Capacity Model Policy and Operating Principles

Historically, while the customary teaching load for all full-time, tenure-track faculty at IUK has been based upon a semester workload of 12 load hours, a three load hour equivalent, or 0.25 FTE, had been routinely assigned to each tenured and tenure-track faculty member for research/scholarship activities.  And, while this reassigned time was monitored annually by the faculty member's supervisor (i.e., Dean or Chairperson) through the use of the annual report/evaluation, the process lacked any definitive mechanism for the accountability of this reassigned workload.  However, as a result of the mandated application of the capacity model for faculty workload accountability at all Indiana University campuses, IUK has developed a new, annual “Faculty Scholarship Report for Tenured/Tenure-Track Faculty” form, (see attachment), along with a set of “Capacity Model Operating Principles” (listed below).  This “Faculty Scholarship Report” will be completed annually by each tenured and tenure-track faculty member, signed-off on by both the faculty member's supervisor (in consultation with the faculty member in question), and, ultimately, approved by the Vice Chancellor for Academic Affairs, in order to validate the progress accrued by faculty on any and all reassigned workload awarded.  Moreover, the documentation/evaluation provided through this process will serve as the basis for the decision to either maintain or discontinue, the award of any reassigned time.

Capacity Model Operating Principles:

  1. Probationary (untenured) faculty must have a 3 -credit hour course reassignment per semester for research/creative work in order to be considered for tenure and promotion.
  2. Tenured faculty must apply to the chair/dean with ultimate approval of the Vice Chancellor for Academic Affairs for a 3-credit hour reassignment per semester.
  3. The IU Academic Handbook guidelines regarding promotion from Associate to Full Professor do not change under the Capacity Model (see pages 27-28).
  4. Associate Professors, who request and are approved to teach a 12-credit hour load, can be promoted to full professorship, if they meet the criteria as stated in the Faculty Handbook.  The Capacity Model operating principles are the minimal standard for the university.  Divisional standards may be higher.
  5. The research/creative work of faculty is evaluated by the Division Chair/Dean, and forwarded to the Vice Chancellor for Academic Affairs.  Creative work also includes art and photography exhibits, theatrical productions, and music recitals.  Peer review of the quality/merits of the research/creative work is encouraged in this process.  External review of scholarship is an expectation for promotion to full professor.
  6. Faculty must demonstrate progress in research on an annual basis in accordance with divisional/departmental guidelines.  Under the Capacity Model, faculty should have a letter of acceptance from a publisher of an article, or a book chapter by the end of a three-year term, or a similar letter from a publisher of a completed book manuscript within a six-year term.
  7. Annual evaluations of faculty approved for a 12-credit hour teaching load are based  on teaching and scholarly activity that does not end in publication (conferences, etc.) as well as service.  Faculty requesting research reassigned time will be evaluated on the basis of progress in research, along with the quality of their teaching and service.
  8. Faculty may request to leave the 12-credit hour teaching track by communicating this decision to the Chair/Dean.  Ordinarily, this request should be made prior to the development of the next academic year's (Fall) schedule.
  9. Faculty must complete the "Faculty Scholarship Report form" attached to the annual report and submit it to the supervisor.

Vice Chancellor for Academic Affairs
January 1996

Addendum 2014

  • The first post-tenure application of the 3-year Capacity Model cycle (“clock”) for individual faculty members will begin on the effective date of tenure.
  • Faculty who hold administrative positions at the level of Dean and higher are not subject to the 3-year Capacity Model cycle. For these faculty, the 3-year Capacity Model clock will begin on the date they vacate their administrative position.
  • Capacity Model clocks may be paused for leaves of absence or interruptions in service, subject to university policies and guidelines governing such leaves, and the approval of the appropriate campus administrators.