Purdue School of Engineering and Technology, IUPUI

1
Purdue School of Engineering and Technology, IUPUI

• WORKSHOP ON DOSSIER PREPARATION FOR PROMOTION AND
  TENURE
• April 20, 1999

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Overview

• Objectives
• General Criteria for Excellence
• Overview of Process
• Dossier Preparation -- Documenting Excellence

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Objectives

• Familiarize with the PT process
• Assist in preparing good dossiers
• Emphasize the importance of early and complete
  preparation

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Available Documents for Guidelines

• General PT guidelines published by the IUPUI
  Dean of the Faculties -- updated frequently
• IUPUI Supplement to the IU Handbook, 1997-1999
• ET Promotion and Tenure Guidelines, 1996

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Available Documents for Guidelines (contd)

• Following useful presentations are on the web
  page of the IUPUI Faculty Development Office
• E. Boschmann, Documenting Professional
  Development, A New Faculty Orientation, August
  20, 1996
• J. K. Austin, Promotion and Tenure Review
  Process, IUPUI PT Workshop, March 11, 1998

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General Criteria for Excellence

• There are three categories of excellence
• (1) teaching
• (2) research, scholarship, and/or creative
  endeavor
• (3) service
• Note Candidate declares the area(s) of
  excellence

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General Criteria for Excellence (contd)

• The School of ET requires that for promotion to
  any rank, the candidates performance shall be
  excellent in at least one of the above three
  categories and at least satisfactory in the
  other two
• Marginal or unsatisfactory performance in any
  category precludes promotion and tenure

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General Criteria for Excellence (contd)

• Promotion to Associate Professor
• Based on achievements in the area of excellence
  reflecting a level of performance which brings
  documented recognition to the individual from
  outside IUPUI and promise of continued
  professional growth and recognition

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General Criteria for Excellence (contd)

• Promotion to Professor
• Based on achievements beyond the level required
  for an associate professor
• Accomplishments in the area of excellence should
  reflect documented national or international
  recognition as an authority in the field of
  specialization, and be valued for their
  intramural contributions as a member of the
  faculty

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General Criteria for Excellence (contd)

• Tenure
• Expectations and achievements are same as those
  for academic promotion, even though it is a
  different and separate consideration and issue
  from promotion to an advanced academic rank
• In general, tenure is not granted to a faculty
  member who cannot be promoted

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General Criteria for Excellence (contd)

• Differences between Engineering and Technology
  Programs
• Technology faculty are more application oriented
  while the engineering faculty are more research
  oriented
• Technology faculty have higher teaching loads and
  do not have a graduate program

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General Criteria for Excellence (contd)

• Engineering faculty in general have stronger
  research requirements
• Because of the above, the expectations for
  excellence differ mainly in the area of research
• Candidates in technology programs are generally
  expected to demonstrate and document excellence
  in teaching
• Their research and/or creative contributions may
  be closely tied with their teaching activities

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General Criteria for Excellence (contd)

• Candidates in engineering programs are generally
  expected to demonstrate and document excellence
  in research and/or creative endeavor

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Levels of Review

• School Level Review
• IUPUI Campus Level Review
• University Level Review

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School Level Review

• Primary Committee (Department)
• Department Chair
• Unit Committee (School)
• School Dean

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IUPUI Campus Level Review

• IUPUI Promotion and Tenure Committee
• IUPUI Dean of Faculties and Chancellor (Joint)

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University Level Review

• IU and Purdue Vice Presidents of Academic Affairs
• IU and Purdue Presidents
• IU Board of Trustees

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Primary Committee

• Consists of all eligible full professors in the
  department
• Chaired by department chair
• Department chair does not have a vote
• If the chair is not eligible to serve because of
  rank, the committee elects a chair from among its
  members who has a vote

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Primary Committee (contd)

• If there are less than four eligible members,
  additional members may be elected from other
  departments to meet the membership requirement of
  four
• Associate professors may be elected as members if
  the candidate is at assistant professorship rank

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Unit Committee

• Consists of seven full professors and dean
• Dean does not have a vote
• Committee elects a chair from among its members
  and chair has a vote
• Four members are elected by the entire faculty
  for two-year terms (two from engineering, two
  from technology)

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Unit Committee (contd)

• Three members are appointed by dean each year for
  a one-year term

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Pre-Tenure Evaluation -- Third Year

• Conducted by the Primary and Unit Committees at
  the end of the third year of a tenure track
  faculty, based on a dossier prepared by the
  faculty member
• The purpose is to provide feedback and guide the
  faculty member
• Starting from this year, similar evaluation of
  tenure-track faculty will be performed annually

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Process

• Candidates should
• be informed in writing of the recommendation at
  each stage
• be informed when materials are added or changes
  made to their dossier
• be provided an opportunity to comment on or
  respond to changes or add new material within two
  weeks

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IUPUI Committee Review Process

• know that all reviews are confidential
• do not ask members
• Non-Controversial Case -- no divided votes at any
  stage
• Two reviewers (primary and secondary) each read
  dossier and complete an evaluation form
• Evaluation forms are distributed to committee
• Reviewers present to committee

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IUPUI Committee Review Process (contd)

• School representative is asked to comment
• Committee has minimal discussion on case
• Controversial Case -- differing recommendations
  at least in one stage
• All members read dossier
• Two reviewers complete an evaluation form
• Evaluation forms are distributed to Committee

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IUPUI Committee Review Process (contd)

• Reviewers present to committee
• School representative is asked to comment
• Committee has more discussion on case

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Time Table For Process

• April 15
• Chair notifies the faculty members
• April 26
• Candidate indicates intent and submits a list of
  potential reviewers
• Summer
• Chair seeks letters of references

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Time Table For Process (contd)

• candidates CV and collected copies of
  publications are mailed to reviewers
• August 15
• Candidate submits a copy of the complete
  documents to the Chair
• Candidate is notified by the Chair of any missing
  material and correction

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Time Table For Process (contd)

• September 1
• Formation of Unit Committee is completed
• September 15
• The Committee is formed several days prior to
  this
• Copies of the candidates dossier are distributed
  to the members

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Time Table For Process (contd)

• Primary Committee reviews the candidates dossier
• Dean informs the candidate of the Primary
  Committees recommendation in writing no later
  than five working days after the review
• Candidate may review the documentation and
  provide additional information if he/she desires

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Time Table For Process (contd)

• September 22
• The original dossier with the Primary Committees
  recommendation and vote plus the Chairs letter
  will be submitted to the Dean who will check for
  completeness
• October 1
• The chair shall submit the original plus six
  copies of the dossier to the Deans Office

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Time Table For Process (contd)

• October 11
• Unit Committee meets
• October 15
• Dean will inform the candidate of the Unit
  Committees decision in writing
• Candidate can review his/her dossier and add
  additional information if needed

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Time Table For Process (contd)

• November 4
• The original dossier plus two copies, all of
  which now include the Primary Committees,
  Chairs, Unit Committees, and Deans
  recommendations are submitted to the Dean of
  Faculties Office

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Purpose of External Reviewers

• External reviews are needed to obtain an external
  evaluation of the candidates
• accomplishments
• significance of scholarship
• stature of journals/works
• contributions to professional organizations
• professional standing

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Selection of External Reviewers (contd)

• Six external reviewers are required
• candidate provides a list of at least eight
  candidates
• chair prepares the final list with at least one
  reviewer outside the list provided by the
  candidate

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Selection of External Reviewers (contd)

• As a general rule, the reviewers are persons who
• are at a higher rank
• are at institutions of similar or higher status
• can evaluate national reputation
• can evaluate independence from mentor
• can evaluate accomplishments in the area of
  excellence

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Selection of External Reviewers (contd)

• In general you should avoid asking
• social or family friends
• persons who were classmates
• more than one person at the same institution
• more than one person from your thesis committee
• more than one person with whom you regularly
  publish

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Dossier

• A dossier is
• a summary of professional work and
  accomplishments
• the basis for promotion and tenure decisions

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Dossier (contd)

• A dossier is not
• a document for unrelated activities, e.g., boys
  scout work, military service, etc.
• meant to detail plans, hopes, and goals, but
  accomplishments only

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Dossier (contd)

• A dossier must be
• limited to 25 pages with 11- or 12-point font
  size and adequate margins (excluding the
  Appendix)
• complete
• brief
• well organized
• reader friendly

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Dossier (contd)

• A dossier is created by
• starting early
• Get a mentor to help (Chair)
• collecting everything and selecting the important
• frequently using and updating it
• reviewing good samples
• See samples at Center for Teaching and Learning

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Dossier (contd)

• In preparing a dossier you must avoid
• vagueness and inaccuracy
• repetition and redundancy
• accomplishments which may be representative of
  more than one of the promotion criteria should be
  cited only on one section of the document for
  receiving proper credit with some comments
  indicating the connection

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Dossier (contd)

• You must also avoid using
• padding
• abbreviations
• vagueness, exaggeration, and inaccuracy
• uncertain terms like numerous, several, plenty,
  etc. (must quantify achievements with numbers)

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Portfolio

• Is a supplement to the dossier to reinforce the
  areas of excellence and satisfactory performance
• All supporting documents including copies of
  publications, major course notes, course syllabi,
  lab manuals, award certificates, etc., must be
  included

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Portfolio (contd)

• Must be arranged in an orderly fashion under
  separate categories or sub-categories
• See Boschmann, for preparing a teaching
  portfolio, 1996 (Faculty and Senior Staff
  Development Office Web Page)

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Teaching Portfolio

• Candidates who declare teaching as the area of
  excellence are urged to
• adopt a mentor to receive guidance
• arrange peer evaluations of classroom delivery
• prepare a teaching portfolio for evaluation by
  expert peers outside the university

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Sections of a Dossier

• Section I General Summary
• Section II Personal Statement
• Section III Evaluation of Teaching
• Section IV Evaluation of Research and/or
  Creative Activity

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Sections of a Dossier (contd)

• Section V Evaluation of Professional Service and
  Scholarship of Application
• Section VI University Service and Citizenship
• Appendix

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Section I General Summary

• Complete Checklist
• Routing and Action Form
• Primary Committees Evaluation
• Chairs Evaluation
• Unit Committees Evaluation
• Deans Evaluation
• Current Curriculum Vitae (CV)

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General Writing Style

• Curriculum Vitae should be in the form of
  itemized list of achievements
• First person narrative style should be adopted in
  the candidates personal statement section.
• Third person narrative style should be adopted in
  the rest of the dossier

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General Writing Style (contd)

• All pages must be numbered sequentially starting
  with the first page of Vitae
• Each main section should start on a new page

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Curriculum Vitae (CV)

• Included in the General Summary section
• Follow the standard format -- see Dean of
  Faculties Guidelines for the standard format
  (IUPUI Handbook)
• Distinguish work done in rank from those prior to
  rank
• List all items in chronological order

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Curriculum Vitae Contents

• Education
• Academic Appointments
• Other Appointments
• Licensure and Certification
• Professional Societies
• Honors and Awards
• Teaching Assignments

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Curriculum Vitae Contents (contd)

• Service
• Professional Activities
• Grants, Fellowships, Awards
• Publications

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List of Teaching Assignments in Vitae

• List the course number, title, semester, and
  enrollment for each course taught during at least
  the preceding three years

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List of Service Activities in Vitae

• Distinguish service between the following
  categories
• professional
• state and regional
• national
• university, school and department
• community

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List of Grants, Fellowships and Awards in Vitae

• Distinguish internal grants from external
• Indicate title, name of the granting agent,
  duration, and amount
• For joint projects, specific involvement as PI,
  Co-PI, or I must be designated including the
  percent effort and share in the budget

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List of Publications in Vitae

• Distinguish teaching, research, and service
  related publications
• Distinguish those published in rank
• Separate into following groups
• teaching
• Research
• Professional service
• Integration two or more aspects of work

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List of Publications in Vitae (contd)

• Further sub classify each of the above as
• refereed articles
• refereed conference proceedings
• invited publications and/or presentations
• non-refereed conference proceedings
• book chapters, abstracts, book reviews, etc.
• Number the publications sequentially and
  chronologically within each group

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List of Publications inVitae (contd)

• For jointly authored papers
• all authors names should appear as in the actual
  publication
• primary author or authors must be indicated with
  an asterisk, e.g.,
• student authors must be indicated with double
  asterisks
• Smith, S., Yee, H.C., and Wesson, W.,
  Efficient Solvers for High Speed Flows, ASME
  Journal of Fluids, Vol. 10, No. 3, pp. 100-110.

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List of Publications inVitae (contd)

• Papers in print or accepted for publication must
  be identified
• Papers that have been submitted to journals must
  be identified. Status of submission should be
  included
• Papers in preparation should not be included --
  may be mentioned in the candidates statement

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Section II Personal Statement

• Should address all areas
• Should be brief (not more than 3 pages)
• Should be well organized with headings and
  subheadings for categories of teaching, research,
  and service, and future plans
• should be understandable to those outside of
  discipline (avoid abbreviations)

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Section II Personal Statement (contd)

• should have a clear statement of program of
  scholarship and future plans in the area of
  excellence

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Section III Evaluation of Teaching

• Subcategories of teaching are
• instructional delivery
• instructional development
• Excellence requires substantial accomplishments
  in both subcategories
• See the listings provided in ET Guidelines for
  items which may be included in these subcategories

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Section III Evaluation of Teaching (contd)

• This section should provide
• an objective evidence of candidates performance
  and activities as a teacher
• information on the impact of teaching
• information on scholarly work
• do not repeat the publications listed in CV --
  instead dwell on selected works, their quality,
  impact, etc.

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Section III Evaluation of Teaching (contd)

• information on student evaluations and teaching
  awards
• evidence of peer/external evaluations via
  portfolio reviews, class room visits, etc.
• course and lab development
• instructional grants received

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Section IV Evaluation of Research -- Engineering

• Three subcategories of Research and/or Creative
  Activities are
• Publications
• Funding
• Graduate student activities
• Excellence requires substantial accomplishments
  in all subcategories and outside recognition of
  ones work

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Section IV Evaluation of Research -- Engineering
(contd)

• This section should provide
• an objective evidence of accomplishments and
  activities in the area of research
• information on the quality and impact of
  publications
• do not repeat the publications listed in CV --
  instead dwell on selected works, their quality,
  impact, etc.
• Information of funded and unfunded research and
  their outcome

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Section IV Evaluation of Research -- Engineering
(contd)

• Graduate student supervising
• Evidence of external evaluations
• See the listings provided in ET Guidelines for
  items which may be included in the three
  subcategories of research for engineering

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Section IV Evaluation of Research -- Technology

• This section should provide
• an objective evidence of accomplishments and
  activities in the area of research and/or
  creative endeavor
• information on the quality and impact of
  publications
• do not repeat the publications listed in CV --
  instead dwell on selected works, their quality,
  impact, etc.

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Section IV Evaluation of Research -- Technology
(contd)

• Information of funded and unfunded research and
  their outcome
• Excellence requires outside recognition of ones
  work
• See the listings provided in ET Guidelines for
  items which may be included in research and/or
  creative endeavor category for technology

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Section V Evaluation of Service

• Three subcategories of service are
• Internal Service Activities -- committee works,
  etc., indicating good citizenship
• Professional Society Activities
• External Outreach Activities
• Excellence requires intellectual content,
  scholarly aspect, and significant impact at least
  in the external outreach category

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Section V Evaluation of Service (contd)

• Promotion and tenure in this area occurs only in
  exceptional cases
• See the listings provided in ET Guidelines for
  items which may be included in service category
• do not repeat the service activities listed in CV
  -- instead dwell on selected works, their
  quality, impact, etc.

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Appendix

• This section is attached to the end of the
  dossier and includes
• letters of references including a sample letter
  sent to reviewers
• a brief (two or three sentences) statement of the
  expertise of each external letter writer
• departments evaluation of the stature of the
  journals where the scholarly work are published

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Appendix (contd)

• Selected (not more than three pages) important
  documents supporting excellence, such as
• grant reviews
• paper reviews
• official documents

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Final Words

• Start early
• Keep up the good work
• The School of Engineering and Technology needs
  your success
• Good luck in your endeavors