Model Dossier, Office of Education, Academic Health Center at the University of Minnesota

For Faculty
Introduction to Promotion and Tenure
Model Dossier

Before the Table of Contents

· Dean’s Letter of Recommendation
· Collegiate Promotion and Tenure Committee Report
· 7.12 Statement

Table of Contents

I. Candidate's Statement of Assurance
II. Collegiate Unit Recommendations
III. Record of Vote
IV. Annual Appraisals of Probationary Faculty (Form 12 or 12a)
V. Curriculum Vitae
VI. External Review and Evaluation
VII. Internal Review and Evaluation (optional)
VIII. Research and Scholarship
IX. Teaching
X. Service
XI. Selected Reprints

I. Candidate's Statement of Assurance
This section should include:

1. Candidate's Statement of Assurance signed by the candidate indicating that the candidate has had adequate opportunity to inspect the contents of the dossier; and has had an opportunity to add to the dossier materials or comments of their choosing, properly identified.

II. Collegiate Unit Recommendations
This section should include:

1. Collegiate Unit’s Statement of Assurance signed by the Department Head or Dean indicating that the final dossier was made available to all who participated in the discussion and vote; and, the candidate was given an opportunity to review the contents of the dossier following addition of department and/or collegiate votes and Department Head’s and/or Dean’s recommendations.

2. Department Head (when applicable)

· The Department Head’s personal recommendation (include why agreed or disagreed with faculty vote, summary of candidate evaluations, etc).

3. Departmental Report prepared by the Department Head or tenured designee and reviewed by tenured faculty.  This states:

· Faculty’s recommendation

NOTE: Faculty may file a separate report if they believe their views are not adequately represented in the departmental report.

· Reference Record of Vote - separate votes for promotion and tenure must be indicated.
· Summary of the candidate’s file.
· Summary of majority and minority views where appropriate.

III. Record of Vote
This section should include:

1. All Faculty Record of Vote or Department Record of Vote of eligible members.  Separate votes must be taken for promotion and tenure.

NOTE: Eligible members refers to faculty of like proposed rank and above voting for promotion; and, faculty with tenure voting for tenure.

IV. Annual Appraisals of Probationary Faculty (Form 12 or Form 12a)
This section should include:

1. Copies of the Appraisals for Probationary Faculty (Appraisals of Probationary Faculty: Form 12 or Appraisals of Probationary Faculty: Form 12a), reported for each of the probationary years. This year’s appraisal recommending promotion and/or tenure should be attached to the front of the “original” dossier. A copy of this year’s appraisal should be placed in this section.

2. When applicable, include the President’s Form 12 or Form 12a for “stop-the-clock” or extension years and label as such.

V. Curriculum Vitae
This section should include:

· A current complete (not abbreviated) curriculum vitae.

VI. External Review and Evaluation
This section should include:

1. Eight evaluation letters from reviewers external to the University of Minnesota.  The following criteria should be taken into consideration when identifying potential reviewers:

· Distinguished faculty or, occasionally, highly regarded non-academics.
· If faculty, at a rank above that of the candidate. Otherwise they should be of a status or position considered to be at least equal to the rank for which the candidate is being considered.
· Ability to provide an impartial and evaluative review of the candidate’s qualifications and accomplishments.
· Contribution to achieving an overall balanced view of the candidate and to providing a range of perspectives.

NOTE: To assure impartiality, it is important to avoid a situation where reviewers have a personal relationship with the candidate.  These relationships include: advisor, mentor, co-author, collaborator, or past co-worker.   While it may be helpful to include letters from such reviewers in certain cases, those would be in addition to the eight required external reviews and should be kept to a minimum. Letters from persons who do not know the candidate personally, but have a clear sense of the significance of the candidate's scholarly contributions, are of greatest value.

· When circumstances arise that an evaluation is used from a reviewer with a personal relationship to the candidate (e.g., former trainees, mentors, or students), the Dean needs to address this in the letter to the Senior Vice President for Health Sciences.

2. A statement about each reviewer’s professional standing and relationship to the candidate (if any).

3. A statement about requested external review letters not received, indicating reviewer’s professional standing and relationship to the candidate (if any).

4. A sample copy of the letter sent to potential reviewers soliciting an evaluation (Request for External Review Template).

 VII.  Internal Review and Evaluation
(Optional: at the discretion of the college or school)
This section should include:

1. Letters received from reviewers internal to the University of Minnesota.

VIII. Research and Scholarship
This section should include:

1. Narrative summary of research, scholarly activity, and accomplishments (one to two pages).  This summary should state the focus of independent research inquiry.  Include an estimate of the percentage of time spent in research/scholarship effort.

2. List of peer-reviewed publications.

3. List of non-peer reviewed publications.

4. List of books and book chapters.

5. List of scientific/professional presentations and abstracts.

6. List of grants and contract support (indicate title, funding source/type/amount, brief statement of purpose, duration, and role of the candidate).

7. List of persons trained/mentored/advised in sponsored research activities (post-doctoral fellows, trainees, etc.) could be included in this section or may be included in the Teaching Section.  Include current position of these individuals.

8. List of other evidence of research and scholarship (include research publications, grant proposals, and book/book chapters in preparation or planned).

IX. Teaching
This section should include:

1. Narrative summary of teaching/advising/mentoring activity (one to two pages).  Include an estimate of the percentage of time spent in the teaching/instructional/educational effort.

2. Teaching Experience

· List of undergraduate/graduate courses taught, including course number, title, brief description, quarter/semester, role, and number of students enrolled.
· List advisees, degree sought, role as advisor, and completion/status of degree.
· List other teaching/instructional/educational activity such as continuing education, outreach, development of teaching manuals or special instructional formats.
· List of persons trained/mentored/advised in sponsored research activities (post-doctoral fellows, trainees, etc) could be included in this section or may be included in the Research Section.  Include current position of these individuals.

3. Teaching Effectiveness

· Provide a summary of formal teaching evaluations (student or peer) over time.  That is, summarize the teaching evaluations obtained through University of Minnesota Office of Measurement Services forms or other formal measurement tools for evaluation of teaching effectiveness.

NOTE: Do not include any raw teaching data.

· Provide any informal teaching evaluations such as peer, student, and advisee letters.  Indicate whether letters were solicited or unsolicited or are an established component of the department's process of evaluating teaching effectiveness.  Include actual letters.
· List honors/awards received for teaching effectiveness.

X. Service
This section should include:

1. Narrative summary of discipline-related, professional, and University service (one to two pages).  Include an estimate of the percentage of time spent in the service effort.

2. Clinical Service

· List clinic and patient care responsibilities.

3. Discipline-Related, Professional Service

· List editorships, manuscript reviewer/consultant activities; indicate title of journal or publication, level of review, and duration of service.
· List consultantships.
· List service to professional organizations (offices held, committee memberships, etc).

4. University Service

· Service at program, division, department, college, and all-university level.
· List committee membership roles and duration of service.

5. Other Service

· List non-university, community service.

XI. Selected Reprints
This section should include:

1. Three reprints of scholarly papers which the candidate is first  or senior author.

· The candidate selects the reprints.
· The reprints selected should reflect significant contribution(s) of the candidate.

2. In the case of multiple authorships, the contribution of the candidate to the project must be clearly established and reported.