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Academic and Professional Qualifications Policy for Faculty

Adopted by the faculty of the school on 08/18/2006
Amended on 01/05/2007

Preliminary Policy Matters

    1. The Doermer School of Business and Management Sciences (DSBMS) shall have a single standard for determining faculty to be academically or professionally qualified to teach in the AACSB accredited programs of the School. There is to be consistency between the qualification expectations put forth in this document and the campus and school missions, core values, and tenure requirements. Departmental definitions of competence in intellectual contributions are included as Appendix I. The relevant mission and core values statements appear as Appendix II.

    2. The DSBMS will, through the auspices of the Dean's Office convene a meeting of the Department Chairs (or the Chair's designee) for the purposes of reviewing, updating, and improving upon this policy at least annually. The Dean (or his designee) will report the results of the actions of this review with recommendations to the voting faculty of the School. The first such meeting will occur in the fall immediately following the 2007-2008 AACSB Visitation Team's evaluation of the School having been received by the Dean.

Document of Reference

The pertinent reference for this internal operating procedure is the document know as: "Eligibility Procedures and Accreditation Standards for Business Accreditation", AACSB - International, January 1, 2006, Standard #10, pp. 42-49. http://aacsb.edu/accreditation/business/STANDARDS/pdf

The following is drawn from this reference document (pg. 42):

Maintenance of knowledge and expertise supports faculty performance through an appropriate balance, given the school's mission, through contributions over the past five years in all of the following areas:

  • Learning and pedagogical research
  • Contributions to practice
  • Discipline-based scholarship

The school has a clearly defined process by which it evaluates how faculty members contribute to the mission and maintain their qualifications.

Specific policies should be developed to provide criteria by which academically and professionally qualified status is granted and maintained. The criteria should address:

  • The educational background, experience, and demonstrated work outcomes that   are required to attain each status.
  • The priority and value of different activity outcomes reflecting the mission and strategic management processes.
  • Quality standards and frequency of activities and how quality is assured.
  • The quantity and frequency of activities and outcomes expected within a typical AACSB review cycle to maintain each status.

Tenets/Underpinnings of Academic Qualifications for DSBMS Faculty

(This was adopted at the 05/01/06 DSBMS faculty meeting)

    1. DSBMS self-determination of AQ standards is preferred over the imposition of standards by AACSB-International.
    2. DSBMS self-determined standards for AQ must be consonant with the framework of AACSB Standard #10.
    3. The AQ standards must also be consonant with the stated missions of IPFW and SBMS. (see pg. 42 of Std #10).
    4. The AQ standards must reflect ". . .a combination of original academic preparedness (degree completion) augmented by subsequent activities that maintain or establish preparation for current teaching responsibilities." (pg. 43) This issue specifically relates to the faculty member’s area of primary teaching responsibility; the AACSB standard offers six (non-exhaustive) situations for consideration.
    5. The AQ standards must reflect 'quality' as well as 'quantity' of intellectual contributions. (see pg. 42 of Std #10).
    6. The AQ standards should be inclusive of a broad collection of scholarly elements from which a faculty member can build a 'portfolio' of evidence of academic qualifications.
    7. The AQ standards for teaching in the graduate program shall be higher than the standards for teaching exclusively in the undergraduate program.
    8. The AQ standards should be measured annually, cover a rolling five-year period.
    9. The burden of proof that the faculty member is academically qualified shall be rigorous, well documented, and falls upon the faculty member to assemble the documentation to prove to the department and school faculty as provided for in the section entitled "Operationalization" below.
    10. The policy should be reviewed, its effectiveness assessed, and changes made as needed, on a regular schedule. The first such assessment might be appropriate in the fall of 2008, following the input of the AACSB visitation team in spring 2008.

Academically Qualified Faculty Members

    1. To be Academically Qualified it is expected that a faculty member will hold an earned doctoral degree in the field in which that faculty member teaches. Pursuant to the requirements of AACSB Standard 10, that if the area of teaching responsibility in the business field is not in the area of the academic preparation of the faculty member, that the faculty member will be able to document supplemental preparation in the form of professional development which will overcome this lack of academic preparation in the doctoral program. For example, it would be expected that someone teaching in area A, but whose doctorate was in area B would have formal training past the doctorate in area A, the quality of which is confirmed by publications in peer-reviewed journals in area A.
    2. To document the continued development and maintenance of academic qualifications, a faculty member will be expected to document high quality intellectual contributions in media of quality. A faculty member on research release will be expected to produce a greater quality and quantity of scholarly outcomes, than an individual without research release. The burden of proof falls to the faculty member to provide the evidence necessary to document the quality of their scholarly outcomes.
    3. The procedure for determination of an individual’s academic qualifications to teach is:
      • relevant to the individual's assigned teaching efforts,
      • distinct for undergraduate vs. graduate instruction, and
      • based upon one's intellectual contributions (both quantity and quality) over the most recent five-year moving time window.

For purposes of the determination of an individual faculty member's academic qualifications, three levels of intellectual contributions are identified below. Elements within a given level are treated as equivalents for the determination of an individual's qualifications.

Alpha Level of Intellectual Contributions:

  • Publication appearing in a peer-reviewed journal (see definition below)
  • First edition of a scholarly book
  • First edition of a textbook with support materials
  • Notes/Comment published in top-tier peer-reviewed journal (see definition below)
  • Editor of an academic or professional journal

Beta Level of Intellectual Contributions:

  • Invited article
  • Case with teaching note appearing in other than peer-reviewed journal (see definition below)
  • Editor of book
  • Book chapter
  • Published monograph
  • Published book review
  • Published software for courses
  • Published conference proceedings
  • Associate / Area editor of an academic or professional journal

Gamma Level of Intellectual Contributions:

  • Published abstract
  • Notes / Comments published in non-top-tier peer reviewed journal
  • Reprinting of previously published article
  • Revision of textbook or scholarly book
  • Member of standing editorial review board
  • Conference program chair
  • Recognition / Award (external to SBMS) for intellectual contribution
  • Maintenance of professional licensure

Definition of "Peer-Reviewed Journal"
Scholarly journal articles are expected for those qualified to teach in either the graduate or the undergraduate AACSB accredited programs. The content of the scholarly article may be any of:

  • Learning and pedagogical research, {including cases with teaching notes}
  • Contributions to practice, or
  • Discipline-based scholarship,

as long as the publishing media is a scholarly journal fulfilling the following definition:

  • Peer reviewed, in which a rigorous blind assessment of the work is conducted, and a decision to publish is based on the results of this assessment by independent, third party scholars.
  • That the acceptance rate, impact factor, and circulation of the journal are sufficient to prove that the journal is well received and respected in the field, and of high quality.
  • A journal in which the results of original research routinely appear in the field in which the faculty member teaches.
  • Publication in the top-tier of journals (defined as: impact factor in the upper five percent of journals in the field, very low acceptance rates, highly respected, consistently ranked highest in bibliographic studies, and large circulations of 5,000 or more), shall be given credit as publication of two typical articles.
Definitions of "Academically Qualified"

  • During any rolling five year period, to be academically qualified to teach in the undergraduate (AQU) or graduate (AQG) AACSB accredited program(s), a faculty member must meet each of the following minimum counts:

I.C. Level

AQ Undergraduate (AQU)

AQ Graduate (AQG)

Alpha

2

2

Alpha plus Beta

3

4

Alpha plus Beta plus Gamma

5

7
  • Alternatively, a faculty member may be deemed AQU or AQG through the achievement of three (3) elements from level Alpha alone during the rolling five-year period.
Aspirations regarding definitions of "Academically Qualified"

Within three years of initial implementation of this policy and through continuous improvement, the faculty of DSBMS aspire to three (3) refereed journal publications in one's academic discipline in any five-year moving window.

Special Situations Impacting Academic Qualifications:
  1. Newly hired faculty with a terminal degree will be deemed to be academically qualified to teach in the area of their degree for the first five years following the conferral of such degree. During that period, they should be producing intellectual contribution outcomes that will enable them to be qualified beyond the initial five-year period.
  2. Newly hired faculty who are "All-But-Dissertation" (ABD) will be deemed not to be academically qualified until they successfully complete the terminal degree.
  3. Faculty holding either full or part time administrative appointments, who return to full-time faculty positions must be academically qualified to teach in their area. Thus, all such administrators must maintain their academic qualifications to return to a 'normal' teaching load within their department.
  4. Any faculty member taking an approved leave of absence due to injury or illness will have the minimum counts for the various intellectual contribution levels adjusted downward on a prorated basis to the actual number of academic semesters employed without the leave during the five-year rolling window.

Professionally qualified (PQ) faculty members will have current and substantial relevant work experience in the field in which they teach.

  • Executives and senior professionals, either current or retired who had significant responsibility in the area in which they teach shall be deemed professionally qualified as long as they are no more than five years from the end of that relevant work experience.
  • To maintain such relevant executive experience requires continued active work in the field as an executive, or consultant. Such work must be current and demonstrably relevant.
  • For those who teach in a field in which there is licensing, (e.g. CPA, CPIM, lawyer etc.), the person must maintain that license and meet all continuing education requirements for that licensing.
  • For any professionally qualified person there must also be scholarly outcomes during a rolling five-year period. These scholarly outcomes may include a broad spectrum of scholarly activities {are not restricted to peer reviewed journal articles}, and may be primarily pedagogical or practitioner oriented. Over a five year period, for a full-time person teaching twelve hours, it is expected that there will be two such scholarly outcomes from an individual seeking to maintain his/her professional qualification status. The expectation of scholarly outcomes of those with Professional Qualifications, who are teaching in the graduate program, should be greater (quantity and/or quality) than those PQ faculty teaching exclusively in the undergraduate program.

The burden of proof that the faculty member is professionally qualified shall be rigorous, well documented, and fall upon the faculty member to prove to the department=s faculty. Each professionally qualified person must prove their professional qualifications to School faculty as provided for below.

Operationalization via the DSBMS Qualifications Committee

(This section was adopted at the 05/01/2006 DSBMS faculty meeting)
The Dean or his designee shall annually call a meeting during the Spring semester, upon receipt of the annual reports of the faculty, including the furnishing of evidence of qualification for professionally qualified candidates. The Committee shall consist of the Department Chairs (or their designees) and the Dean or his designee. The Committee shall review the qualifications of each faculty member and determine whether each faculty member is academically qualified, professionally qualified, or not qualified. Each faculty member shall be informed of their status, and any professional development activities determined to be beneficial for the faculty member in maintaining or re-establishing their qualifications, which shall be corrective rather than punitive. Any tenured/tenure track faculty member who fails to be deemed qualified (academically or professionally), shall together with the department chair, and with input from the dean's office, create a plan that results in the reinstatement of formal academic qualifications within the next three years.

Appendix I

Pertinent excerpts from departmental promotion and tenure documents:

From the Department of Accounting and Finance Reappointment, Promotion & Tenure Policy; approved 02/21/01; effective 06/01/01:

"II. A. Intellectual Contributions Evaluation Guidelines: Introduction
The Faculty Handbook for Indiana University and SBMS policies expect contributions of quality (footnote: which should demonstrate substantial achievement beyond the terminal degree.). The candidate's scholarly contributions, as part of the Promotion and Tenure process, must be assessed by authorities in the candidate's field, outside of IPFW. . . {reference to prior DSBMS mission statement appears here} "

"II. B. Types of Intellectual Contributions (in descending order of importance):

  1. Journal articles
    In evaluating journals, the following criteria(not inclusive) may be applied:
    (1) acceptance rates, (2) where the journals are indexed, (3) frequency of citations of articles from the journals in other refereed research and leading textbooks, (4) reputation of the publishing agency and (5) other factors deemed appropriate in determining the quality of the specific journal. The peer reviewed process is held to be the foundation of the quality control process applied to published scholarly contributions.

It is recognized that the normal publication-review procedures of scholarly publications differ depending on the field of study. A publication or article is "peer reviewed" for purposes of this policy if:

  1. articles submitted for publication are reviewed by persons knowledgeable in the field, who review a number of articles submitted for publication and determine collectively, based on articles' intrinsic merit, which article(s) will be published; and
  2. the review process in any particular case generally conforms to standard practices of scholarly publications in the subject area.

2.Scholarly books
3.Textbooks authored
4.Textbooks edited
5.Refereed proceedings and cases
6.Scholarly book review
7.Non-refereed proceedings and cases
8.Conference presentations
9.Other publications not categorized above"

  1. "II. C. 2. Personnel Actions: Competence in Intellectual Contributions
    From Assistant to Associate Professor:
    Normally, to document competence in intellectual contributions, the candidate must provide evidence of three single or co-authored articles published or accepted for publication in refereed journals. In addition, there should be proceedings and/or presentations in international, national, or regional conferences. A clear research agenda should be in place to achieve continuing scholarly activity."

From the Department of Economics Promotion & Tenure Policy; approved 11/07/96; amended 12/12/96:

"Research

Research consists of basic scholarship, applied scholarship, and/or peer-reviewed instructional development activities (e.g. publication in pedagogical journals). {citation of IU Academic Handbook and AACSB Standards}

To establish competence in research for the purposes of tenure or promotion to Associate Professor, the candidate must have published or have had accepted for publication at least three refereed journal articles. To establish competence in research for the purpose of promotion to Professor, the candidate must have published or have accepted for publication at least six refereed journal articles.

If research is the primary basis for promotion . . .{this paragraph is only relevant to establishing 'excellence' in research}

In all cases, the candidate is expected to publish regularly in journals of quality and to have the quality of his/her work assessed by authorities in the field outside of IPFW. (See OAA Memorandum 96-10 #2 for definition of "publish regularly" and consider "journals of quality" to consist of those journals which are recognized by peers as being sources of competent reports of research.) Articles assessed to be of exceptional quality shall be given appropriately greater weight and the candidate's paper presentations, proceedings, and other intellectual contributions shall be given appropriate, but subsidiary, consideration.

In addition (for promotion to professor) . . . {the balance of this paragraph is specific to promotion to full professor rank}"

From the Department of Management and Marketing, Reappointment, Promotion & Tenure Handbook; adopted 05/09/97:

"II. A. Intellectual Contributions Evaluation Guidelines: Introduction
The Faculty Handbook for Indiana University, as well as the current policies of SBMS and the Department, expect publications in media of quality. The candidate’s work must be assessed by authorities in the candidate’s field, outside of IPFW. . .{reference to prior DSBMS mission statement appears here} "

"II. B. Types of Intellectual Contributions:
1.Journal articles

In evaluating journals the following criteria may be followed:
(1) acceptance rates, (2) where the journals are indexed, (3) rankings of journals by other academic institutions, (4) frequency of citations of articles from the journals in other refereed research and leading textbooks, (5) reputation of the publishing agency and (6) other factors deemed appropriate in determining the quality of the specific journal. The review process is the foundation of the quality control applied to research.

2.Scholarly books (Published by a reputable publisher)

Following items are in descending order of importance:
3.Textbooks
4.Edited books
5.Refereed proceedings and cases
6.Scholarly book review
7.Non-refereed proceedings and cases
8.Conference presentations
9.Other publications:
Publications not categorized above"

"II.C.2.Personnel Actions: Competence in Intellectual Contributions:

a.From Assistant to Associate Professor:
Normally, in order to document competence in Intellectual Contributions, the candidate must provide the equivalent of three articles in refereed journals. In addition, there should be significant number of proceedings and or presentations in international, national or regional conferences."

Appendix II

Campus Mission Statement:

"IPFW is a public comprehensive university, created by Indiana University and Purdue University to serve the higher education needs of northeast Indiana. Our mission is to offer a broad range of high-quality undergraduate, graduate, and continuing education programs that meet regional needs; to support excellence in teaching and learning; to advance and share knowledge through research and creative endeavor; and to work with the community to develop intellectual, cultural, economic, and human resources."

Richard T. Doermer School of Business and Management Sciences Mission Statement:

"Enhance regional economic growth through excellence in Business education."

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