Duquesne University Criteria for Dissertation Service Working Document Accepted by Graduate Council May, 2007
Dear Colleagues, At its February 6, 2007 meeting, Graduate Council members considered carefully the discussion that took place at the Faculty Senate Open Forum on Criteria for Dissertation Service, which was held on January 8, 2007. Minutes, taken by the Faculty Senate graduate assistant, were distributed to all concerned shortly after the meeting. Having considered the concerns and suggestions raised at the Forum, and committed to maintaining the highest standard of quality for both students and faculty, the Graduate Council invited the following from each School which offers doctoral degrees. We asked that each School describe a process by which its members will determine qualifications for faculty to serve on dissertation committees. We recognize that schools and disciplines have varying requirements and expectations for their graduates, consistent with the professional and theoretical standards of their respective disciplines. We asked that a procedure be recommended that includes involvement and accountability at the program and/or department level, and at the level of the dean, which embraces standards for those who will guide our next generation of scholars and professionals as they earn terminal degrees. While recognizing the unique context of each school and discipline, we asked that the recommended procedure be consistent with the following: the major goals of the university s Strategic Plan (Spiritan identity and mission, quality of students experience, national reputation for academic excellence); the belief that students earning terminal degrees should benefit from the highest quality teaching and guidance from those knowledgeable about current literature and practice in their fields; that committee members should possess dispositions consistent with quality mentorship; that junior faculty members have a major contribution to provide to our graduate students, including as committee members; and that the system of accountability supports the above assumptions while also respecting the skills of faculty members whose talents may best be used in other forms of teaching and academic service. We requested that a discussion be held between and among the dean, the school s Graduate Council representative, the school s Faculty Senate representative, and others as the school deemed appropriate, to formulate a procedure and recommendation for that school. Such procedures could certainly build on existing structures rather than adding new structures. We asked that the recommended procedure be submitted in writing to the individual school s Graduate Council representative no later than the May meeting of Graduate Council so that a recommendation could be made to Academic Council which embraces both a university wide standard of excellence while also supporting the variations necessary to disciplines within each school. We most sincerely appreciate the attention each School gave to this important initiative as we grow in stature as a university while maintaining our commitment to community and diversity. We respectfully submit this document as the first working set of dissertation service criteria, and look forward to continuous learning and improvement as we discuss the fruits of this labor in the coming year. Sincerely, Members of Graduate Council May, 2007
School of Education Criteria for Doctoral Dissertation Committee Service Policy Prerequisite Experience: A faculty member must have served as a committee member on at least two defended dissertations as a faculty member at Duquesne University prior to agreeing to chair or co-chair a doctoral dissertation. New faculty hires are automatically granted Dissertation Faculty status. Dissertation Faculty: Faculty must be a full time faculty member with a doctorate. Faculty are permitted to serve as a member, co-chair or chair of doctoral dissertation committees. A minimum of four scholarly units during a four-year period are needed to maintain Dissertation Faculty status. The following are suggested values for scholarly activity. Exceptions to the suggested activities values can be made on an individual basis by a petition to the Department Chair. Scholarly activity equal to 2 units One funded major peer reviewed external grant (as determined by Department Chair) One book published by a recognized publisher of books of the discipline Editor or Associate Editor of a major journal or monograph series Scholarly activity equal to 1 unit One unfunded peer reviewed external grant One presentation at a national or international conference (as determined by Department Chair) One publication in a national peer reviewed journal One book chapter in an edited book published by a recognized publisher of books of the discipline Editorial Board member One monograph (as determined by Department Chair) Evidence of the scholarship of teaching and learning (as determined by Department Chair)* Service as dissertation chair Dissertation Faculty status will be reviewed every four years. Other committee members or a co-chair may be included at the discretion of the Department, but may not supersede the above standards. That is, only full time Duquesne University faculty members with a doctorate can chair or at least one full time Duquesne University faculty member with a doctorate is required to co-chair a doctoral dissertation committee. Procedure Dissertation Faculty status is verified by the Department Chair in association with the annual review process. Every four years, faculty wishing Dissertation Faculty status will complete a
form documenting at least four scholarly activity units to be attached to the annual report. A master list of Dissertation Faculty will be maintained in the Office of the Associate Dean for Graduate Studies and Research. Grandfather Rule (applies to the 2008 Academic Year). All full time faculty are grandfathered to have Dissertation Faculty Status. Current agreements to serve on dissertation committees continue to apply. Implementation of the initial review will begin Fall, 2007 and be completed before Fall, 2008. By Fall, 2008 all faculty members wishing Dissertation Faculty status will have been reviewed. * The definition for the scholarship of teaching and learning used in this policy is provided by Huber and Hutchings (2005) in The Advancement of Learning: Building the Teaching Commons that states the four processes of the scholarship of teaching and learning are: 1) framing questions, 2) gathering and exploring evidence, 3) trying out and refining new insights in the classroom, and 4) going public with what is learned in ways that others can build on. Maximum total value for dissertation service is 2 units during a four year period. Dissertation service is counted when the dissertation is defended, i.e., the signed dissertation signature page provides documentation. Proposal for Dissertation and Thesis Direction McAnulty College and Graduate School of Liberal Arts The graduate programs in the McAnulty College have a long and distinguished history of granting Ph.Ds. Currently, we grant doctorates in English, Communication and Rhetorical Studies, Theology, Philosophy, and Psychology. Our current way of determining faculty who will direct dissertations, in each of our departments, is by allowing any tenure track or tenured faculty member to be eligible. The rational for this is as follows: 1. In the humanities, there are a very wide-ranging number of areas in which graduate students want to choose to write dissertations. Since our faculties are relatively small, even compared to our peer programs, we need to have as many faculty members as we can to give students the opportunity to write in a relative wide number of areas. 2. In the humanities, it is commonly understood that if a professor has developed an expertise in a certain topic area or on a certain figure, it does not require the kind of updating that is needed to maintain expertise in some of the more technical and/or science-based disciplines. 3. We hire faculty members with the direct intention of having them serve as graduate faculty. It is understood that a faculty member tenured in one of our departments is ipso facto of the quality to be a graduate faculty. In fact, in our hiring ads, we require that the person hired will be expected to direct dissertations.
4. In the humanities, publication time frames and venues vary across disciplines, but the pace of publishing generally assumes that knowledge is cumulative rather than dependent upon the pressure of new discoveries; additionally, the process of humanities research and the production rates of academic presses and journals combine to create a publishing context that cannot be best measured through quantifiable, yearly measures in any one individual s case. 5. Most of our humanities departments have developed an effective practice by which if the director of a dissertation is unable effectively to oversee a certain part of a dissertation, he or she can work with the first and second readers to foster effective direction for the graduate student. 6. In the humanities, the graduate students themselves in many cases do a good job in discerning which particular faculty members will be most effective for them. 7. In the humanities, we have seen successful job placement rates for our Ph.D. students, despite a restrictive job market. The following figures indicate these placement rates over the past decade and suggest the high regard with which our doctoral students meet: Theology: 1996-2006: 62 completed dissertations. At least 40 have positions at colleges, universities and or seminaries. English: 1995-2006: 51completed dissertations; 39 college-level academic positions (fulltime) Rhetorical Studies (program launched in 1999-2000): 2003-2007: 22 completed dissertations; 20 college-level academic positions Philosophy: 1996: 52 people defend their dissertations; 38 are employed either part or full time, in university or seminary teaching. Psychology: 1997-2007: 125 graduates. We only have record of employment from our clinical program since 2000. Of the 94 students that graduated there are 52 students that have told us they are employed in their field. Others have not informed us of their status. 7. In the humanities, we value productivity and active scholarly engagement across a range of activities that includes but is not limited to scholarly publication. 8. In the humanities, there is not a clear correlation established between scholarly production through publication and excellence in dissertation/thesis direction. Direction of dissertations involves forms of mentoring that are not measurable through quantifiable means. 9. The humanities dissertation and its quality is considered a result of collaborative work within a departmental community and the Graduate School of Liberal Arts, extending from the doctoral exam process through the dissertation defense. In each humanities doctoral program, committees function collaboratively; the department has input at various stages in the process;
and the Chair and Dean must sign the dissertation proposal and final dissertation. Effective checks on the quality of the dissertation and its direction are built in to the programs. For these reasons, we propose that we maintain our current system of assigning dissertation directors within our departments, with the following common practices assumed: I. Qualifications to Direct a Dissertation/Thesis A. Must hold a PhD B. Must be endorsed through the Chair of the Department (see II.A) C. Must be approved by the Dean, in consultation with the Chair D. In the case that the Dean and Chair disagree, a meeting would be set up between all parties, and as a last resort, an appeal could be made to the Faculty Grievance Committee II. Procedures for Endorsement and Approval A. At each annual review of faculty by the department chair, which includes a meeting between the Chair and the faculty member, followed by a written report forwarded to the Dean, attention will be paid to the indicators of performance deemed necessary for a dissertation director (such as, active publication, conference presentations, course development, mentoring skills, experience with doctoral exam and dissertation work, teaching performance). In the Chair's report to the Dean on the annual evaluation of a faculty member, the Chair will indicate in writing that the faculty member does or does not qualify to direct dissertations, with the reasons for that assessment. B. Graduate Program Reviews, which are anticipated every 7 years and require both a self-study and an external review, will help insure the quality of the dissertation and thesis process. C. The hiring process for new faculty will continue to assume the quality necessary to work within a graduate program that is then substantiated by yearly departmental and institutional reviews. GRADUATE SCHOOL OF NURSING Requirements for Directing Dissertations and Teaching Graduate Level Courses Category I Faculty must possess either a terminal degree in the discipline, an equivalent in the form of professional experience, or a clinical or research based terminal degree. Faculty is permitted to teach graduate courses but cannot participate as a member of thesis or dissertation committees. Category II Faculty must possess a clinical, professional, or research based terminal degree. Faculty is permitted to teach graduate courses and serve as a member or chair of thesis committees, and serve as a member or co-chair of dissertation committees. A minimum of two units of scholarly activity during a four-year period are needed for Category II status. Category III
Faculty must possess a research based terminal degree. Faculty is permitted to teach graduate courses and serve as a member or chair of thesis or dissertation committees. A minimum of four scholarly units during a four-year period are needed for Category III status. The following are suggested values for scholarly activity. Exceptions to the suggested values can be made on an individual basis by a petition to the Graduate Council. Scholarly activity equal to two units: One funded major peer-reviewed external grant (as determined by College or School) One book published by a recognized publisher of books of the discipline One patent Completion of a post-doctoral experience Editor of a major journal or monograph series Scholarly activity equal to one unit: Three unfunded peer-reviewed external grants Three invited presentations at regional, national, or international conferences (as determined by College or School) One publication in a major or peer-reviewed journal One book chapter in an edited book published by a recognized publisher of books of the discipline One juried or peer-reviewed exhibition (scientific paper or poster) One monograph (as determined by the College or School) Graduate faculty status will be reviewed every four years. Implementation of the initial review will begin Fall 2007 and will be completed before Fall 2009. By Fall 2009 all faculty members wishing graduate faculty status will have been reviewed. Faculty meeting these criteria will be appointed to Graduate Faculty Status at the school and university level. New hires must have achieved two points in the four years immediately preceding faculty appointment. GRADUATE SCHOOL OF PHARMACEUTICAL SCIENCES Requirements for Graduate Faculty Status Graduate Faculty Activities: 1. Teaching graduate level courses. 2. Direction of research at the graduate level. 3. Writing grant applications and obtaining extramural funding for research projects. 4. Presentation of research accomplishments at regional, national and international meetings. 5. Publication of research work in refereed journals.
The above activities will be expected of all faculty members of the Graduate School of Pharmaceutical Sciences (GSPS), and they will be evaluated on all of the above. The true indicator of scholarly activity is publication of one's research in a refereed, reviewed journal. Thus, the criterion for graduate faculty status will be defined based on a publication record which is an excellent barometer of the effective utilization of items one through four listed above. This criterion is required separate from those required for promotion and/or tenure. The minimum criterion for graduate faculty status is as follows: Assistant Professor All assistant professors who are hired in a department offering a graduate degree will receive provisional graduate faculty status. Provisional graduate faculty have all the privileges of regular graduate faculty, i.e., to engage in items one through five. At the time of the third year evaluation, graduate faculty status will be confirmed or provisional status will be continued based on the faculty member's publication record. A faculty member may apply for regular graduate faculty status at any time by submitting appropriate credentials to the Dean of the GSPS. The credentials will be reviewed by a committee, which shall include, if possible, at least one graduate member from the applicant's discipline; and a report will be made to the Dean of the GSPS. In order to continue as a regular graduate faculty member, an assistant professor must have at least three independent publications, monographs, patent applications, or combinations thereof on which the faculty member is listed as the principal author, and which are the result of research originated by the faculty member. These publications must have been accepted by refereed journals in the area of the faculty member's specialty for publication by the end of the fifth year. Faculty who request that credit be given for tenure consideration for time spent at other academic institutions will be required to use the same time for criterion for graduate faculty status. Associate and Full Professors The minimum criterion will be one independent (principal author) publication in a refereed, reviewed journal or a monograph or patent application in the area of the faculty member's specialty each year over a period of five years. While this is a minimum criterion, graduate faculty are expected to perform above this minimum criterion. For faculty members who do not meet this minimum criterion the following will apply: Associate and Full Professors A period not to exceed one year will be allowed to make up deficiencies, i.e., one independent publication for each year. During this time the faculty member will not be permitted to accept new graduate students. A committee, which shall include, if possible, at least one graduate member from the applicant's discipline, will be appointed by the Dean of the GSPS which will
evaluate the progress being made by the faculty member. In the event that satisfactory progress is not being made as deemed by the graduate committee and the Dean of the GSPS, graduate faculty status will be withdrawn and co-directors will be appointed for existing graduate students under the faculty members direction. (As approved by the Graduate Faculty 3/12/2007) Rangos School of Health Science Criteria for membership on a dissertation committee: Our criteria for membership on a dissertation committee are not based solely on the qualifications of each individual member, but depend in part on the makeup of the committee as a whole. A dissertation committee shall include a minimum of three members. The Chairperson and majority of committee members must hold a research-based doctoral degree. At least one member of the committee must have a Ph.D. Additional members (non-majority) may hold a terminal clinical degree (the highest earned professional degree) but may not chair the committee. Individuals that meet the Criteria for Membership on a Dissertation Committee from outside the Rangos School of Health Sciences or from outside Duquesne University can serve as members of the committee but may not chair the committee. All members must show evidence of scholarly activity over the past 5 years that either: Contributes to the development or creation of new knowledge Contributes to the critical analysis and review of knowledge within a discipline for the purpose of application in the profession Contributes to the development of critically reflective knowledge about teaching and learning All members must show evidence of scholarly activity via a minimum of three (3) peer-reviewed activities over the past five (5) years. For example: Peer-reviewed publications of research, theory, or philosophical essays; policy analysis; case studies; integrative reviews of the literature or meta-analyses related to practice problems; syntheses of knowledge/application to professional practice; or, peer-reviewed publication of research related to teaching methods/learning outcomes or development/testing of learning theory or educational models Peer-reviewed presentations of research theory, or philosophical essays; policy analysis; case studies; integrative reviews of the literature or meta-analyses related to practice problems; syntheses of knowledge/application to professional practice; or, peer-reviewed presentations of research related to teaching methods/learning outcomes or development/testing of learning theory or educational models Invited professional presentations of research, theory, or philosophical essays; invited professional presentations for the purpose of synthesizing knowledge/application to professional practice; or invited professional presentations related to teaching/learning Published books and/or chapters in books containing scholarly content Editor or editorial board member for peer reviewed journal External grant awards to support research/scholarly activity
Determination of eligibility to serve on a dissertation committee will be made by the Department Chair based on documentation of scholarship included in the annual review. The Department Chair s determination is then forwarded to the Dean of Health Sciences for final approval. Eligibility to serve on a dissertation committee, once initially determined, must be reevaluated every 5 years. Exceptions to this policy need to be reviewed and approved by the RSHS PhD Program Committee. To be added soon. School of Natural and Environmental Sciences