Office of Academic Affairs Rachel Applegate Assistant Vice

Office of Academic Affairs Rachel Applegate, Assistant Vice Chancellor for Faculty Affairs Administrators’ Update on the Promotion and Tenure Process IUPUI

Agenda Part I: Procedures • e. Dossier Updates, Changes • Questions? • Walk-through for new administrators IUPUI

Agenda Part II: • 2017 -2018 P&T Cases • Guideline Changes for 2018 -19 and 2019 -20 • Key Points • Questions BREAK IUPUI

P&T Case Overview 2017 -18 P&T Cycle

Summary of 2016 -2017 P&T Cases And 2018 Area of Excellence Number of Cases in Area Research/Creative Activity 52 2018: 47 Service 27 31 Teaching 11 16 Balanced Case 3 5 Performance 1 5 Total Cases 94 104 Overall Success Rate 95% 97% IUPUI

Overview: 115* cases Numbers show overall proportions, and may not be exact Most to least common: 38 Promotion to Associate + Tenure 26 Promotion to Full Professor (rank only, TT) 22 Promotion to Clinical Associate Professor 9 Promotion to Senior Lecturer 7 Promotion to Clinical [Full] Professor And then…. 4 Promotion to Full + Tenure (3 Law, 1 IUSM) 4 Promotion to Associate Research Scientist/Scholar 2 Promotion to [Full] Research Scientist/Scholar Withdrawn: 6 promotions to full. 1 promotion to clinical associate. 1 promotion to associate and tenure Failed: 4 total (3 tenure cases, out of 45 tenure cases, 94% success; 1 case to full professor, out of 26, 96% success) IUPUI

Other factoids Early tenure: 12 total. 10 IUSM (1 teaching, 2 service, 7 research), 2 other. 1 already full, 2 already associate. All-read cases: 13 total. 4 IUSM, 9 non. 7 for tenure, 6 for promotion [1 to full clinical, 5 to full TT] 9 research, 3 teaching, 1 service For initial tenure, research is most common. By “full” time, “service” is likeliest for IUSM, all four possibilities for non-IUSM. IUPUI

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Balanced case? 63 potential cases (for tenure, for tenure and promotion, or promotion to full, all tenure-track; excludes librarians). 9 from Purdue schools (Purdue degrees) For Purdue faculty, recommendations regarding promotion are made to the President and Trustees of Purdue University while recommendations regarding tenure are made to the President and Trustees of Indiana University (p. 32) Zero balanced cases at initial tenure level (to associate rank): out of 29 non-Purdue cases 4 balanced cases for promotion to full: out of 22 non. Purdue cases (18%) IUPUI

Changes 2018 -19 P&T Guidelines

P&T Guidelines Approved Changes for 2018 -19 • Indiana University Policies • Updated language to reflect that policies related to faculty are now located on the university policy site (policies. iu. edu) and not in a handbook. Pages 4, 5, 13, 20, 29, 31, 36, and 37 • • Review letter and vote from the dean and unit/school committee • Clarify required letters for faculty holding joint appointments in two schools in which tenure is being sought or has been awarded: Page 15 • • Public Scholarship • • Minor adjustments to language Pages 34 and 52 IUPUI

Approved Changes for 2018 -19 • Balanced Case for Clinical Faculty • Updated language to permit a balanced case approach to advancement in the clinical ranks. • Balanced case: In some circumstances, faculty may present a record of highly satisfactory performance across all three the required areas sufficient to demonstrate comparable long-term benefits to the University. If so, tenure-track faculty have the option of presenting a balanced case dossier across all three areas of endeavor (teaching, research, service) while clinical-track faculty have the option of presenting a balanced case across two areas of endeavor (teaching, service). It is understood that peer-reviewed scholarship is required for achieving a highly satisfactory rating in each area of performance in a balanced case. • Pages 29, 36 and 37 IUPUI

Not actually approved changes Terminology: FAA is now OAA or FA Contact: ofaa@iupui. edu is now acadhr@iupui. edu Faculty Affairs Changes in reality IUPUI

Changes 2019 -20 P&T Guidelines

Changes for 2019 -20 • Team Science updated language (spell out individual contributions) • Institutional Values: add Interprofessional Education IUPUI

Changes for 2019 -20 procedural • Omit details of confidential (personal and medical) information. Approved leaves can be mentioned but should not be described. • Dr. Smith was on leave X-X, and this period was not part of his/her probationary period. • Document that external evaluators have received all materials. • New materials can be added up to and including (but not past) the campus committee review point. IUPUI

Dossier samples 1 pdf: complete candidate sections: CV Statement Narrative bits No letters No raw data No appendices • Lecturer to Senior Lecturer: ENGT, SLA, SCI • Librarian, full; tenure • Professor, full: Herron-balanced, NURS, SLA-research, SLAteaching • Clinical, Asst to Assoc: MED, NURS • Clinical, to full: MED • P&T: Herron-research, MEDresearch, SCI-research, MEDservice, MED-teaching

Key Points

For the chair External reviewers: • Informally, early, confirm willingness and arms-length-ness of the external reviewers • Document that external reviewers actually receive the relevant materials (From Q&A: for teaching, ‘relevant materials’ should include at least some syllabi or other teaching materials, not just articles) • Letters must be signed, on letterhead. All letters must have “external review form” (conflict of interest) completed. IUPUI

For the chair Of course…. • Must include • Authorship conventions in the discipline • Is the first author the most important? • Evaluation of dissemination outlets • Contact your department or school’s library liaison • Discussion of grant funding, including analysis of unsuccessful grant reviews p. 11: “Review the candidate’s unsuccessful grant applications and interpret the reviewers’ comments in a short assessment. The analysis of the overall pattern of grant success should be included in the department chair’s vote letter for promotion and/or tenure. This grant assessment is required if applicable. ” IUPUI

For the chair (and candidate): “percent effort” Clarify what “percent effort” means on a grant. Currently this is used (but not explained) in two different ways. --Percent of the work-of-a-grant that the candidate is responsible for. “I am doing a little over half of the work for this $2000 grant. Percent effort is 60%” --Percent of the candidate’s effort (salary) that the grant covers. “I spend half of my time on this grant; it provides $50, 000 towards my [$100, 000] salary. Percent effort is 50%. ” Suggest: Add a short note explaining what basis the ‘percent of effort’ is calculated with. [Very short note can go in the CV. Longer explanation can go in the dossier, the grants explanations section. ] IUPUI

For admin support • Guest role: not for those helping to load document; view-only. • Delegate role: to upload materials into the candidate section. • Letters (not the external-reviewer ones): if solicited by candidate, go into research/teaching/service. If solicited by chair / director / other, go into Solicited Letters (and are not viewable by the candidate) • Put the candidate’s name FIRST on all pdf files. IUPUI

DMAI = automatic CV? ? ? FAQs for all • Oh happy day Possibly available next year. (DMAI can import citations from Google Scholar, Pub. Med etc. For other materials, we are checking on how to retrieve older data. ) Do I have to use the CV format? YES. • Key CV points: • Each item can be placed in only ONE category (T, R, S) • The order IS important. Unused sections CAN be omitted. • Mark in-rank and student-co-author items IUPUI

FAQs for all • Does prior work count? YES and NO. • For tenure: trajectory • For full: national reputation “In many cases, it is understood that national reputation depends, in part, on foundational work that may have occurred earlier in the candidate’s career. ” IUPUI “For faculty, publications and presentations in rank at another institution prior to appointment at IUPUI will be considered part of the candidate’s record. The overall pattern of productivity over time will be scrutinized, with emphasis place[d] on recent work and scholarly trajectory” (p. 29)

Questions & Answers • Are annual or 3 rd year reviews part of the dossier? Note that every year the chair should be providing guidance. In some schools a committee provides this. Page 9. Chair responsibilities. Year 1 and 2 of candidate appointment: "Provide a written annual review that addresses frankly the faculty member’s strengths and weaknesses, with suggestions about how to address the weaknesses. Satisfactory performance in the candidate’s areas of responsibility, teaching and service (and research for tenure-track faculty), is required for continued probationary reappointments. " Year 3 of candidate appointment: • Ensure that each tenure-probationary candidate understands the function of the three-year review. • Ensure that the three-year review is carried out following IUPUI Faculty Council policy and procedures including review of the candidate by primary/department and/or unit/school committees (as applied by particular requirements of the primary/department, unit/school, or library). • Ensure that candidates being reviewed receive an annual written assessment of their progress toward promotion and/or tenure, with specific guidance about any issues or concerns that require attention. “ The red wording is repeated for years 4 and 5 IUPUI

Red added for emphasis Is this annual review part of the dossier? On page 31, in the section on Addition of Materials: "Annual and three-year reviews will not be part of the dossier, but may be consulted by any of the reviewing bodies without violating the obligation* to notify the candidate or earlier reviewers. " p. 31 *The obligation: “In instances where a committee or administrative officer seeks additional information or material, this material must be provided to both the candidate and persons who have already reviewed the dossier, all of whom must have an opportunity to comment. o It is the responsibility of the persons seeking additional materials to provide such material to all concerned parties. o These comments then become a part of the dossier. Such additions must be made only when clearly necessary. o Ordinarily there will be very little time allowed for comment, and concerned parties must act within specified deadlines. ” IUPUI

BREAK Return in 15 minutes

e. Dossier for Experienced Administrators Are you experienced? • --in P&T concepts? • --in Indiana University peculiarities? • --in e. Dossier? TECHNICAL WALK-THROUGH AFTER CONCLUSION IUPUI

P&T Concepts Clarity Personal (candidate) ownership Peer review Documentation IUPUI

Indiana University Peculiarities • Area of excellence--aka “Buckets” • • Key: conscious selection, appropriate to appointment. Reflected in dossier and CV sections. Annual reviews, 3 rd year reviews, reappointments • NOT part of dossier. Unless it is. • CAN BE part of committee discussion. IUPUI

e. Dossier • Manages access • Candidate: up until submission (except supplemental) • Candidate delegate • Principals: • Chair, dean, and their delegates • Review committees: • View-only except chair of committee IUPUI

A little bit new here Access and Roles Can see only candidate sections • Candidate’s delegate See grid next slide for access review (from HELP document) Can see all sections • Chair, dean, admin, and chair/admin delegate • Committee members (post-submission) If you want to use guest for committee work pre-formal-submission, you will need to provide committee members with external letters (the noncandidate portions). IUPUI

e. Dossier Administrator Support Guide IUPUI

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You fill It fills You pick Scroll to select Add dates, save… IUPUI

Typical Workflow--quick trip The workflow is adjusted for each school’s process if different from the routing shown here. IUPUI

Departmental Level Pending Evaluative folders/letters and vote record are now visible IUPUI

School & Dean Levels IUPUI

Processes Outside e. Dossier • • • Conferring on candidate’s documentation prior to submission. Guest? • • Notification of right to reconsideration. Committee meetings and deliberations. Candidate notification of outcomes at each level of review chair Committee meetings and deliberations in response to reconsideration. IUPUI

Reconsideration? Or supplemental material? Reconsideration is an option after a majority negative vote at any level Majority of a primary/department committee Majority of a school/unit committee The chair The dean Supplemental material can be read, and can be used to re-write a report or to re-vote, but need not be. For reconsideration requests, the review level responds, though it need not ‘re-vote’ [I/we have reviewed all the materials and choose not to revise the report or re-vote] IUPUI

Supplemental Notifications & Actions II IUPUI

2018 -19 Programs • School Programs—invite Margie Ferguson/ Rachel Applegate! We travel! • Faculty Programs—workshops on edossier, on each rank, on each area of excellence • Leadership Development—good leaders = smooth processes IUPUI

Questions & Answers • What does “ 50 pages” mean? • Is work with students ‘teaching’ or ‘research’? • ? ? ? IUPUI

More? Hang around for walk-through IUPUI

I U P U I I N D I A N A U N I V E R S I T Y - P U R D U E U N I V E R S I T Y I N D I A N A P O L I S Evaluation • • Please take a few minutes to complete the program evaluation. Your feedback is important to us and helps improve future programming. Thank you for your interest and attendance. Have a great day. IUPUI

e. Dossier Details Walk-Through IUPUI

Administrator Sections

Welcome Screen Instructions for Reviewers and Principals IUPUI

IUPUI Reviewers/Approval Flow • The routing/workflow of each candidate’s dossier will be set prior to the candidate submitting their dossier. Once the dossier is ready for review, reviewers are notified via an automated email that the case is ready. • Reviewers are given access permissions according to their eligibility to view particular types of cases. After logging in, reviewers and staff see a list of all e-dossiers they are eligible to view. • After logging in, reviewers will see a "Reviews" tab on the right hand side of the page. Reviewers should click on the tab and then on the "Candidate" name and "Open Dossier" button to open up a candidate’s dossier. To examine a candidate’s materials in the P&T checklist, simply click on the arrows in each section to expand that section further. IUPUI

Principals • • • Deans, department chairs and support staff with administrative rights have access to the External Letters and Solicited Letters folders while the candidate prepares the dossier & during the routing to upload documents. Reviewers can view all of the candidate folders at any time but cannot make any changes or upload documents to the candidate folders unless the candidate has specifically given delegate access. Access • Access at the department level – reviewers can only see dossiers for candidates in their department. • Access at the school level – reviewers can see dossiers for all the candidates in their school. IUPUI

Principals • • • Principals can assign a delegate to help them complete tasks. Delegates can only perform certain tasks. • Cannot submit dossier. • Cannot acknowledge supplemental materials nor post internal letters for reconsideration cases. Principals responsible for routing the dossier to the next level. • System requires that the internal evaluative letter must be uploaded and vote recorded. • Once the requirements have been fulfilled, a “route” button appears on the candidate dossier page allowing the principal to route the dossier to the next level of review. To complete a vote record, click on the Vote Record link below the candidate’s dossier on the left-hand menu pane. Enter the numbers manually by clicking inside of each box of the record. Upload Evaluative letters to the Internal Review folder. IUPUI

Assign a Chair Delegate 1. Click Assign a Chair Delegate link. 2. Enter IU username of the delegate and click search. 3. The name will show in the field. 4. Designate Start/End date if desired. 5. Click Save. 6. To delete delegate access, click Delete under the Action column. IUPUI

Access List • • Instructions on how administrative access users set up review routing Video Tutorial on how administrative access users set up review routing IUPUI

Internal Letters and Vote Records IUPUI

Reviewer Details • During the review process, in addition to having view only access to all other folders in the dossier, the Vote Record and Internal Letters folders will be accessible to committee chairs, department chairs and the dean. • Once the review for a level is done, the vote is recorded in the Vote Record and the review letter uploaded to the Internal Letters folder. Then the dossier is routed to the next level for review. • • Once routed to the next level access changes to view only. • Each level can view items in these two folders for their level and below. Committee reviewers will have view access only to all folders in the dossier once it is routed to their committee for review. Each committee can only view dossier contents, the Vote Record and Internal Letters folders for their level and below. IUPUI

Administrative Folders • • Not uploaded nor viewable by candidate Not part of the candidate’s 50 pages • Review letters and vote records from school-level reviews: • Dean • Unit/School Committee • Department Chair • Primary/Department Committee • • • External Assessments Solicited Reference Letters (solicited by chair; not required) Assessment of dissemination outlets in the candidate's area of excellence (or in all areas for a balanced case) IUPUI

Candidate Sections

Candidate Sections 50 page limit EXCLUDING CV, Appendices • • • Candidate’s Statement Curriculum Vitae Teaching (For Librarians: Performance) Research and Creative Activity (For Librarians: Professional Development) Professional and University Service (For Librarians: Service) Appendices Dossiers for non-tenure eligible faculty should only include sections relevant to the candidate’s appointment and required areas of evaluation. Documents must be searchable pdfs; include candidate’s name. IUPUI

Question: 50 page limit? Answer # 1: Don’t stress (does a half-page count? A quarter-page? ) but focus on these points: * Don’t go overboard. If it is clearly over 50 pages, people will be annoyed and also stop reading. * Quality, not quantity. * Avoid ‘raw’ material in favor of summaries (with links to the originals). * Do not cut and paste from the CV. Answer # 2: Your candidate statement MUST be 5 pages (or 7 pages) or less. DO NOT GO OVER on this section. IUPUI

General File Folder General Folder Contents: • Department and School Criteria: Candidate uploads an official copy of the current department/school criteria for excellence. • Curriculum Vitae: Candidate uploads CV; if core school - upload both IUPUI and IUB required formats clearly labeled • Candidate’s Statement: Candidate uploads statement not to exceed 7 pages (or split 5/2) • Department (School) List of Prospective Referees: Not required for IUPUI dossiers. No need to insert a blank page. • Candidate's List of Prospective Referees: Not required for IUPUI dossiers. No need to insert a blank page. IUPUI

Research/Creative Activity Research Folder Contents: • Research/Creative Activity: Candidate will upload their evidence in appropriate subfolders. • Faculty for whom research is not required will not have materials to upload in folder. • Subfolders that do not apply to candidate’s case should be left empty. • If candidate cannot find a subfolder with desired title, upload to any section and name file clearly. • Files uploaded in this section count toward the 50 -page limit. • Utilize the Research Appendices to provide evidence to support assertions in the research folders. • Files uploaded in the research appendix folders do NOT count toward the 50 page limit. • You can hyperlink to the appendix folders. IUPUI

Teaching Folder Contents: • Teaching: Candidate will upload their evidence in appropriate subfolders. • Faculty for whom teaching is not required will not have materials to upload in folder. • Subfolders that do not apply to candidate’s case should be left empty. • If candidate cannot find a subfolder with desired title, upload to any section and name file clearly. • Files uploaded in this section count toward the 50 -page limit. • Utilize the Teaching Appendices to provide evidence to support assertions in the teaching folders. • Files uploaded in the teaching appendix folders do NOT count toward the 50 page limit. • You can hyperlink to the appendix folders. IUPUI

Service Folder Contents: • Service/Engagement: Candidate will upload their evidence in appropriate subfolders. • Faculty for whom service is not required will not have materials to upload in folder. • Subfolders that do not apply to candidate’s case should be left empty. • If candidate cannot find a subfolder with desired title, upload to any section and name file clearly. • Files uploaded in this section count toward the 50 -page limit. • Utilize the Service Appendices to provide evidence to support assertions in the service folders. • Files uploaded in the service appendix folders do NOT count toward the 50 page limit. • You can hyperlink to the appendix folders. IUPUI

CANDIDATE HYPERLINKING Embedding URLs – Linking 2 Documents • Within a file, you may want to point reviewers to another document/file in your dossier. Via the copy URL feature, you can embed the link to the document directly in your statement so reviewers can easily access it. • Select the previously uploaded document you want to link to using the Copy Link option in the drop down menu next to the uploaded document. IUPUI

CANDIDATE HYPERLINKING • • A dialog box will now appear with the appropriate URL. Copy the URL to your clipboard. Paste the copied URL into the relevant document before uploading it to your dossier. Save the document to your computer or server and upload as normal. When a reviewer opens the document from within e-dossier, clicking on the URL link will direct the system (and reader) to the linked file. Word documents can be uploaded if the PDF does not preserve embedded links IUPUI

Submit Button • In order for the candidate submit button to appear, there must be one file in the first three subfolders in the General section (Department and School Criteria, Candidate's CV and Candidate's Statement). • If the chair is satisfied with the dossier, then they approve the dossier and move it to the first level of review IUPUI

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Supplemental Folder: • Once the Candidate has submitted their dossier, this folder will appear. • Candidate can upload any additional materials at any time (such as a grant funding notification, manuscript accepted for publication) or reconsideration documents in PDF format to the Supplemental Supporting Items subfolder. • The candidate will need to use the submit button to circulate the new information to reviewers. IUPUI

Extra, or Reconsideration? Extra: for updates. Grants received, papers published, etc. Use “Update” and clear file names Reconsideration is conducted at the first ‘negative’ level. Please: Include a formal request for reconsideration Distinguish between arguments and events/new items Question: Can you request reconsideration at more than one level? Answer: Probably not. IUPUI guidelines are stated in terms of only one request. IUPUI

More on reconsideration (from Q&A) Question: Can you request reconsideration at more than one level? Answer: Probably not. IUPUI guidelines are stated in terms of only one request. Question: Can you request reconsideration at the chancellor or presidential level? Answer: You can probably request them to change their mind (nothing in the guidelines prevents that) but you cannot add any other materials for consideration (guidelines forbid anything new after the campus P&T committee) Question: When does the next level meet, if the next level is the campus? Answer: Contact Karen Lee for the exact date for a particular case IUPUI

Routing Supplemental Documents • A candidate may add supplemental documents at any time. Documents will be date and time-stamped. When a supplemental document has been submitted, workflow notifications will be sent as a function of “where” the e-dossier is in the review process. • Current level: ‘for your information’ “You are being informed that Candidate X, whose e-dossier is currently under review at your level, has added material(s) to the supplemental folder. [Please notify others at your level (i. e. , committee members) of these materials. ] No other action is required. • Past level: “Candidate X, for whom you have already voted on, has added material(s) to their supplemental folder. Please consider these materials [and notify others at your level (i. e. , committee members) to do so as well]. – – • ‘Acknowledge with Action’ by an earlier level of review: A notification will only be sent to the principal at the current level – • Choosing ‘Acknowledge’ means that upon review, no further action will be taken. Choosing ‘Acknowledge with Action’ means that upon review, a formal response (i. e. , letter and possible revote) will be uploaded. “In response to the addition of new materials by Candidate X, a formal response has been offered by an earlier level of review. Please consider these responses [and notify others at your level (i. e. , committee members) to do so as well]. No other action is required. ” A delegate cannot acknowledge. IUPUI

Advice to your candidates: more is not better IUPUI

Thank you! acadhr@iupui. edu