IUPUIGuidelines for Preparing and Reviewing Promotion and Tenure Dossiers2022-2023Office of Academic Affairs

TABLE OF CONTENTS. 1Values. 5The principles that shape this document are as follows: . 5Institutional Values . 6Civic Engagement . 6Collaboration . 6Diversity, Equity, and Inclusion . 6Economic Development of Indiana . 6Entrepreneurial Work and Innovation . 7Honors College . 7Interdisciplinary Work and Publication . 7International Work and Publication . 7Interprofessional Education . 8Open Access . 8Peer Review. 9Profiles of Learning for Undergraduate Success. 9Public Scholars/Public Scholarship . 9Research and Creative Activity in the Urban Environment . 10Rise to the IUPUI Challenge. 10Translational Research . 10University College . 10Definitions . 10Distinctions Between Promotion and Tenure . 11Tenure . 11Promotion . 11Time in Rank . 12Service . 13Unit Designations . 13Criteria by Faculty Type and Area of Excellence . 14Tenure-Track Faculty . 14Single Area of Excellence (research, teaching, or service): . 14Criteria for satisfactory for tenure-track faculty: . 15Research-excellent-tenure-track . 15Teaching-excellent-tenure-track . 16Guidelines 2022-2023 IUPUI2

Service-excellent-tenure-track . 17Balanced Case: . 18Balanced-binned case. 18Balanced-Integrative Case-Diversity, Equity, and Inclusion-Tenure-Track . 20Balanced-Integrative Case-Thematic. 21Clinical Faculty . 21Service-excellent-clinical . 22Service-satisfactory-clinical. 23Teaching-excellent-clinical . 23Teaching-satisfactory-clinical . 24Balanced-binned case-clinical . 25Balanced-integrative-DEI case for clinical . 25Balanced-integrative-thematic case for clinical faculty . 26Librarians . 27Performance-excellent-librarian . 27Lecturer Faculty . 27Teaching-excellent-lecturer . 28Service-satisfactory-lecturer ranks . 28Lecturer-integrative DEI case: . 29Research Scientists/Scholars . 29Research-excellent-research scientist . 29Service-research-satisfactory . 30Documentation (Dossier-Candidate Sections) . 30Candidate’s Sections . 30Candidate’s Statement . 30Curriculum Vitae . 32Main Section: Research and Creative Activity . 33General notes . 33Dossier folder checklist . 33Documentation. 34Main Section: Librarians: Documentation of Professional Development. 35Dossier folder checklist: Librarians . 35Main Section: Teaching . 36General notes . 36Dossier folder checklist . 36Guidelines 2022-2023 IUPUI3

Documentation. 37Librarians: Documenting Performance . 40Dossier Folder Checklist: Librarians. 40Main Section: Professional and University Service . 40General Notes . 40Definitions . 41Dossier Folder Checklist . 42Documentation. 42Librarians: Documentation of Service . 44Dossier Folder Checklist: Librarians. 44Main Section: Balanced-Integrative Excellence: Balanced-Integrative-DEI Case and Balanced-Integrative-ThematicCase . 44Appendices. 46Charts, Templates, and Guides have been moved to a separate document . 46Process and Responsibilities (Includes Dossier Administrative Sections) . 46Nine-Year Tenure Probationary Timeline for School of Medicine . 46Department Chair (or Designee) Responsibilities and Recommended Timeline . 46Dean Responsibilities. 50Primary/Department and Unit/School Level Promotion and/or Tenure Committees Responsibilities. 51Institutional Procedures . 53Submission Deadlines . 53Addition of Materials/Comments . 53Reconsideration . 54Campus Level Reviews and Notification . 55Dossier Content-Administrative . 55Dossier Administrative Sections . 56External Assessment of Candidates . 59IUPUI Chief Academic Officer’s Comments Regarding Outside Letters . 64Advice. 65Candidate Responsibilities and Recommended Timeline . 66Ongoing Review (From: Peer Review section of original) . 68Appendix: Quality and Impact . 69Guidelines 2022-2023 IUPUI4

ValuesThe principles that shape this document are as follows: Confidentiality of process. Therefore, potential conflicts of interesting in voting, committee membership, and thecommittee voting record should be identified and resolved. Integrity and fidelity of process. Therefore, members cannot vote twice, and procedures need to be consistentover time at every level. Substance trumps technicalities in the review. Therefore, issues such as font size, format, and deadlines will notbe rigidly enforced at the detriment to faculty success. Faculty own the dossier, and, therefore, have final say on contents. Faculty get the benefit of any doubt in processes such as reconsideration. Therefore, when in doubt, theadvantage goes to faculty. Objectivity of the review. Therefore, avoid conflicts of interest in external letters and in committee membershipto maintain objectivity and fairness. The Guidelines interpret university policy and criteria to assist in the preparation of promotion and/or tenuredossiers. The guidelines should provide useful in: oHelping faculty, chairs, and deans understand their role and responsibilities in the promotion and/ortenure process;oEnsuring that dossier evaluators on all review committees have the information they need to makejudgments about individuals within a common shared context reflective of campus expectations anduniversity requirements.These guidelines apply to the following appointees:oFaculty and librarians at IUPUI who are subject to promotion and/or tenure consideration, including alltenure-related appointees, clinical faculty, research faculty, and lecturers.oFaculty who hold appointments in Purdue schools at IUPUI, faculty based at medical centers, facultybased at IUPUC, faculty based at IU Fort Wayne, and some faculty in other units for whom the primaryplace of work may not be Indianapolis. The Guidelines are updated annually based on recommendations from the campus-level promotion and/ortenure committee, members of the Faculty Council Executive Committee, and votes of the IFC. Changes respondto the evolving nature of the institution as well as the experience of the campus-level reviewers, who oftenidentify better ways of assisting faculty with preparing their dossiers for these important deliberations. Inaccordance with the Indiana University Academic Policies, tenure is based upon the guidelines in effect andagreed to at the time of the appointment. Promotion is based on contemporary guidelines in effect at the time ofapplication for promotion. (See: Time in Rank in Definitions section.) Each school and library must have a document that states with reasonable specificity the standards that will beused to evaluate whether or not candidates meet the criteria for promotion and/or tenure. In accordance with school policies, departments or divisions should also have such documents. School, library, and department documents must comply with the criteria of the university and IUPUI. A currentcopy must be on file with the Office of Academic Affairs (OAA). These documents need to be approved by theschool’s appropriate faculty governance process and by the assistant vice chancellor for faculty affairs for theircompliance with campus and university standards. They also should be publicly available on the school’s websiteso faculty can easily access them.Guidelines 2022-2023 IUPUI5

Promotion and/or tenure considerations are based on the missions and the contexts of each candidate’sdepartment, school, or library in compliance with the IUPUI mission, as defined in each department, school, orlibrary’s statement of criteria and standards. Every faculty type has a set of areas of responsibilities. Every faculty member evaluated for promotion (and/ortenure) must be at least satisfactory in all areas of responsibility. These areas are:oTenure-track faculty: Research/creative activity, teaching, serviceoClinical faculty: Teaching, serviceoTenure-track librarians: Performance, professional development, serviceoLecturer faculty: Teaching, serviceo Research faculty: Research (service if specified by unit.)In this document, the term “candidate” refers to both faculty and librarians who are seeking promotion and/or tenure.Institutional ValuesThis section addresses the foundational values of IUPUI that are emphasized and rewarded as part of the annual review,three-year review, reappointment, and promotion and/or tenure process.Civic Engagement As an urban research university, IUPUI has a committed relationship to the local, state, and global community. Civic engagement is consequently a significant part of our mission and our intellectual activity. Faculty work that contributes to our role as a civically engaged institution, including participation in servicelearning projects and mentored internships is highly valued and should be acknowledged and rewarded in thereview process. The nature of the scholarship and the evidence used to support it may differ from traditional forms ofscholarship. Non-traditional dissemination outlets and alternative metrics should be acknowledged asacceptable forms of documentation.See also: Interdisciplinary Work and Publication and Public Scholars/Public ScholarshipCollaboration The work of the academy is often advanced through collaboration and joint work, especially in new orinterdisciplinary areas where the expertise and experience of more than one colleague may be required. Results of this work—whether teaching, research and creative activity, or service—are frequently disseminatedthrough publications with joint authorship. Collaborative work is valued, but candidates should make clear their individual role in such collective activity,preferably as specified by colleagues involved in the joint work.Diversity, Equity, and Inclusion IUPUI is committed to providing, nurturing and enhancing a diverse community of learners and scholars in anenvironment of equity and inclusion. Faculty work that contributes to the diversity of learners and scholars at IUPUI and that enhances ourenvironment of equity and inclusion is highly valued and should be acknowledged and rewarded in the reviewprocess.Economic Development of Indiana IUPUI is committed to enhancing the economic development of Indiana. Faculty work that contributes to enhancing the economic development of Indiana should be acknowledged andrewarded in the review process.Guidelines 2022-2023 IUPUI6

Entrepreneurial Work and Innovation IUPUI is a comparatively new institution and has had an opportunity to develop policies, procedures andprograms that build on the experiences of others, adapting best practices and creating innovative newapproaches to teaching, research and creative activity, and service. This opportunity has led many faculty to be entrepreneurial in their university duties, after leading their owndisciplines into new areas of inquiry or seeking collaboration with other disciplines. While there is no criterion specifying entrepreneurial work or innovation, these qualities have long beenappreciated and valued within the more traditional criteria ordinarily used to assess faculty achievement. Documentation of the impact of this work will help reviewers of the dossier understand its significance.Honors College As IUPUI continues to attract high-caliber undergraduate students, the formation of the Honors College offersan intellectual home to many of the brightest students on campus. Faculty engagement in teaching honors courses, mentoring honors students and further contributing to theattraction of the best students serves the campus and schools where such students’ majors reside, and facultyshould have that work acknowledged and rewarded in the review process.Interdisciplinary Work and Publication In the instance of candidates who work in interdisciplinary fields that transcend the intellectual authority of anysingle school/unit, special arrangements for primary and unit committee reviews may be necessary. The school/unit that serves as administrative host for such a program should assume responsibility forpreparing and transmitting files while making accommodations for participation of faculty from otherschools/units in a primary committee and for an alternative unit committee. The special or ad hoc arrangements should be stipulated in advance, be known to the candidate, the programadministrators (dean or director), and the dean of the host school/unit. In instances where there is not agreement on procedures among the concerned parties, the chief academicofficer will determine the process and procedures for reviewing candidates. The same high standards of achievement and of documentation for traditional disciplinary work apply tointerdisciplinary work.oJournals that publish interdisciplinary work may not be as well-recognized or widely known to thereviewers as other journals, but these may be most appropriate places to publish.oCare must be taken to consider the nature and quality of journals or other media where interdisciplinarywork appears.oHolding formulaic expectations for work appearing in “top tier” journals is not likely to serve eitherinstitutional or individual interests well in every case.oCandidates should help their chairs to document and establish the quality of such journals—includingthose in electronic formats—but reviewers have a reciprocal obligation to evaluate the quality of thework on its merits and not solely on the reputation of the journal within a discipline.oIn some instances, external assessments of outlets for publication may be useful and such informationmay be included within the dossier.See also: Public Scholars/Public Work and Civic EngagementInternational Work and Publication Scholarship and professional work are now often international in terms of their impact and application;collaborators are sometimes based in other countries; and appropriate journals, conferences, and other forumsfor dissemination may be international in scope and/or published outside the U.S. and in languages other thanEnglish.Guidelines 2022-2023 IUPUI7

Such international work and outreach are encouraged. In most cases, they may be evaluated using standard procedures. Sometimes, however, they may require specialforms of review and assessment, even—in some cases—the provision of translations. Review committees should demonstrate the same flexibility in assessing such international work as they do forinterdisciplinary work.oInternational variations in rankings, modes of inquiry, and forms of dissemination must beacknowledged.oCandidates and chairs should take special care to explain the quality, audience, impact, and value ofsuch international work and to solicit external evaluation by international peers, when appropriate.Interprofessional Education As Indiana University’s urban health and life sciences campus, IUPUI is committed to advancing capabilitiesand contributions in interprofessional education and collaborative practice to produce graduates with the skillsneeded for future team-based and population focused models of health and wellness.oInterprofessional education occurs when learners from two or more health-related professions learnabout, from, and with each other to enable effective collaboration.oInterprofessional, collaborative practice occurs when faculty and students from different professionalbackgrounds work together to produce the highest quality outcomes from a variety of settings or toproduce scholarship that informs teaching, learning, and/or teamwork.oInterprofessional teams cross disciplines, programs, and schools to identify and facilitate opportunitiesfor collaboration.Faculty scholarship in interprofessional education and practice is by nature, complex, time-intensive, highlycollaborative, and involves faculty teams and community stakeholders across a wide array of disciplines,professions, and settings.oScholarship in the area may include: presentations, articles in peer-reviewed interprofessional ordiscipline-based journals, original curricular and assessment products, program assessment andevaluation, innovation in service learning or other models or technologies that integrateinterprofessional practice and educational pedagogy, and qualitative and/or quantitative descriptions orresearch related to project or program outcomes such as community and/or practice-basedinterprofessional projects.oInterprofessional work typically generates collective scholarship products. As such, the faculty involvedshare both individual and mutual responsibilities for the project team’s outcomes. Traditionalpublication conventions with first, or last and corresponding author designations may not be applicableto true collaborations, in which case alphabetical order to demonstrate equal authorship should beutilized and noted.oAs teaching and research in interprofessional practice and education grows, not all scholarly productswill fit into traditional profession-specific expectations or considerations. This work, which occurs at theborders of profession-specific boundaries

Guidelines 2022-2023 IUPUI Entrepreneurial Work and Innovation IUPUI is a comparatively new institution and has had an opportunity to develop policies, procedures and programs that build on the experiences of others, adapting best practices and creating innovative new approaches to teaching, research and creative activity, and service.