Operational Definitions of Excellence in Graduate Education

OPERATIONAL DEFINITIONS OF EXCELLENCE IN GRADUATE EDUCATION:
University, School, Department, Faculty, Students
Graduate Education Council
September 2003

Introduction

This document presents the Council's assessment of how to define excellence at all levels in the doctoral programs. We address the issue of excellence at five levels: the university, the school, the department, the faculty, and the students. These levels are addressed separately in order to emphasize that, at each level, there are elements that go beyond those of the subsequent levels. For example, an excellent school is not only a collection of excellent departments; it tries to take advantage of synergies among those departments. Similarly, an excellent department is not only a collection of excellent individual faculty members; it is a department in which faculty members work together to build synergy.

Excellence within the university, schools, departments, faculty and students can be maintained only through the strong investment of the university in sustaining and nurturing graduate education. This is a matter of resources, but also of philosophical commitment to the importance of graduate education within the university.

The document seeks to answer the following questions:

• How do we recognize excellence?
• What are the elements that assure excellence?
• How do we assess the potential for excellence?
• What are the measures we can take to assure excellence?

We have prepared this document so that each section can stand alone. In several instances, there are elements which are repeated at each level, because they are relevant to every level. We believe that these elements taken together describe a pathway towards achieving genuine excellence in graduate programs.

Operational Definition of Excellence -- University

1. How do we recognize excellence in Ph.D. programs at the University level?
   
   
   • The university is externally acknowledged for the quality of its interdisciplinary and multi-disciplinary programs;
   • The university is externally recognized for the quality of its graduate faculty;
   • Schools are encouraged and supported to collaborate in the design and development of important new research areas.
   
   
2. What are the elements that ensure excellence?
   
   
   • The enunciation of a clear vision;
   • The recognition that graduate teaching and research are university priorities, and the effective implementation of these priorities;
   • A system which rewards innovation in both departmental and multi-disciplinary graduate teach and research with promotion, tenure and appropriate compensation;
   • A system of fund-raising in support of graduate teaching and research, regardless of school or departmental affiliation, and for multi-disciplinary efforts;
   • The creation of more university-level professorial appointments with adequate program support.
   
   
3. How do we assess the university's potential for excellence?
   
   
   • Its ability to attract outstanding faculty and scholars;
   • Its ability to attract first-rate graduate students;
   • The ability of graduate faculty and students to obtain grants, fellowships and prizes;
   • The existence of suitable research facilities, such as libraries, laboratories, working-space for graduate students and state-of-the-art information technology;
   • Incentives for deans to support both school-based and interschool-based programs.
   
   
4. What are the measures to assure excellence at the university level?
   
   
   • Support for both traditional and innovative (interschool, multi-disciplinary) graduate programs by the President and the Provost;
   • Support by the President, Provost and Deans for innovative and strong graduate research;
   • A systematic quest for national and international recognition of faculty and their research accomplishments;
   • Provision of administrative services and support;
   • Provision of the best facilities and space for faculty, students and programs;
   • Reinvestment of ICR funds directly into the graduate programs which generate them;
   • Initiatives by the development staff to raise financial support from individuals, alumni, corporations, foundations and government agencies.

Operational Definition of Excellence - School

1. How do we recognize excellence in schools that have Ph.D. graduate programs?


• They place graduate education as a high priority in their over-all educational mission, as revealed by a significant and sustained commitment of resources (financial, facilities, faculty/stuff);
• They are acknowledged for the high-quality research, scholarship, extra-mural funding and productivity of their graduate program(s), including students and faculty;
• They are recognized for the significant scholarly contributions and successes of their graduate and their faculty;
• They clearly convey and make operational the expectations, policies and procedures of their graduate program(s);


2. What are the elements that assure a school's excellence?


• Engaging in active program planning/review to ensure updated course offerings, degree requirements, research environment (facilities and support) and professional expectations;
• Placing value on and making a commitment to graduate education;
• Sustaining and allocating resources for graduate education;
• Sustaining programs to recruit and retain high-quality faculty.


3. How do we assess a school's potential for excellence?


• The ability to attract and matriculate bright, well-prepared and motivated students;
• The quality, reputation, enthusiasm and commitment of its graduate faculty;
• The quality of its academic program offerings, including courses, seminars, workshops, and symposia;
• The unequivocal commitment of administrative support by its dean.


4. What are the measures we can take to assure excellence at the school level?


• Ensuring that all the elements listed in #2 are in place;
• Ensuring sufficient graduate faculty to permit a sense of intellectual community and to allow for a reasonable workload for each faculty member;
• Ensuring sufficient high-quality support staff;
• Ensuring that adequate facilities, space, staff and research assistance, and travel opportunities are available;
• Appointing academic administrators (deans, department chairs) who, along with their faculty, understand and implement the mission of excellence in graduate education;
• Providing adequate resources to ensure that school-based graduate programs attract and retain the highest quality students.

Operational Definition of Excellence - Department/Program

1. How do we recognize excellence in departments or programs that offer Ph.D. degrees?


• National ranking (for programs that are ranked professionally);
• High level of external funding (with respect to peer institutions in terms of program scope and faculty numbers, recognizing that not all disciplines have equal access to funding);
• High percentage of soft money for faculty compensation where possible;
• Career achievements of alumni -- professions, professional recognition;
• Collective publication records for faculty and student in the department or program;
• Collective presentation and invitation records for faculty and students in department or program;
• Collective professional recognition of faculty and students for achievements;
• Opportunities exist for faculty and students to participate in professional activities outside of the university;
• Atmosphere of collegiality;
• Joint grants (co-PIs), joint publications (more than one faculty member) and related joint professional activities create or enhance synergy among and between faculty in departments and programs;
• Collective teaching/course evaluations of faculty;
• Collective contributions to community, school, university and profession;
• Average scores/evaluations (GPA, GREs, rank in class, etc.) of applicants and matriculated students to the department or program.


2. What are the elements that assure a department's or program's excellence?


• Placing value on and making commitment to graduate education;
• Sustained allocation of resources to graduate education;
• Active program planning/review to ensure update course offerings, degree requirements, research environment (facilities and support) and professional expectations;
• A sustained program to recruit and retain high-quality faculty;
• A critical mass of expertise and interest to support the program or department.


3. How do we assess a department or program's potential for excellence?


• Its ability to attract and matriculate bright, well-prepared and motivated students;
• The quality, reputation, enthusiasm, funding success and commitment of its graduate faculty;
• The quality of its academic program offerings, including courses, seminars, workshops and symposia;
• The commitment of administrative support at the department chair or program director level, both in philosophy and in resource allocation;
• A comprehensive program, which includes:
• A narrative description of the program. This should include program structure, degree requirements, a description of the qualifying exam and a description of program seminars and current literature;
• A list of required and elective courses with descriptions, syllabi and evaluations. In addition, any new courses being planned and the mechanism for reviewing the department's or program's course selection;
• A description of the mechanism for student advising and evaluation;
• A list of faculty with a curriculum vitae, training and funding records, and departmental or program roles for each member, along with any faculty from other locations interacting with the program;
• A list of program seminar speakers for the last five years;
• The mechanisms for sharing results among the various research groups within the program;
• A list of departmental or program graduates, the dates of their graduate training, and their present professional status, including the number of students who withdrew from the program or left without completing a Ph.D. since the last review of the program;
• A list of current students with the undergraduate institution and GPA, GRE scores, current supervisor and current research project;
• Graduate applicant data for the last five years;
• Connections with other programs;
• An evaluation of the program's strengths and weaknesses;
• Immediate, and long-term, plans and goals;
• An analysis of whether the program's resources adequately support current and projected needs.


4. What are the measures we can take to assure excellence?


• Ensure that all the elements listed in #2 are in place;
  
• Ensure sufficient graduate faculty to permit a sense of intellectual community and to allow for a reasonable workload for each faculty member;
  
• Implement a reward/incentive program for faculty who pursue salary on soft money (where possible);
  
• Ensure that sufficient high-quality support staff, facilities, space, research assistance and travel opportunities are available;
  
• Provide adequate resources to ensure that school-based graduate programs attract and retain the highest quality students;
  
• Appoint academic administrators (chairs, directors) who, with their faculty, are engaged with and committed to the mission of excellence in graduate education.

Operational Definition of Excellence - Faculty

1. How do we recognize excellence in faculty?


• High level of research productivity and professional engagement and recognition, viz.:
• Conducts research and scholarship, which advance knowledge in the field;
• Seeks and secures external funding;
• Publishes in the permanent (i.e., books and refereed journals) as well as in the ephemeral (i.e., professional reports) literature;
• Is invited to participate in professional conferences and meetings;
• Is invited to serve on policy-making panels and committees at a national and international level;
• Is invited to lecture and teach at other universities;
• Receives professional recognition, such as honors, awards and prizes;
• Is a member of honorary societies and professional organizations.
• High-quality mentoring and teaching, viz.:
• Participates in teaching in the school or department; receives high evaluations from students and in school/departmental periodic course evaluations;
• Serves as academic advisor; is aware of current policies and procedures of the school or department;
• Treats students respectfully as fellow professionals;
• Is accessible to students for academic and professional advice;
• Provides opportunities for students to participate in or conduct research, to participate in professional activities, such as conferences, meetings, consultancies;
• Provides career advice and assists in finding internships and employment opportunities for students and graduates;
• Maintains relationships with program graduates;
• Offers students a role model of professional behavior;
• Exemplifies the highest ethical standards.
• Collaborative and collegial relationships within the department, school and university.
• Citizenship within the department, school, university, and profession, viz.:
• Is willing to serve on doctoral defense and thesis committees;
• Is willing to serve on academic and administrative faculty committees of the department, school and university;
• Brings recognition to the school through participation in activities of professional organizations;
• Engages in professional entrepreneurship (e.g., consulting, developing patents, involvement in the private sector);
• Serves on editorial boards and award committees, reviews grant proposals, books, and papers.


2. What are the elements that assure faculty excellence?
   
   
   • An active intellectual community within the department, school and university; opportunities to interact and learn about the work of others; a critical mass of colleagues;
   • Facilities (libraries, access to books and journals, computers and information technology, space) which support scholarship, specifically:
   • Keeping up to date with developments in the field;
   • Being alerted to research opportunities;
   • Structured opportunities within the school, program or department, such as regular seminars, discussions of current literature, faculty meetings, periodic faculty lunches or coffees, for faculty to interact and learn of each other activities and to develop collegial relationships;
   • Opportunities to participate in professional conferences and meetings (e.g., resources for travel).
   • Opportunities for professional development: courses, workshops, and training programs, both inside and outside the university;
   • Staff support in preparing grant proposals and manuscripts for publication;
   • Staff support for student services (including academic and career advising), so that faculty can concentrate on substantive interactions with students on professional issues and those that bridge the professional and the personal;
   • A reasonably balanced and appropriately credited workload of courses, advisees and committee work, to permit time for research, scholarship and intellectual exploration;
   • Clear and clearly expressed expectations on the part of department chairs, program directors or deans (depending on reporting relationships), regarding participation in the activities of the department, program or school;
   • Clear system to provide feedback to faculty regarding their performance, and for recognition and compensation of outstanding faculty;
   • Excellent graduate students who can participate in scholarly and professional activities with faculty members.
   
   
3. How do we assess the potential for excellence in faculty?
   
   
   At hiring:
   
   • Past performance at previous jobs, and in graduate school;
   • Record of scholarship and professional engagement;
   • Record of publications and presentations;
   • Record of ability to obtain external support;
   • Assessment by superiors, colleagues, students, including professional qualifications, ability to work with others, viz.:
   • Ability to articulate a planned agenda of research and scholarship consistent with the mission of the department, program or school;
   • Ability to articulate goals for teaching and mentorship of students; educational approach and philosophy;
   • Ability to communicate as assessed through interaction with faculty and students, presentation of seminars.
     
     At promotion:
     
   • Performance in current position, according to criteria listed above;
   • Evaluation of teaching abilities, as reflected in student evaluations and departmental course reviews;
   • Past success as an advisor and mentor; frequency of student requests that the faculty member serve as an advisor and as thesis committee chair; accessibility to students;
   • Invitations to participate in national and international conferences, meetings, and policy-making committees;
   • Responsible participation in department, program and school activities, as well as multi-disciplinary programs.
   
   
4. What are the measures we can take to assure faculty excellence?
   
   
   • Ensure that all the elements listed in #2 are in place;
   • Provide sufficient faculty to permit a sense of intellectual community and to allow for reasonable workloads for each faculty member;
   • Provide competitive levels of compensation to attract and retain the best faculty.

Operational Definition of Excellence - Students

1. How do we recognize excellence in students?
   
   
   Excellent students:
   
   • Determine the expectations, policies and procedures of the University and their program or department;
   • Conduct high-quality research and scholarship, and publish their research in a timely manner;
   • Take the initiative in creating research projects and generate ideas on their own;
   • Are motivated, collegial and industrious to the best of their ability in all required courses and activities;
   • Keep current in the literature of their field;
   • Accept advice concerning program planning, selection of courses and professors, research, degree requirements, and professional expectations;
   • Write well and speak clearly;
   • Work toward greater autonomy and self-direction;
   • Take responsibility for their own career development; and
   • Exemplify the highest ethical standards.
   
   
2. What are the elements that assure a student's excellence?
   
   
   • An active intellectual community within the program/department and school; opportunities to interact and learn about the work of others; a critical mass of students;
   • Facilities (libraries, access to books and journals, computers and information technology, space) that support scholarship;
   • Opportunities within the program or department, such as seminars, discussions of current literature, and social activities that allow students to interact, learn of each other's activities and develop collegial relationships;
   • Opportunities to participate in professional conferences and meetings (e.g., resources for travel);
   • High-quality student services, including academic and career advising and facilitation;
   • Clear expectations on the part of thesis advisors, program directors and department chairs; and
   • A clear system for providing feedback to students regarding their performance and for recognition of outstanding students.
   
   
3. How do we assess a student's potential for excellence?
   
   
   An applicant's potential for excellence is indicated by:
   
   • High achievement as an undergraduate;
   • Superior performance on the Graduate Record Exam or its equivalent;
   • Letters of recommendation that describe an applicant's record of achievement, outstanding academic potential, motivation, work ethic and collegial nature;
   • Opportunities sought in the chosen field or analogous fields, such as participation in research as an undergraduate or post-graduate;
   • Experiences which gave the applicant a realistic idea of the chosen career; and
   • Awareness of the applicant's fit within the designated program.
     
     A graduate student's potential for excellence is indicated by:
     
   • Superior performance and participation in courses and seminars;
   • A record of high-quality publications and presentations;
   • Evaluation by thesis advisors, and advisory and thesis committees;
   • Initiative taken to generate research ideas and contribute to the intellectual environment of the program;
   • Participation in program or department activities;
   • Participation in national and international conferences and meetings.
   
   
4. What are the measures we can take to assure excellence?
   
   
   • Ensure that all of the elements listed in #2 are in place;
   • Offer competitive stipends and health benefits;
   • Offer opportunities that provide teaching and other professional experience;
   • Provide first-rate facilities, research space, and graduate housing;
   • Reward thesis advisors, program directors and departmental chairs who are engaged with and committed to the students; and
   • Provide faculty and resources of such quality as to ensure that the department or school attracts and retains the high-quality students.