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Title: 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

2
Overview
  • Objectives
  • General Criteria for Excellence
  • Overview of Process
  • Dossier Preparation -- Documenting Excellence

3
Objectives
  • Familiarize with the PT process
  • Assist in preparing good dossiers
  • Emphasize the importance of early and complete
    preparation

4
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

5
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

6
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

7
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

8
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

9
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

10
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

11
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

12
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

13
General Criteria for Excellence (contd)
  • Candidates in engineering programs are generally
    expected to demonstrate and document excellence
    in research and/or creative endeavor

14
Levels of Review
  • School Level Review
  • IUPUI Campus Level Review
  • University Level Review

15
School Level Review
  • Primary Committee (Department)
  • Department Chair
  • Unit Committee (School)
  • School Dean

16
IUPUI Campus Level Review
  • IUPUI Promotion and Tenure Committee
  • IUPUI Dean of Faculties and Chancellor (Joint)

17
University Level Review
  • IU and Purdue Vice Presidents of Academic Affairs
  • IU and Purdue Presidents
  • IU Board of Trustees

18
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

19
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

20
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)

21
Unit Committee (contd)
  • Three members are appointed by dean each year for
    a one-year term

22
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

23
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

24
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

25
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

26
IUPUI Committee Review Process (contd)
  • Reviewers present to committee
  • School representative is asked to comment
  • Committee has more discussion on case

27
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

28
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

29
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

30
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

31
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

32
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

33
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

34
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

35
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

36
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

37
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

38
Dossier
  • A dossier is
  • a summary of professional work and
    accomplishments
  • the basis for promotion and tenure decisions

39
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

40
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

41
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

42
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

43
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)

44
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

45
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)

46
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

47
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

48
Sections of a Dossier (contd)
  • Section V Evaluation of Professional Service and
    Scholarship of Application
  • Section VI University Service and Citizenship
  • Appendix

49
Section I General Summary
  • Complete Checklist
  • Routing and Action Form
  • Primary Committees Evaluation
  • Chairs Evaluation
  • Unit Committees Evaluation
  • Deans Evaluation
  • Current Curriculum Vitae (CV)

50
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

51
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

52
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

53
Curriculum Vitae Contents
  • Education
  • Academic Appointments
  • Other Appointments
  • Licensure and Certification
  • Professional Societies
  • Honors and Awards
  • Teaching Assignments

54
Curriculum Vitae Contents (contd)
  • Service
  • Professional Activities
  • Grants, Fellowships, Awards
  • Publications

55
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

56
List of Service Activities in Vitae
  • Distinguish service between the following
    categories
  • professional
  • state and regional
  • national
  • university, school and department
  • community

57
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

58
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

59
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

60
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.

61
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

62
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)

63
Section II Personal Statement (contd)
  • should have a clear statement of program of
    scholarship and future plans in the area of
    excellence

64
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

65
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.

66
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

67
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

68
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

69
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

70
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.

71
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

72
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

73
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.

74
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

75
Appendix (contd)
  • Selected (not more than three pages) important
    documents supporting excellence, such as
  • grant reviews
  • paper reviews
  • official documents

76
Final Words
  • Start early
  • Keep up the good work
  • The School of Engineering and Technology needs
    your success
  • Good luck in your endeavors
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