1. 2018 Promotion and Tenure Workshop
Dr. Kathleen Bieschke
Vice Provost for Faculty Affairs (VPFA)
Wednesday, October 3, 2018
Office of the Vice provost for faculty affairs
BIESCHKE– Slide 1: Welcome – 2018 Promotion and Tenure Workshop
Good morning and welcome to today’s Promotion and Tenure Workshop. To those who are here physically and those participating online via MediaSite, I thank you for being here and hope you learn a lot today that will enable you to be even more effective in your roles.
For those of you who may not know me yet, my name is Kathy Bieschke. I am the University’s Vice Provost for Faculty Affairs, and I began serving in this role in August of 2017.
I came to this position having served as a Penn State faculty member since 1991, and from 2013 to 2016 I served as a department head in College of Education. In 2016, I also served as the interim dean of the Schreyer Honors College.
I know firsthand the opportunities and the challenges that come with being involved in promotion and tenure cases, especially when you are new or fairly new to the role. Today’s program is designed to provide information and guidance that will help you to seize the opportunities and mitigate the challenges.
This workshop is focused on the many facets of promotion and tenure for tenure-track faculty and does not cover promotion processes for fixed-term faculty.

2. Today’s Agenda Committee Roles and Responsibilities
The Dossier
FAQs
Activity Insight and Other Resources
Panel of experts
Overview of the Office of the VP for Faculty Affairs
Policies and Processes, including AC23 (formerly known as HR23)
Administrative Guidelines
Levels of Review
BIESCHKE – Slide 2: Today’s Agenda
We have a robust agenda today. Before I begin, I should ask – by a show of hands here in the room:
How many in attendance today are members of a promotion and tenure committee?
How many of you are administrators?
How many of you are staff who assist in the promotion and tenure process?
On the agenda today are “All Things P&T” for tenure-track faculty – including topics relevant to all of you, such as:
Promotion and Tenure-related Policies and Processes
Our Administrative Guidelines and Recent Changes to Them
The Levels of Review in the P&T Process
Review Committees’ Roles and Responsibilities
The Dossier – Taking a Closer Look at that All-Important Document
Some Frequently Asked Questions and Answers to Them
Activity Insight and Other P&T Resources
Final Thoughts - Key Takeaways from Today’s Discussion
That is a lot of material to cover today. So, to keep things moving, I’d like to ask that you hold any questions until the end of the presentation. If you have a question, jot it down and we’ll address it then.
To get started, I’d like to share some information for context about the Office of the Vice Provost for Faculty Affairs, including its role in guiding and supporting Promotion- and Tenure-related activities for tenure-track faculty at Penn State.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

3. Office of the Vice Provost for Faculty Affairs
vpfa.psu.edu
BIESCHKE – Slide 4: Full-Time Focus on Faculty Affairs
So, what is the role of the Vice Provost for Faculty Affairs – my role – in supporting Penn State faculty, including those on the tenure track?
In a sentence: My position is dedicated to ensuring that all faculty at Penn State have every opportunity to be successful.
Among other responsibilities, I work closely with Executive Vice President and Provost Nick Jones in areas including promotion and tenure, faculty development, leadership training, executive searches and reviews, and issues that arise related to academic personnel and their concerns. 
As Vice Provost, I am also the Provost’s contact person for the Big Ten Academic Alliance, the academic arm of the Big Ten Conference, and for the University Faculty Senate in issues relating to faculty affairs. I also serve as the liaison for Provost Jones and President Barron to our college deans and chancellors.
You can learn more about everything done in the Office of the Vice Provost for Faculty Affairs on the office’s website, vpfa.psu.edu. Among the features on the site is a menu of Administrator Resources, including links to important policies, as well as comprehensive information related to today’s focus: Promotion and Tenure.
One of my responsibilities is to oversee the promotion and tenure process at Penn State.
I highly recommend reviewing what’s available about promotion and tenure on the website to identify resources that will be useful to you. Specifically, in addition to the policy (AC-23) you will also find the administrative guidelines, a summary of recent changes to the guidelines, and the FAQs.
Incidentally, this presentation will be archived on the VPFA website for your future reference. This workshop is also being streamed live and recorded, so the recording eventually will be accessible to you, as well.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

4. Two Key Questions Do you have a Promotion and Tenure policy?
Do you FOLLOW that policy?
BIESCHKE – Slide 5: Two Key Questions
When it comes to Promotion and Tenure, there are two overarching questions that must be mentioned – and “YES” answers are required before we can go much further.
The first question is: “Do you HAVE a promotion and tenure policy?”
Then, the second question is, “Do you FOLLOW that policy?”
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

5. Policy AC23 “Promotion and Tenure Procedures and Regulations”
Formerly known as “HR23”
Vice Provost for Faculty Affairs is steward of AC23
Website for University policies: policy.psu.edu
BIESCHKE – Slide 6: Policy AC23
Today we’ll be focusing largely on University Policy AC23: Promotion and Tenure Procedures and Regulations.
If “AC23” does not sound familiar to you, that may be because the University last year changed the nomenclature and organization of some policies. The current “AC23” used to be known as “HR23.”
Also, a new website also was launched last year, policy.psu.edu, and it’s a nice upgrade from GURU. Policies are easy to find, and AC23 is in the Academics Policy category.
The Office of the Vice Provost for Faculty Affairs is the official steward of Policy AC23. I highly recommend that all of you bookmark the new policy website and the AC23 page in your web browser for easy access. Also, take time after this workshop to read this policy in full and to re-familiarize yourself with its content.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

6. Administrative Guidelines
How we operationalize AC23
A comprehensive document with some changes made each academic year
Important to know about AC23 and the guidelines – online for easy reference
BIESCHKE – Slide 7: Administrative Guidelines
The purpose of Policy AC23 is to “determine the criteria, procedures, and conditions of the review of University academic personnel and for the awarding of promotion and tenure.”
Related to the Policy, we have comprehensive Administrative Guidelines for operationalizing it. Updated every year, this 65-page document is available to read on the Promotion and Tenure page of the Faculty Affairs website.
It’s important that you are familiar not only with Policy AC23, but also these guidelines, which are substantive enough that they include a multi-page Table of Contents.
In the guidelines you will find information about promotion and tenure processes and procedures, criteria statements, the dossier, review committees, and much more. Appendices to the guidelines include sample documents and templates, as well as more specific guidelines related to types of tenure cases and ancillary information.
What we are able to cover today is only an overview. So, be sure to review these guidelines closely. Many questions you may have relation to promotion and tenure are likely answered in the guidelines, Policy AC23, or both.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

7. Frequently Asked Questions
Updated in June 2018, the FAQ document on the VPFA website contains 56 questions and answers on 12 pages.
Note: The FAQ document is not policy.
Question not answered there? Contact your department head, or the Office of the VPFA if needed.
BIESCHKE – Slide 22: Frequently Asked Questions
We have a “Promotion and Tenure FAQ,” and it’s posted on the VPFA website, too.
I would go over the FAQs in detail, but then you would be here much longer. Updated in July of 2018, the Promotion and Tenure FAQ document on the VPFA website contains 56 questions and answers on 12 pages. It’s a great resource for queries you may have.
As mentioned previously, some of the content related to questions 29 and 46 has been updated for this year.
Important: The FAQ document is a resource, but it and its content are NOT policy. Follow AC23 and the Administrative Guidelines, and the policies of your college, department or division.
If a question you have is not answered in the FAQ or elsewhere, contact your department head. Contact my office if needed, but only if you have exhausted all other resources and cannot locate the answer you seek.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

8. P&T Processes Adherence to established processes is critical
Follow guidelines for your college, department and division
Mistakes and mis-steps happen, but can be avoided
BIESCHKE – Slide 8: P&T Processes
I cannot emphasize enough the importance of our processes involving Promotion and Tenure.
Adherence to established processes at all levels is critical to ensure aligned approaches to promotion and tenure across the University and efficiency and equitability of execution.
In addition to the things we have already covered, Policy AC23 and the Administrative Guidelines related to that policy, make sure you also follow guidelines for your college, department and division. These may vary depending on the college, department and division in which you work, so it’s important to be familiar with those guidelines, too.
We are all human, so mistakes and mis-steps can happen, but adherence to policy and process at all levels mitigates the potential for problems.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

9. P&T Process Reminders
This is “P&T season.” Do all you can to help faculty members succeed, but make necessary judgments when the time comes to make them.
Understand our system of checks and balances, with independent but mutually informed recommendations by faculty peers and administrators.
Recognize our goal: To have a faculty appropriate to a major research university, with a commitment to teaching and service, so that the internal and external reputations of each unit are constantly improving.
Respectful, civil, and thoughtful disagreements and deliberations are to be expected, and are part of a healthy, academic discourse.
BIESCHKE – Slide 9: P&T Process Reminders
Regarding process, a few reminders of note:
This is “P&T season.” Do all you can to help faculty members succeed, but make necessary judgments when the time comes to make them.
Understand our system of checks and balances, with independent but mutually informed recommendations by faculty peers and administrators.
Recognize our goal: To have a faculty appropriate to a major research university, with a commitment to teaching and service, so that the internal and external reputations of each unit are constantly improving.
Respectful, civil, and thoughtful disagreements and deliberations are to be expected, and are part of a healthy, academic discourse.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

10. The Big One: Confidentiality
BIESCHKE – Slide 10: The Big One: Confidentialty
Confidentiality is so important that I thought it warranted its own slide.
Confidentiality is essential and expected. Candidates should not prod committee members or administrators, and committee members and administrators should not divulge information to candidates, or anyone, through words, innuendos, or gestures.
Confidentiality extends into the future; in fact, when it comes to promotion and tenure, it is forever!
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

11. Levels of Review and Judgment
Department/Campus Level - Most familiar with candidate’s discipline, quality, and quantity standards.
College Level – Evaluate record using college criteria and expectations, while striving for consistent standard.
University Level – Ensure compliance with departmental and college standards
BIESCHKE – Slide 11: Levels of Review and Judgment
Let’s talk now about the levels of review in the promotion and tenure process. All three are important and build on each other.
Level One: Department/Campus – At this level, participants are the most familiar with a candidate’s discipline or field, and quality and quantity standards for an individual case.
Level Two: College – At this level, a candidate’s record is evaluated using a specific college’s criteria and expectations, while striving for consistent standards.
Level Three: University – At this level, we are focused on ensuring compliance with college and institutional standards and the consistency of faculty excellence across Penn State.
We have a strong reputation related to promotion and tenure – and reviews at all levels ensure we sustain that.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

12. Committee Roles, Responsibilities
Know and follow all policies, guidelines
Review committees should have at least three members
Note: Tie votes are equivalent to “no” votes
Confidentiality is paramount throughout process
BIESCHKE – Slide 12: Vital Work by Review Committees
Promotion and tenure review committees have many important roles and responsibilities, and I’ll mention a few here.
Again: Know and follow all relevant policies and guidelines.
Review committees should have at least three members.
Note that in a decision-making process, a tie vote is equivalent to a “no” vote. One easy way to avoid this issue is to make sure you have an odd number of voting members on your committee.
And, again, always keep in mind that confidentiality is paramount throughout the process.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

13. The All-Important Dossier
The dossier paints a vital picture – especially for the University Committee, Provost, and President – and has many key components.
BIESCHKE – Slide 13: The All-Important Dossier
So, let’s talk a bit about the dossier.
The dossier “paints a picture” that is important for assessment and decision-making, especially for the University Committee, Provost, and President.
The dossier has many key components, and because it’s so critical, I want to touch on some of those.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

14. Key Components of the Dossier
The candidate’s narrative statement (usually one to two pages, and no more than three) – written in the first person and placed at the beginning
Separate sections focusing on accomplishments in three areas: Teaching, Research, and Service
What not to include: statements about candidate’s personal life, the CV, samples of publications, course outlines, letters of thanks or appreciation
BIESCHKE – Slide 14: Key Components of the Dossier
Some key components of a candidate’s dossier are:
The candidate’s narrative statement (usually one to two pages, and no more than three), which should be written in the first person and placed at the beginning of the dossier. Should be written for those outside the discipline.
Separate sections of the dossier should focus on accomplishments in three areas you all know well: Teaching, Research, and Service.
What should not be part of the dossier? Statements about the candidate’s personal life, the actual CV, samples of publications, course outlines, letters of thanks or appreciation – none of these belongs in the dossier.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

15. Dossier Guidelines and Tips
Signatory pages must be accurate and complete
Use current forms (See Appendix F, which includes some updates for , in the Administrative Guidelines)
Ensure the dossier leaves the academic unit in pristine condition
BIESCHKE – Slide 15: Dossier Guidelines and Tips
Some guidelines and tips regarding the dossier:
Signatory pages must be accurate and complete – don’t forget this part.
Also, make sure to use current forms and not old ones. Do not assume what you have stashed away on your computer is current. You can see Appendix F of the Administrative Guidelines for current forms, and if you have questions, ask. Note that there were some updates to the content of Appendix F for the academic year.
Only the date of the stay or stays of tenure is to be noted in the “Date of Stay of Provisional Tenure” box. Do not include the reason for the stay here or in any internal evaluative letter.
This tip is one that typically gets a lot of attention and discussion: Be consistent in your use of descriptors (i.e., very good, excellent) – this matters so that candidate assessments can be equitable and accurate. These are used primarily to describe and assess teaching, but can also apply to research and service.
Ensure the dossier leaves the academic unit in the best possible shape
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

16. Dossier Guidelines and Tips
Teaching and Learning:
Tenure Review: Include materials from date of Penn State employment in a tenure-eligible position
Promotion Review: From date of last promotion or up to last ten years
Unit head should summarize student comments; do not include each one in full
Do not rely solely on one source of information (e.g., SRTEs)
Address any weaknesses in teaching
Use “excellent, very good, satisfactory, and unsatisfactory”
BIESCHKE – Slide 16: Dossier Guidelines and Tips
Regarding Teaching and Learning and the dossier:
For a tenure review, you should include materials from the date of Penn State employment in a tenure-eligible position.
For a promotion review, use materials from the date of the individual’s last promotion or from up to the last TEN years.
Regarding student comments, each one need not be included verbatim. A summary written by someone other than the candidate is sufficient, like the unit head.
Do not rely solely on one source of information (SRTEs)
Address any weaknesses in teaching
Use “excellent, very good, satisfactory, and unsatisfactory”
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

17. Dossier Guidelines and Tips
Research and Creative Accomplishments:
Cover candidate’s entire career
Do not include works in progress and grants not funded for sixth year and promotion dossiers
Service:
Tenure Review: Include materials from date of Penn State employment in a tenure-eligible position
Promotion Review: From date of last promotion or up to last ten years
BIESCHKE – Slide 17: Dossier Guidelines and Tips
Regarding the Research and Service sections of the dossier:
Research and creative accomplishments should cover a candidate’s entire career.
Do not include works in progress and grants not funded
Regarding service, as with teaching … for a tenure review, you should include materials from the date of Penn State employment in a tenure-eligible position. 
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

18. External Letters Four letters are required
Avoid reviews with a conflict of interest
Include a log and only list those who received all materials
Contact between candidate and reviewer is not appropriate
Advance contacts to potential reviewers go through dean or department head/DAA; do not include extraneous communication
Letters should not reference external reviewers using information that reveal an reviewer’s identity
BIESCHKE – Slide 18: External Letters
I’d like to provide some guidance regarding external letters, because my office gets a lot of questions about them.
Four letters are required
Review actual AND perceived conflicts of interest. The key is for such a letter to be from someone who can give an honest and objective evaluation. So, avoid getting letters from fellow graduate students, co-principal investigators, former faculty colleagues, and significant collaborators.
Include a log and only list those who received all materials
There should be no contact between the candidate and the reviewer.
Advance contacts to potential reviewers should go through the dean or department head. If a candidate is contacted, they should report to the head or DAA 
Letters should not reference external reviewers by name or other descriptors that could reveal the person’s identity, such as the institution where that person works.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

19. Statements of Evaluation
For tenure decisions, include all prior evaluative letters beginning with the earliest provisional review
Include names and ranks of committee members in the letter
Vote totals, including abstentions, should be included in the first paragraph of the letter
For split votes, provide more detail including majority and minority views
If a consultation occurs, include details in the letter
Be consistent in use of descriptors (i.e., very good, excellent)
Joint Appointments: Letter from the secondary department head often is required; insert before primary department committee review dossier
BIESCHKE – Slide 19: Statements of Evaluation
Regarding Statements of Evaluation, consider these tips:
For tenure decisions, include all prior evaluative letters beginning with the earliest provisional review.
Include the names and ranks of committee members in the letter.
Vote totals, including abstentions, should be included in the first paragraph of the letter.
Consider having a plan in place that for recusals.  
For split votes, include majority and minority views in the letter. 
Anticipate what the questions might be at the next level and address those. Weaknesses should be addressed.
If a consultation occurs, include details of that in the letter.
Be consistent in use of descriptors (i.e., very good, excellent)
For Joint Appointments: A letter from the secondary department head often is required, but not always. When there is one, insert it before the primary department committee review dossier.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

20. Changes to Guidelines: 2018-19
Among the changes to the Administrative Guidelines for this academic year (complete list available online):
On the external review log, only include those who have received all materials (see III G. 5)
Several fields under “Dossier Dividers and Forms” have been revised (see Appendix F, p. 39)
Several clarifications were made to the immediate tenure process (see Appendix I)
BIESCHKE – Slide 20: Changes to Guidelines:
Because the Administrative Guidelines are so detailed and comprehensive, we publish a separate document annually that features only what has changed in the guidelines from one academic year to the next. You can find that document on the VPFA website’s Promotion and Tenure page, as well.
A snapshot of some of this year’s updates is shown here; you can read details about these changes and the full list of changes online.
Among the most recent changes are:
In Appendix B, an updated timetable for Promotion and Tenure Reviews
In Appendix F, some updated content in the “Dossier Dividers and Forms” section
In Appendix I, some updated content that makes clarification regarding the immediate tenure process
In the FAQs, some changes were made to the questions and/or answers to questions 29 and 46.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

21. FAQ changes
FAQ #46: The log should only include those external reviewers who received all materials
FAQ #29: For those being considered for promotion to full, faculty members may choose to report information about service and teaching activities for up to 10 of the most recent years since the last formal review
BIESCHKE – Slide 22: Frequently Asked Questions
We have a “Promotion and Tenure FAQ,” and it’s posted on the VPFA website, too.
29. When a previous promotion occurred five or more years ago, how far back may one go in regard to including teaching and service information?
Our Guidelines do not specify or mandate a minimum number of years as there is no requirement for time-in-rank to be promoted. Normally, teaching assessments or evaluations and service activities since the last promotion review are included. To provide sufficient evaluations of teaching and service, a faculty member may choose to report information about teaching and service for up to 10 of the most recent consecutive years since the last formal review. If using Digital Measures/Activity Insight, be aware that course and SRTE data may only be available from 2011 and onwards. If a faculty member would like to include course and SRTE data prior to 2011, such data can be entered manually or the faculty member can work with the Faculty Activity Management Services Team enter the data. When running the University Dossier report in Activity Insight, please note that Teaching and Service sections will reflect the data entered for the time period selected while the research section will include information that spans the faculty member’s entire career.  (Page 10, III.C.12.b.)
46. What is the process for logging in external letters, even when a response is not received or in the case of a letter that is non-responsive?
The log should only include those evaluators who received items detailed in line 11 of the External Letters of Assessment section. Do not include preliminary requests made by telephone or by a brief in which potential referees are asked if they would be responsive to a formal written request. (Appendix F, Page 49, dossier divider, “External Letters of Assessment,” bullet points 1 and 4; page 50, dossier divider, “Log of External Letters,”)
Important: The FAQ document is a resource, but it and its content are NOT policy. Follow AC23 and the Administrative Guidelines, and the policies of your college, department or division.
If a question you have is not answered in the FAQ or elsewhere, contact your department head. Contact my office if needed, but only if you have exhausted all other resources and cannot locate the answer you seek.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

22. Outcomes ( )
130 cases were reviewed by the university’s promotion and tenure committee (this total included seven early tenure cases)
Eleven were reviewed by the Provost
95% (124 of 130) were awarded tenure and/or promotion, including all early tenure cases
BIESCHKE – Slide 21: Outcomes
133 cases were reviewed by the university’s promotion and tenure committee (this total included seven out-of-sequence reviews)
Six were reviewed by the Provost
95% (five out of 126) were awarded tenure and/or promotion
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

23. Activity Insight, Other Resources
Activity Insight: Key online software tool, with administrative team available for training and to answer questions
Other reference documents and information
BIESCHKE – Slide 23: Activity Insight and Other Resources
A few words now about even more resources at your disposal:
Activity Insight is an online software tool by Digital Measures designed to help faculty members collect, organize, and display their data for the purposes of annual reviews, promotion and tenure, and more. It is a centrally-funded resource that is aimed at providing an easier, more efficient way for colleges and campuses to manage large reporting processes in a less time-consuming fashion. Activity Insight is a great tool, and we have an expert administrative team available for training and to answer questions about it.
Activity insight is being constantly improved. Some changes in recent years include:
Grants and contracts data is now uploaded quarterly.
It now offers direct integration with Web of Science, Pub Med and many other reference management tools which enable faculty to import publications quickly and easily.
SRTE data is uploaded in real times as it is finished.
The University Dossier report for promotion and tenure does all the formatting, pagination, headings, and sorting thus providing standardization and consistency across the University.
Penn State’s Activity Insight Administrative Team is always available for questions and training-just click on the “Help” button within the system.
There are other policies, reference documents, and resources related to promotion and tenure on the VPFA website and the policy website, policy.psu.edu. Peruse what’s out there because if you’re dealing with something specific and perhaps unusual in a case, it may be covered in another document we have online.
Please make use of training on Activity Insight
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

24. A Few Final Thoughts
Questions? Always start by consulting college, department, division guidelines
Confidentiality, always
Follow University policy, always
VPFA website offers resources
BIESCHKE – Slide 24: A Few Final Thoughts
Key Takeaways:
Questions? Always start by consulting college, department, and division guidelines. Then, call us!
Confidentiality, always.
Follow University policy, always.
The VPFA website offers an abundance of resources.
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS

25. Panel of Experts
Judy Bowman, Human Resources Generalist, Office of the Vice President for Commonwealth Campuses
Sandy Confer, Executive Assistant to the Dean of the University Libraries
Nicola Kiver, Director of Administrative Operations, College of the Liberal Arts
Shawnee Wagner, Records Specialist/Associate, Human Resources

26. Thank You. Questions or Comments?
vpfa.psu.edu
BIESCHKE – Slide 25: Thank You. Questions or Comments?
Thank you so much for your time today.  
The Promotion and Tenure process is a critical one, and the involvement of staff and administrators ensures accountability and efficiency. Thank you for all you do in this area. It truly matters.
A reminder that this PowerPoint presentation will be archived on the VPFA website within a few days, along with the MediaSite recording. They will be posted on the same page where you can find the many documents and other resources mentioned today.
I now welcome any questions or comments you may have.
Up next we will have a panel….
OFFICE OF THE VICE PROVOST FOR FACULTY AFFAIRS