Faculty Manual
Part XII. PERSONNEL ACTION DOSSIER
The
Personnel Action Dossier (PAD) is a collection of documents and lists of
accomplishments in summary form that provides a record of the accomplishments
of a faculty member seeking reappointment, promotion, or tenure. A PAD is compiled in a manner described in
Appendix D of the East Carolina
University Faculty Manual each time a personnel action for reappointment,
promotion, or tenure takes place. Each
PAD becomes part of the faculty member’s permanent personnel file and is not
returned to the faculty member.
In the
review process, attention is paid both to productivity since the date of hire,
tenure or last promotion (whichever is more recent) and accomplishments over
one’s entire career. Within the PAD the
candidate should supply dates for all listed activities and accomplishments,
making it possible for reviewers to identify clearly the chronology of
accomplishments related to the time of hire, tenure or last promotion (whichever
is more recent).
The
Personnel Action Dossier shall include the following items:
A. A properly executed ECU Cumulative Report
for Reappointment, Promotion and Tenure (see Attachment 1) is required for these personnel actions. It is the responsibility of the faculty
member to have prima facie evidence of all activity listed in this report
available for inspection, if requested, by reviewers at any level of the
personnel action process.
Actions involving tenure and promotion also require a
properly executed ECU Personnel Action
Summary Form (see Attachment 2).
B. Recommendations
(Note: The documents listed here will be
added by the appropriate official as the Personnel Action progresses.)
1. For reappointment:
a. Unit Tenure
Committee’s recommendation, signature of the chair of the unit Personnel
Committee, and date
b. Unit
administrator’s recommendation, signature, and date
c. Dean's recommendation, signature, and date
d. Provost/Vice
Chancellor’s recommendation, signature, date
2. For
tenure:
a. A
cumulative evaluation in narrative form of the candidate’s teaching, research,
service, and any other relevant duties, prepared by the unit Tenure Committee.
b. A
cumulative evaluation in narrative form of the candidate’s teaching, research,
service, and any other relevant duties, prepared by the unit administrator.
c.
Unit Tenure Committee's recommendation, signature of the chair of the
unit Personnel Committee, and date
d.
Unit
administrator’s recommendation, signature, and date
e.
Dean's recommendation,
signature, and date
f.
Provost/Vice
Chancellor’s recommendation, signature, date
3. For
promotion:
a. A cumulative evaluation in narrative form of
the candidate’s teaching, research, service, and any other relevant duties,
prepared by the unit Promotion Committee.
b. A cumulative evaluation in narrative form of
the candidate’s teaching, research, service, and any other relevant duties,
prepared by the unit administrator.
c. Unit
Promotion Committee’s recommendation, signature of the chair of the unit
Promotion Committee, and date
d. Unit
administrator’s recommendation, signature, and date
e. Dean's recommendation, signature, and date
f. Provost/Vice
Chancellor’s recommendation, signature, date
C. Records of Evaluation
1. For
evaluation for reappointment decisions:
a. Copies
of the criteria for reappointment set forth by the code unit of the faculty
member.
b. Copies
of all written communications with the candidate on progress toward tenure,
including all annual evaluations over the period of time appropriate to the
decision.
c. Records
of the discussions on annual evaluation meetings with the unit administrator
(see Appendix C. III.).
d. Records
of the assigned teaching duties and responsibilities including indication of
released time over the period of time appropriate to the decision (see Part V.
H).
e. Records
of the annual discussions on the criteria for evaluating faculty performance.
2. For evaluation for tenure decisions:
a. Copies
of the criteria for tenure set forth by the code unit of the faculty member.
b. Copies
of all written communications with the candidate on progress toward tenure,
including all annual evaluations over the period of time appropriate to the
decision.
c. Records
of the discussions on annual evaluation meetings with the unit administrator
(see Appendix C. III.).
d. Records
of the assigned teaching duties and responsibilities including indication of
released time over the period of time appropriate to the decision (see Part V.
H).
e. Records
of the annual discussions on the criteria for evaluating faculty performance
(See Appendix D. II.A.3.).
f. Copies
of all communication with external reviewers, copies of the external reviews,
and a listing of the documents reviewed.
3. For evaluation for promotion decisions:
a. Copies
of the criteria for promotion set forth by the code unit of the faculty member.
b. Copies
of all annual evaluations over the period of time appropriate to the decision.
c. A
record of the assigned teaching duties and responsibilities including
indication of reassigned time over the period of time appropriate to the
decision. (see Part V, H)
d. Copies
of all communication with external reviewers, copies of the external reviews,
and a listing of the documents reviewed.
In cases of application for tenure with simultaneous
promotion, items 2 and 3 should be combined as appropriate.
D. Supporting
materials
The faculty member, in consultation with the unit administrator and the chair
of the unit personnel committee, may add materials in support of the activities
and accomplishments listed in the ECU
Cumulative Report for Reappointment, Promotion and Tenure (subject to size
limitations in section G. below).
E. Other
material
Materials not included in the categories listed in the cumulative report may be
added to the dossier by the faculty member providing the unit administrator, in
consultation with the Unit Personnel Committee, has an opportunity to include a
response to such materials. In the event the unit administrator and Unit Personnel
Committee cannot agree on a response, both may include a response.
F. Disagreements
as to inclusion or removal of documents
The dossier shall include the required documents and
lists relevant to the faculty member's teaching, research/creative activity,
and service as described above. If the faculty member disagrees with the unit
administrator and/or the unit personnel committee as to the inclusion of
relevant documents, the documents will be included and each party may include a
statement about the document in the dossier.
The candidate is allowed to review and include a response to
the cumulative evaluations (see section B. above).
G. Size
of Dossier
The total dossier must be contained in a single three ring binder (10 in. x 12
in.) with a thickness of no more than four inches (approximately 10 cm).
Part XII. PERSONNEL
ACTION DOSSIER
Attachment 1.
Cumulative
Report For Reappointment, Promotion, and Tenure
A. General Information
1. Name
2. College or
3. Date of first appointment to ECU
4. Present rank and date at which present rank
was established
5. Educational background: degrees, dates
conferred, and institutions. Indicate
the status of any degree program in process.
Include
the following where applicable:
a. Postgraduate
Training Fellowships
b. Residencies
c. Traineeships
6.
Administrative appointments or special assignments (list positions and
dates in reverse chronological order with percentage of time assigned)
7. Professional credentials (certifications and
licensures)
8. Professional
employment history (list positions, ranks and dates of appointments in reverse
chronological order)
9. Formal continuing education for professional
development (courses, seminars, institutes, etc.and
dates in reverse chronological order) School of Medicine (clinical staff): List
all postgraduate Continuing Medical Education completed in the last 3 years (in
reverse chronological order).
B. Teaching (Didactic
and Clinical) and Advising [narrative or bulleted list and relevant date(s)]
1. Noteworthy accomplishments and practices in
teaching
2. Noteworthy accomplishments and practices in
advising and retention
3. Extraordinary duties assigned or elected in
advising
4. Direction of student research and
performances:
a. List undergraduate students and projects.
b. List
graduate students and projects.
c. List memberships
in graduate student’s thesis/dissertation committees
5. Summary of
teaching evaluations (student opinion of instruction survey results, peer
reviews, and any additional supporting information)
6. Grants (listed by year in reverse
chronological order) in support of teaching and advising. Provide a list of all grants applied for,
listing for each the source, amount requested, title, and
co-investigators. Designate status:
awarded (including amount awarded if different from request), pending,
rejected.
a. Grants/proposals through Office of Sponsored
Programs
b. Grants/proposals through the Division of
Institutional Advancement
c. University Grants
d. Reports to granting agencies: list agency(ies)
7. Medical
Education:
a. Undergraduate medical student teaching,
including didactic lectures, clinical teaching, conferences laboratories,
student advising, and student preceptorships.
b. Postgraduate medical teaching including
clinical teaching and continuing medical education.
c. Curriculum development in medical education.
C. Research/Creative
Activity:
1. A brief statement of research activities and
interests.
2. A complete list of publications in print, in
reverse chronological order, beginning with the most recent publications
(Note:
b. Journal articles
c. Chapters in books
d. Book reviews in professional journals
e. Abstracts (including those published in
proceedings)
f. Microforms
g. Sound/video recordings musical scores
h. Art exhibitions, pictures in books, applied
art
i. Articles in
proceedings
j. Patents
k. Editorships of professional journals or books
l. Musical performances & productions
m. Theatrical performances & productions
n. Software development
o. Electronic publications
p.
Clinical trials
q. Other (e.g., entries in encyclopedias)
3. Papers,
creative works, etc. accepted for publication but not yet in print (attach a
copy of letter of acceptance)
4. Other
research publications: list title(s) and publication dates and publisher
5. Research
presentations and posters: list organization, date, and title of
presentation(s)
6. Participation
in expert panels (include topics, meeting, date(s).
7. Visiting
professorships or lectureships (include titles, place, date(s).
8. Pedagogical
materials: list title(s) and publication dates and publisher
9. Grants
(listed by year in reverse chronological order) in support of research/creative
activity. Provide a list of all grants applied for, listing
listing for each the source, amount requested, title,
Principal investigator and co-investigators. Designate status: awarded
(including
amount awarded if different from request), pending ,
rejected.
a. Grants/proposals through Office of Sponsored
Programs
b. Grants/proposals through the Division of
Institutional Advancement
c. University Grants
d. Reports to granting agencies: list agency (ies)
D. Clinical
Practice: For those faculty who provide patient care
as a part of their duties, a patient care portfolio should be included to
document their clinical practice activities. The patient care portfolio should
include the following information:
1. Summary of
relevant activities in clinical practice and evaluations of patient care quality.
2. Noteworthy
accomplishments and practices
3. Extraordinary
duties assigned or elected in clinical practice
4. Development
and/or evaluation of clinical services and programs
5. Community
service and outreach
E. Professional
and University Service (list by year, in reverse chronological order)
1. University:
Committee and special assignments
a. Unit: name of committee(s), role on
committee(s) (member, chair, etc.), inclusive dates of service
b.
Division: name
of committee(s), role on committee(s) (member, chair, etc.), inclusive dates of
service
c.
University-wide:
name of committee(s), role on committee(s), inclusive dates of service
d. UNC system: name of committee(s), role on
committee(s), inclusive dates of service
e. Special assignments: title or role, brief
description of assignment, inclusive dates of service
2. Non-university
committees and service:
a. Local
b.
Regional
c.
State
d.
Other
e.
Clinical Agency Committees and/or Hospital committees (Health Sciences Division)
3. Professional
Organizations (list by year in reverse chronological order)
a. Memberships in professional organizations:
list memberships
President/Chair:
list organization(s)
Other
office(s): list office and organization(s)
c. Organization of meetings, workshops, and
symposia: list organization(s)
d. Presentations (other than research) at
meetings, workshops, and symposia: list organization, date, and title of
presentation(s)
e. Service as editor or editorial board member:
list board(s), list role(s)
f. Items reviewed, refereed, or juried for
scholarly publications: list publication(s)
g. Items reviewed, refereed, or juried for
granting agencies: list agency (ies)
h. Evaluation of faculty for other universities
(peer review): list institution(s)
i. Consultantships: list client, specify whether paid or
unpaid, briefly define activity
4. Other
professional service
5. Grants
(listed by year in reverse chronological order) in support of professional service.
Provide a list of all grants applied for, listing for
each the source, amount requested, title, and
co-investigators. Designate status: awarded (including amount awarded if different from
request), pending, rejected.
a. Grants/proposals through Office of Sponsored
Programs
b. Grants/proposals through the Division of
Institutional Advancement
c. University Grants
d. Reports to granting agencies: list agency(ies)
F. Honors and
other noteworthy activity not covered above
G. Administrative
Activities
1. Noteworthy accomplishments and practices in
administration
2. Extraordinary duties assigned or elected
3. Summary of administrative evaluations
H. Community service:
Include organization, dates, offices held.
I. Other: Include additional information deemed
pertinent to this cumulative report.
J. Date this
cumulative report was completed.
Part XII. PERSONNEL ACTION DOSSIER
Attachment 2.
East
Carolina University Personnel Action Summary Form
(Administrator
completes Section I. and faculty member (appointee) completes Section II.)
Section I. To be completed by the appropriate
administrator(s).
Name of Appointee:______________________________________________________________________________________
Department:_____________________________________ School/College:______________________________________
Current
Rank or Title: (if applicable) _________________________ Proposed Rank or Title:__________________
Indicate Type of Action: (select all that apply)
Conferral
of Tenure:
Other:
(describe) ___________________________________________________________________________
Effective
Date of Action:
Contract
Period: Administrative
Appointment: 9 mo. 12 mo.
Faculty
Appointment: 9 mo. 12 mo.
Salary: $___________________ Source(s): State
Funds: $__________________ *Non-State
Funds: $_____________
*Indicate Sources of
non-state funds generically ( i.e., grants, receipts, trust funds, endowments,
medical faculty practice plan, etc.):
Prior Recommendations/Personnel
Actions:
(please check appropriate responses)
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Source |
Recommended
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Not
Recommended
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Not
Applicable
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Chair/Unit Head
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Director
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Dean
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Provost/Vice Chancellor
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Chancellor
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Board of Trustees
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Section II. To be completed by the faculty member.
1.
Education Background: (indicate degree, date
earned and institution, note additional study & training)
2.
Teaching and other professional experience: (Show inclusive dates, rank and/or title, institution or agency, and
indicate first appointment at current institution with rank and any changes to
date)