions should be regularly updated and reviewed in concert with the evaluation process.

(2) The supervisor collects supportive documentation (both quantitative and qualitative) that provides information about the staff member's performance.

(a) All professional and scientific staff members are also held accountable to meeting four position expectations:
(i) civil and respectful communication,
(ii) diversity and inclusion,
(iii) leadership accountability, and
(iv) learning and professional development.

(b) All merit staff members are also held accountable to meeting four position expectations:
(i) civil and respectful interactions,
(ii) diversity and inclusion,
(iii) learning and professional development, and
(iv) responsibility and accountability.

(3) The supervisor provides feedback to staff members on an ongoing basis regarding their performance. This includes both strengths and areas for improvement. Feedback is a crucial part of building the relationship between supervisor and staff member and also provides the opportunity for questions and clarification.

(4) The supervisor sets the stage for an annual performance review by communicating to the staff member about which performance review form will be used and how the review will be conducted. Supervisors should utilize a review process that is fair, confidential, and consistent within a defined working group.

(5) The supervisor and staff member both prepare for the appraisal by organizing information and identifying accomplishments, reviewing past and future performance goals for the review period, deciding what issues need to be discussed, identifying whether new or additional resources are needed to do the job, and determining future developmental needs.

(6) Typically, the review session occurs with the supervisor and staff member meeting face to face and, together, reviewing goals from the previous year and creating a future action plan. In extenuating circumstances, other models may be used as appropriate to provide for this exchange of information. In either case, the supervisor concludes the review process by documenting the session -- recording both goals met and those not completed and identifying future performance goals and resources available to support change. A staff member may make additional comments on his or her review. Additionally, if a staff member disagrees with his or her supervisor's review, these comments should be recorded as a part of the review document. Regardless of the form used, each party needs to sign and date the form and have opportunity to include comments.

The Performance Management web site details the components of preparing and conducting an effective performance review. For clarification regarding guidelines for the performance review process in a specific unit, contact your unit's Human Resources representative. To identify your Human Resources representative, visit the employee self-service web site, choose the "My Information" tab, and click on "My HR Unit Rep."
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a. Hours/work week. While those professional and scientific staff members at the University not engaged in scientific research usually are able to work a fairly predictable schedule, the nature of scientific research often precludes establishment of a fixed work schedule. The University assumes that professional and scientific research staff will work a flexible schedule to meet the needs of the assigned research project. An investigator who will consistently require a staff member to work irregular hours and/or hours in excess of forty in a work week should reflect these demands in determining the salary for the staff member at the time of appointment or salary review. Such demands also should be spelled out at the time of appointment in a position description or letter of offer. Moreover, the investigator who requires an irregular schedule should permit the staff member concomitant flexibility in scheduling work time, consistent with the demands of the research.

(See III-3.4 Policy for the Classification Review of Professional and Scientific (P&S) Staff Positions.)

b. Recognition and professional development. Research staff who make scholarly contributions to a research project should be included among coauthors or acknowledged in publications that result from the research. Questions of coauthorship and acknowledgement should be discussed with the staff member and agreed upon in advance of the publication or research to which the staff member has contributed. Professional development opportunities for staff members may include support for travel to conferences at which the results of such research are presented. Departments and investigators also should promote professional development by making every effort to support continuing education for research staff, consistent with that provided other faculty and staff in the department in which the staff member is appointed.
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3.4 CLASSIFICATION REVIEW OF PROFESSIONAL AND SCIENTIFIC (P&S) STAFF POSITIONS.
(11/1/96; amended 7/1/99; 11/04; 8/05; 3/06; 7/06; 12/06; 1/08)

Purpose. The University of Iowa professional and scientific classification system was established to meet the needs for employing staff with the appropriate mix of skills to meet the multiple missions of all University entities and to ensure that staff are appropriately and equitably classified and recognized for their contributions. Each classification has an approved University title, although specific position titles also may be designed within employing units. It is the responsibility of departments/administrative units to determine unit requirements as they relate to the number of staff and the classification mix necessary to effectively operate the unit. This policy clarifies the process for seeking and conducting a classification review based upon a change of duties and responsibilities of a filled position.

a. Staff members covered. All regular (non-temporary) P&S staff members holding appointments of 50 percent or more are covered by this policy. Those holding appointments of less than 50 percent may request classification review through normal administrative channels.

b. Criteria for reclassification approval. When the duties and responsibilities of a position substantially differ from those established in the University's general position description for the current classification, while also fulfilling a department/administrative unit's needs for a different classification, the position is eligible for reclassification to a higher, equal or lower paygrade.

c. Procedures. Any staff member, supervisor or department/administrative unit may initiate a classification review of an occupied position. The request will include reviewing the staff member's current duties and responsibilities against the current classification to determine if there is change substantial enough to warrant a classification review. The initiator of the review should identify an appropriate target classification, in consultation with the department or collegiate/divisional personnel officer. If the department, college or major administrative unit recommends a classification at a higher pay grade than the current pay grade, but different from that requested, the recommendation shall not be considered a denial of reclassification.

d. Process. (See Review for summary of steps in this process.) To initiate a classification review, the incumbent staff member or his/her supervisor must submit a letter to the department/administrative unit requesting the review in electronic format using the workflow system. The letter must detail the changes in duties and responsibilities. The workflow request must be accompanied by a position description questionnaire (PDQ), a letter by the initiator to the appropriate department/administrative director requesting the review detailing the changes in responsibilities, the unit's organizational chart, the position description in effect when the position was last classified, and a description of the proposed classification, if known. For research related classifications, a curriculum vitae may be required. A copy of the letter requesting the review also must be sent to the college/major administrative unit.

e. Time frames. After an individual initiates a request for a classification review, the department shall act on the request within 30 calendar days. The college/major administrative unit shall act on the request within 30 calendar days following receipt of the departmental recommendation. The Division/College Review Committee (DCRC) or University Review Committee (URC) shall make its decision within 30 calendar days of the committee meeting (refer to Review, below, for definitions of committees). The Associate Vice President/Director of Human Resources shall issue a final decision within 30 calendar days following receipt of the college/major administrative unit or DCRC/URC recommendation for reclassification. During peak time periods, March 1 through June 30, the Associate Vice President/Director of Human Resources will issue a final decision within 45 calendar days. To ensure an effective date of July 1 of the upcoming fiscal year, a classification review must be initiated by January 1. Reviews may be initiated throughout the year and, if the classification is changed, it shall be effective on the first day of the month following central administration approval. Failure to act within the prescribed time frame shall automatically move the request to the next administrative level unless, by mutual agreement, there is an extension of the deadline.

f. Staff feedback. This policy provides for periodic feedback to the employee and department on the progress of a request. The cover sheet of the PDQ requires a signature of the department and college or major administrative unit with specific recommendations to approve or deny the request at each level. Upon completion of each review, a copy of the cover sheet shall be sent to the employee and department. All classification review requests shall be forwarded to the college/major administrative unit, even if the supervisor and/or department denies the request. Upon final denial of a classification review request, the staff member shall receive written notification of denial, the specific reasons for the denial, and a description of the appeal process.

g. Compensation upon reclassification. Regardless of source of funds, unless there is substantial documentation for a lesser increase, such as internal equity, professional and scientific incumbents in positions that are reclassified will receive a salary increase of:

(1) One pay grade -- $2,500 or 5 percent of a staff member's base salary, whichever is greater;
(2) Two pay grades -- $3,000 or 6 percent of a staff member's base salary, whichever is greater;
(3) Three or more pay grades -- $3,500 or 7 percent of a staff member's base salary, whichever is greater.

If an employee is appointed at less than 100 percent time, the flat dollar reclassification salary increase will be prorated based upon the current percent of time appointment.

If either the flat dollar amount or the percentage increase results in a salary below the first quartile, the unit also has the option of recommending a salary up to the first quartile. Such a recommendation will be accompanied by an equity analysis related to other individuals in the unit in the same classification.

h. Appeals. This policy provides an appeal process for individuals or departments/administrative units to present their objections to a denial of reclassification for a filled position. Each college/major administrative unit with sufficient resources shall appoint a DCRC to consider appeals. Where the administrative unit lacks sufficient resources to develop a standing committee, appeals shall be directed to the URC. This shall be the appeal venue for central administrative employees and those of smaller colleges/administrative units. The DCRC and URC shall each consist of:

(1) At least two professional and scientific staff members appointed for two to three years, with the possibility of a renewed appointment;

(2) A primary human resources professional or designee; and

(3) A representative in the requested classification or someone knowledgeable of the position being sought, at the discretion of the DCRC/URC membership, appointed on an ad hoc basis.

If the supervisor or department/administrative unit denies a reclassification request initiated by a staff member, the department/administrative unit shall forward the request and specific information on the reason for the denial to the college/major administrative unit. If the college/major administrative unit denies the request, written notification shall be provided to the staff member, supervisor, and department, detailing the reasons for denying the request. Upon written notification of the denial, the individual or department initiating the request has 15 calendar days to submit an appeal of the classification to the chair of the DCRC/URC. The written request for appeal shall address why the staff member or supervisor believes the division/college decision is incorrect. The individual or department initiating the appeal may request to meet with the DCRC/URC in person. Such requests shall be granted. If a written request for appeal is not submitted within the 15 calendar day period, the denial shall be considered final.

If the college/major administrative unit denies the appeal and the denial is sustained by the DCRC/URC, the denial shall be considered final. However, if the DCRC/URC reverses a college/major administrative unit denial, the documentation shall be forwarded to the Associate Vice President/Director of Human Resources for consideration. The decision by the Associate Vice President/Director of Human Resources shall be considered final.

A July 1 reclassification shall be retroactive to the beginning of the current fiscal year if:

(a) the request for review was initiated prior to January 1; and

(b) the appeal of the request was not acted upon until after July 1; and

(c) the appeal was upheld by the review committee, and subsequently by the Associate Vice President/Director of Human Resources.
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3.5 PROCEDURES FOR CREATING A NEW PROFESSIONAL AND SCIENTIFIC CLASSIFICATION OR MODIFYING THE PAY GRADE OF AN EXISTING CLASSIFICATION.*
(5/00; 11/04)

New P&S classifications or modifications of pay grades of existing classifications are initiated by University Human Resources or a major organizational unit.

a. The major organizational unit provides the University Human Resources Office (Compensation and Classification Unit) with:
(1) a position description questionnaire(s) (PDQ);

(2) an organizational chart;

(3) justification materials supporting reasons for a new position or a change in the current salary grade; and

(4) a position description(s).

b. The Compensation and Classification unit determines if other areas will be affected by the new/changed position. If so, Compensation and Classification and/or the requesting organizational unit will contact the area(s) involved to see if they concur with the review. A representative of the Compensation and Classification unit will provide guidance on who will coordinate the review with the other units.

c. If all impacted parties concur, the Compensation and Classification unit will create a new job description and seek agreement and support from the requesting department and any other affected areas.

d. Members of the Compensation and Classification unit will conduct a job evaluation point count on the position and allocate it to a pay level.

e. The major organizational unit will be informed of the outcome of the job evaluation process. The organizational unit notifies department supervisors/managers and the impacted employees of the recommendations of the Human Resources Office.

f. The Compensation and Classification unit prepares the job description and justification materials and submits them to the Board Office.

g. The Board of Regents Office reviews the material and enters the item of the docket. Such requests are typically made to the Board of Regents.

h. The Board of Regents acts on the recommendation and, if approved, the effective date of the change is typically July 1 (if submitted at the May/June Board meeting) or the first day of the month following the Board of Regents meeting at which the action recommended is approved.

3.6 RECLASSIFICATION OF A MERIT POSITION TO A PROFESSIONAL AND SCIENTIFIC (P&S) STAFF POSITION.
(1/03; 11/04; 8/05; 3/06; 7/06; 12/06)

a. Purpose. The University of Iowa classification system was established to meet the needs for employing staff with the appropriate mix of skills to meet the multiple missions of all University entities and to ensure that staff members are appropriately and equitably recognized for their contributions. It is the responsibility of departments/administrative units to develop ongoing plans for staffing. The department/administrative unit must consider unit requirements as they relate to the number of staff and classification allocation necessary to effectively operate the unit. This policy clarifies the process for seeking and conducting a classification review for a filled position.

b. Policy.

(1) Eligible employees. All regular (non-temporary) Merit employees who have an appointment of 50 percent or greater and request to have their position reviewed using the Professional and Scientific (P&S) classification evaluation system are covered by this policy. Because ranks assigned to the University's librarians reflect the professional status and accomplishments of the individual rather than the responsibilities of a position, the Librarian I, II, III, and IV titles are excluded from this policy. Merit employees may not initiate reclassification to these P&S positions; however, the department shall have the authority to request a classification review if it is determined necessary to meet business needs. Merit employees may not request reclassification to an SEIU-designated classification.

(2) Criteria for reclassification approval. When the duties, responsibilities, and authority of a position substantially differ from those established in the University's merit position description for the current classification, while also fulfilling a department/administrative unit's needs for a different classification, the position is eligible for consideration of reclassification to the professional and scientific (P&S) work category.

(3) Procedures. Any merit employee described above, supervisor, or department/administrative unit may initiate a classification review of a filled position. The initiator of the review should identify an appropriate target classification, in consultation with the department or collegiate/divisional human resources representative. If the department, college, or major administrative unit recommends a classification at a higher pay grade than the current pay grade, but different from that requested, the recommendation shall not be considered a denial of reclassification.

(4) Process. To initiate a classification review, the incumbent staff member or his/her supervisor must submit a letter to the department/administrative unit requesting the review. The letter must detail the changes in duties and responsibilities discussed with the incumbent at his or her most recent performance evaluation and must specify the date of that evaluation. The request must be accompanied by a P&S position description questionnaire (PDQ), the unit's organizational chart, and the position description in effect when the position was last classified, and a position description of the proposed classification, if known. The date of the employee's most recent performance evaluation will need to be documented on the Position Description Questionnaire (must be within the past 12 months). For research-related classifications, a curriculum vitae may be required. A copy of the letter requesting the review must also be sent to the college/major administrative unit. (See the Review section for detailed steps in this process.)

(5) Time frames. After an employee or supervisor initiates a request for a classification review, the department shall provide a recommendation on the request within 30 calendar days. The college/major administrative unit review shall provide a decision on the reclassification request within 30 calendar days following receipt of the departmental recommendation.

The Associate Vice President/Director of Human Resources will solicit an opinion from the University Merit Position Review Committee, and shall issue a final decision within 30 calendar days following receipt of the college/major administrative unit review recommendation. During peak time periods, March 1 through June 30, the Associate Vice President/Director of Human Resources will issue a final decision within 45 calendar days. The decision by Human Resources shall be considered final and not subject to appeal.

To ensure an effective date of July 1 of the upcoming fiscal year, a classification review must be initiated by January 1. Reviews may be initiated throughout the year and, if the classification is changed, shall be effective on the first day of the month following central administration approval. Failure to act within the prescribed time frame shall automatically move the request to the next administrative level unless, by mutual agreement, there is an extension of the deadline.

(6) Staff feedback. This policy provides for periodic feedback to the employee and department on the progress of a request. The cover sheet of the PDQ requires a signature of the department and college or major administrative unit with specific recommendations to approve or deny the request at each level. Upon completion of each review, a copy of the cover sheet shall be sent to the employee and department. All classification review requests shall be forwarded to the college/major administrative unit, even if the supervisor and/or department deny the request. Upon final denial of a classification review request by the college/major administrative unit review, the staff member shall receive written notification of denial, the specific reasons for the denial, and a description of the appeal process.

(7) Appeals. This policy provides an appeal process for individuals or departments/administrative units to present their objections to a denial of reclassification for a filled position. Denials of reclassification requests may be submitted to the University Appeals Committee (UAC).

(a) University Appeals Committee (UAC). Three members shall be appointed by the Asssociate Vice President/Director of Human Resources for a period of three years, with possibility of a renewed appointment, and are required to have knowledge of P&S and merit position classifications. At least one appointment shall consist of a campus human resources professional.

(b) Upon written notification of the denial, the individual or department initiating the request has 15 calendar days to submit an appeal of the classification to the chair of the UAC. The written request for appeal shall address why the staff member or supervisor believes the college/major administrative unit review decision is incorrect. The individual or department initiating the appeal may request to meet with the UAC in person. Such requests shall be granted. If a written request for appeal is not submitted within the 15-calendar-day period, the denial shall be considered final and not subject to appeal.

(c) If the UAC denies the appeal, the denial shall be considered final. However, if the UAC reverses a college/major administrative unit denial, the documentation shall be forwarded to the Associate Vice President/Director of Human Resources for consideration. The decision by Human Resources shall be considered final and not subject to appeal.

The reclassification shall be retroactive to the beginning of the current fiscal year if:

(i) the request for review was initiated prior to January 1; and

(ii) the appeal of the request was not acted upon until after July 1; and

(iii) the appeal was upheld by the review committee, and subsequently by the Associate Vice President/Director of Human Resources.

(8) Compensation.
(a) If the position is reclassified to P&S grade 3, 4, or 5, the employee will receive a $1,500 salary increase or 5 percent, whichever is greater.

(b) If the position is reclassified to P&S grade 6 or above, the employee will receive a $2,000 salary increase or 5 percent, whichever is greater.

If an employee is appointed at less than 100 percent time, the flat dollar reclassification salary increase will be prorated based upon the current percent of time appointment.

(c) On-call, standby, and callback pay will not be considered when determining the reclassification salary increase. Departments may petition for the consideration of overtime in determining compensation when it has been consistent over an extended period of time.

(d) Future merit step increases will not be considered when determining the reclassification salary increase.

(e) If a merit employee with permanent status and at least four years of service is reclassified to a P&S position that is eligible for career status, the employee will serve one year in probationary status before becoming eligible for career status. If a merit employee with less than four years of service is reclassified to a P&S position that is eligible for career status, the employee will be required to serve the full probationary period.

(f) Employees considering reclassification from a merit classification to a P&S classification are advised to compare the difference in the benefits provided to employees in these work categories.

(See also P&S Classification Review Process Outline at www.uiowa.edu/hr/classcomp/reclass_ps.html.)
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[REVIEW: Summary of Steps in Reclassification of a Merit Position to a Professional and Scientific (P&S) Staff Position]

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Page last updated July 2008 by Office of the Senior Vice President for Finance and Operations