Approved by the Faculty Senate: February 21, 2006
Approved by the Chancellor: March 1, 2006
Proposed revisions to the ECU Faculty Manual Part
XII.
(Additions are noted in bold print and deletions in strikethrough.)
East Carolina University 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.
The
Personnel Action Dossier shall include the following items:
A. All written communications with the candidate
on progress toward tenure (when a
tenure decision is pending) including all annual evaluations over the period of
time appropriate to the decision and a final evaluation of the candidate's
teaching, research, service, and any other relevant duties, prepared by the
unit administrator in consultation with the Unit Personnel Committee.
A.
A properly executed ECU Cumulative Report for Reappointment,
Promotion and Tenure (see Attachment 1.)
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.
B.
Recommendations
(Note: The documents listed here will be
added by the appropriate official as the Personnel Action progresses.)
1.
For promotion:
a.
Unit promotion 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.
Vice Chancellor’s recommendation, signature, date
2. For tenure or 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
a.
Dean's recommendation, signature, and date
b.
Vice Chancellor’s recommendation, signature, date
3. 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.
A.
Records of Evaluation
1.
For evaluation for reappointment
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.
II.).
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. II.).
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.
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
to associate professor or professor:
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 B and C should be combined
as appropriate.
B. A complete resume.
C. For evaluation for promotion to
associate professor or professor or for evaluation for permanent tenure, copies
of the external peer reviews and a listing of the documents reviewed.
D. Teaching portfolio.
If appropriate to the nature of the instruction in a unit, the teaching
portfolio shall include the results of the university administered student
opinion of instruction surveys (including unit and university norms) and the
results of unit peer reviews over the period of time appropriate to the
decision. When a unit has its own formal process of evaluating instruction,
results of this process shall be included at least in summary form.
Other evidence of teaching effectiveness not included in
this document may also be listed with annotation. Annotated references may be made to funding
activities described in section h. of this document. It is the responsibility of the faculty
member to have the listed evidence available if requested by reviewers at any
level.
E. Research and creative activity portfolio.
The research and creative activity
portfolio shall include appropriate
evidence
of research/creative
activities over the period of time
appropriate to the decision.
The following should be included:
Publications
Name
of publisher and date of acceptance for –
Books
Monographs
Journal Articles
Presentations at professional meetings
Posters
An
abstract of each publication or presentation
Level
of authorship
List
of authors and locations of reviews
If
accepted but not in print, documentation of acceptance must be included.
Visual
Arts – exhibitions, identifying the following:
Level
(local, regional, national, international) and date
Location
Sponsoring
organization
Juried,
invited
Lists
of authors and locations of reviews
Visual
Arts – workshops, demonstrations, presentations, identifying the
following:
Level
(local, regional, national, international) and date
Location
Sponsoring
organization
Juried,
invited
Lists
of authors and locations of reviews
Performing Arts – performance,
identifying the following:
Level (local, regional, national,
international) and date
Location
Sponsoring organization
Juried, invited
Lists of authors and locations of reviews
Performing
Arts - workshops, demonstrations, presentations, identifying the
following:
Level (local, regional, national,
international) and date
Location
Sponsoring organization
Juried, invited
Lists of authors and locations of reviews
Other evidence of research and creative
activity not included in this
document
may also be listed with
annotation. Annotated references may be made to funding
activities described in
section
h. of this document. It is the
responsibility of the faculty member to
have
the listed evidence available if requested by reviewers at any level.
G. Service portfolio.
The service portfolio shall consist of a
summary of all service by the
faculty
member over the period of
time appropriate to the decision. In a list format, include names of
committees
or organizations, length
of service, and offices held. Arrange the information employing the
following
categories.
Code
unit committees, ad hoc committees, task forces
University
committees, ad hoc committees, task forces
UNC
system committees, ad hoc committees, task forces
Professional
organizations
Civic
organizations
Other evidence of service not included in
this document may also be listed
with
annotation. Annotated
references
may be made to funding activities described in section h. of this
document. It is the responsibility of the faculty
member to have the listed
evidence
available if requested by reviewers at any level.
H. Funding Portfolio
The
funding portfolio shall consist of a list of all grants applied through the
office
of Sponsored Programs, the Division of Institutional Advancement or as
University
Grants. For each grant listed, provide the following information:
a.
Funding period and source
b.
Amount
c.
Title
d.
Your status as well as a list of co-investigators
e.
Is funding in support of teaching, research/creative activity,
patient care or service
f.
Status of funding: dollar amount if different from request, pending,
rejected
g.
List reports to granting agency(ies)
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).
I.
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.
J.
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.3. above).
K.
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).
Attachment
1
Pending final revisions to both Format A and B
Cumulative
Report Format
For Reappointment, Promotion, and/or
Tenure
Faculty within the Academic Affairs
Division must use Cumulative Report Format A.
Faculty within the Health Sciences Division may choose between
Cumulative Report Format A or B.
Cumulative Report Format A
For reappointment, include all
data since last personnel action.
For tenure, include all data
from complete probationary period.
For promotion, include all data
since last promotion.
I. General
Information
A. Name
B. College
or
C. Citizenship
status if born outside of U. S. and visa status if applicable
(Provost Smith will
confirm the need for this statement prior to final approval. If statement is needed, it will be included
in Format B too.)
D. Date
of first appointment to ECU
E. Present
rank and date at which present rank was established
F. Educational
background: degrees, dates conferred, and
institutions. Indicate the status of any
degree program in process.
G. Formal
continuing education for professional development (courses, seminars,
institutes, etc.) and dates
II. Teaching
and Advising [narrative or bulleted list
and relevant date(s)]
A. Noteworthy
accomplishments and practices in teaching
B. Noteworthy
accomplishments and practices in advising and retention
C. Extraordinary
duties assigned or elected in advising
D. Direction
of graduate student research and performances: list students and projects
E. Summary
of teaching evaluations (student opinion of
instruction survey results, peer reviews, and any additional supporting
information)
F. 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.
i. Grants/proposals through Office of
Sponsored Programs
ii. Grants/proposals through the Division of Institutional
Advancement
iv. Reports to granting agencies: list agency (ies)
III. Research/Creative
Activity:
A. A
complete list (printout of publications database) of publications in
print, in reverse chronological order, beginning with the most recent
publications:
2. Journal articles
3. Chapters in books
4. Book reviews in professional journals
5. Abstracts (including those published in
proceedings)
6. Microforms
7. Sound/video recordings musical scores
8. Art exhibitions, pictures in books, applied
art
9. Articles in proceedings
10. Patents
11. Editorships of professional journals or books
12. Musical performances & productions
13. Theatrical performances & productions
14. Software development
15. Electronic publications
16. Other (e.g., entries in encyclopedias)
B. Papers,
creative works, etc. accepted for publication but not yet in print (attach a copy of letter of acceptance)
C. Other
research publications: list title(s) and
publication dates and publisher
D. Research
presentations: list organization, date,
and title of presentation(s)
E. Pedagogical
materials: list title(s) and publication
dates and publisher
F. Grants
(listed by year in reverse chronological
order) in support of research/creative activity. 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.
i. Grants/proposals through Office of
Sponsored Programs
ii. Grants/proposals through the Division of
Institutional Advancement
iii. University Grants
iv. Reports to granting agencies: list agency (ies)
IV. Professional
and University Service (list by year, in
reverse chronological
order)
A. University: Committee and special
assignments
1. Unit: name
of committee(s), role on committee(s) (member, chair, etc.), inclusive dates of
service
2. University-wide: name of committee(s), role on committee(s), inclusive dates of service
3. UNC system: name of committee(s), role on committee(s), inclusive dates of service
4. Special assignments: title or role, brief description of assignment, inclusive dates of service
B. Professional
Organizations (list by year in
reverse chronological order)
1. Memberships in professional organizations: list memberships
President/Chair: list organization(s)
Other office(s): list office and organization(s)
3.
Organization of meetings, workshops, and symposia: list
organization(s)
4. Presentations (other than research) at
meetings, workshops, and symposia: list
organization, date, and title of presentation(s)
5. Service as editor or editorial board member: list board(s), list role(s)
6. Items reviewed, refereed, or juried for
scholarly publications: list
publication(s)
7. Items reviewed, refereed, or juried for
granting agencies: list agency (ies)
8. Evaluation of faculty for other universities
(peer review): list
institution(s)
9. Consultantships: list client, specify whether paid or unpaid, briefly define activity
C. Other
professional service
D. 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.
i.
Grants/proposals through Office of Sponsored Programs
ii.
Grants/proposals through the Division of Institutional Advancement
iv.
Reports to granting agencies: list
agency (ies)
V. Honors
and other noteworthy activity not covered above
VI. Date
this cumulative report was completed
Faculty within the Academic Affairs
Division must use Cumulative Report Format A.
Faculty within the Health Sciences Division may choose between
Cumulative Report Format A or B.
Cumulative Report Format B
Personal
Information
Name
Social Security Number (optional)
Home Address
School of Medicine Address
Date and Place of Birth (optional)
Marital Status (optional)
Education
Degree, Awarding Institutions, Dates, Specialty
(in chronological order)
Postgraduate Training Fellowships
Residencies
Traineeships
Employment History
List positions, ranks and dates of appointment (in chronological order)
Certification
Include certification number, dates and
location
Licensure
Include license number, dates and location
Professional Societies
Include offices and dates held in chronological order
Professional Service
Consultant (include dates, locations)
Editorial Appointment (include
dates)
Other (site visits, review panels, etc.)
Grants Funded or Approved
Include title, type,
relationship to project, dates, source(s)
NOTE*
Label or identify:
Grants - funded or nonfunded
Grants - awarded or
pending
Grants - principal
investigator or co-principal investigator
$ amount of grant
Committees
Include dates and offices held:
Within the Division of Health
Sciences
East Carolina University
Hospital committees
Previous hospital and medical
school
Regional
State
National
International
Administrative Activities
Including department division, clinic, service
or team responsibilities; dates
Teaching Activities
Undergraduate medical teaching including lectures, conferences, laboratories,
student advising and student preceptorships offered Postgraduate medical
teaching including clinical teaching and continuing medical education Graduate
teaching at the doctoral level including
thesis supervision and graduate student committee membership.
Curriculum development
including materials produced, research on teaching methodology, and outside consultation provided on medical and graduate education.
Self-development
as a teacher (e.g. attendance at
teaching workshops)
Membership in professional association’s subgroup on education (offices held, program chairmanships)
Patient Care Portfolio (pending
consideration by Faculty Governance Committee)
For those faculty who provide
patient care as part of their duties, the patient care portfolio shall include
a summary of relevant activities and evaluations of patient care quality. Other evidence of patient care not included
in this document may also be listed with annotation. Annotated references may be made to
funding activities described in section h. of this document. It is the responsibility of the faculty
member to have the listed evidence available if requested by reviewers at any
level.
Postgraduate Education
List all postgraduate
educational training completed in the
last three years (in chronological order)
Research Activities and Interests
A brief statement of investigative interests
Publications NOTE: whether publications are refereed or non-refereed
Include publications only if published
or accepted for publication; report in AMA format, authors in original
sequence:
In refereed journals
In non-refereed journals
Abstracts
Editorials
Contributions to textbooks
Book reviews
Presentations
Papers (meeting, title author(s), date(s)
Panels (topic, meeting, date)
Exhibits (title, meeting, date)
Visiting professorships or lectureships (place, date, time)
Special Honors and Awards
Include dates
Community Service
Include organization, dates, offices held
Other Information
Include additional information deemed pertinent to this vitae
Approved:
28 March 2001