REG 05.20.20 - Reappointment, Promotion, and Tenure Dossier Format Requirements

Authority: Provost and Executive Vice Chancellor

History: First Issued: August 1988.  Last Revised: December 12, 2013.  

Related Policies:  
NCSU POL05.20.01 - Appointment, Reappointment, Promotion and Permanent Tenure
NCSU REG05.20.05 - Consultation and Written Assessments, Recommendations and Responses in RPT Review
NCSU REG05.20.10 - Evaluation of Teaching
NCSU REG05.20.27 - Statements of Mutual Expectations

Additional References:
Collection of Optional and Required Formats for Presenting Sections of the Dossier

Research Administration Data and Reporting System (RADAR)
Dossier Instructions on Provost’s Web Site
NC State's Online Tool for Submission of Reappointment, Promotion and Tenure Dossiers

Contact Info: Vice Provost for Faculty Affairs (919-513-7741)


1. INTRODUCTION      

1.1  This regulation addresses the required format of the Reappointment, Promotion, and Tenure (RPT) dossier.  The dossier is to be submitted by the College Dean to the Provost via NC State's Online Tool for Submission of Reappointment, Promotion and Tenure Dossiers.  If, however, the college prefers to use a different system for the review prior to uploading the dossiers into the Online Tool for Submission of Reappointment, Promotion and Tenure Dossiers, that is permissible.  A completed, paper  dossier cover sheet provided by the Office of the Provost with original signatures is to be submitted separately to the Provost.

1.2  The outline is designed to present accomplishments of the faculty member according to their Statement of Mutual Expectations that identifies their areas of responsibility relative to the six realms of responsibilities, i.e., Teaching and Mentoring of Undergraduate and Graduate Students, Discovery of Knowledge through Discipline-Guided Inquiry, Creative Artistry and Literature, Technological and Managerial Innovation, Extension and Engagement with Constituencies Outside the University, and Service in Professional Societies and Within the University Itself.

2. FORMATTING REQUIREMENTS FOR THE ENTIRE DOSSIER

2.1  Font size must be 10 point or larger; Times New Roman is preferred.

2.2  Margins must be equal to or greater than 0.75 inches on all sides.

2.3  Number all pages (excluding the cover form).  The preferred location for page numbers is bottom-center of the page.  Hand-written numbers in black ink will be accepted on external letters and any pages inserted.

2.4  Each primary section (Roman Numeral) must begin on a new page, unless the section is empty.  If empty, mark as NA (not applicable) and begin the next section on the same page.  Exception:  Subsection I.B. (Brief Resume) must also begin on a new page.

2.5  For each section/subsection, record only the header number and name/topic, i.e. I. Introduction; II.A.2.C. Instructional Development; III.B. External and Internal Sponsored Grants and Contracts.

2.6  Where applicable, list most recent activity/entries first.

2.7  If any subsection is not applicable, indicate the subsection number and mark as NA.

2.8  In the outline format REQUIRED for the dossier, the examples of items to include may not all be applicable to an individual faculty member.  Only those items appropriate for the individual should be included.

3. OUTLINE FORMAT REQUIRED FOR THE DOSSIER

Sections I-VI to be prepared by the individual being reviewed

Name, Current Rank, Department 

I. INTRODUCTION 

A.  Statement of Mutual Expectations - (Page limit: 2) The signed and dated SME from the personnel file must be scanned and inserted in this section.
B.  Brief Resume - (Begin on new page; Page limit: 2)  Include dissertation title and name of major professor.
     Candidate's Statement (Optional) - (Page limit: 2)
C.  Although the dossier format allows for annotation in lists and other methods of providing pertinent information, a candidate may want to provide additional information or perspective about aspects of his/her accomplishments.  The candidate's statement should not duplicate information found elsewhere in the dossier.  However, the statement may reference applicable pages of the dossier to highlight material that the candidate wishes to emphasize.

II. TEACHING AND MENTORING OF UNDERGRADUATE AND GRADUATE STUDENTS {See Evaluation of Teaching} 

A.  Teaching Effectiveness.  (Items in II.A. are for the period since initial appointment at NC State University or since the most recent positive RPT action, as appropriate).

1.  List courses taught with enrollment in each.  Include only course code and number with number of students.  Do not include text describing the course.

2.  Include an evaluation of teaching effectiveness, including:

a.  A summary of student evaluations (see “Collection of Optional and Required Formats for Presenting Sections of the Dossier” in the Additional References list at the top of this regulation) and

b.  A summary of peer evaluations of teaching

B.  Instructional Development - List innovations in courses, curricula, and programs.
C.  Mentoring Activities - As appropriate, include undergraduate and/or graduate academic advising, postdoctoral advising, advising student organizations, independent study courses, special projects with students, supervision of clinical faculty, and assessments of any of the above.
D. List all past and current graduate committee memberships and identify those committees on which you have served or are currently serving as committee chair/major advisor for master's and doctoral theses; show numbers and dates of service in each category (see “A Collection of Samples…” in the Additional References list at the top of this regulation).

III. SCHOLARSHIP IN THE REALMS OF FACULTY RESPONSIBILITY

(Scholarship in Teaching, Discovery of Knowledge, Creative Artistry and Literature, Technological and Managerial Innovation, Extension and Engagement)

A.  List accomplishments as applicable, e.g., original research articles and research review articles in peer-reviewed publications, refereed articles that are pedagogy or extension-related, research abstracts, books; interdisciplinary/multidisciplinary works; invited and contributed research presentations; published conference proceedings; appointments or election to study sections and editorial boards; creative or professional works; exhibitions; juried shows, honors; awards, fellowships, prizes, competitions, and other pertinent evidence.  Include an explanation of authorship convention.  Clearly identify completed work from work that has been submitted but has not been accepted for publication/presentation.  Work that has been submitted but not yet accepted for publication can be included as an indicator of future productivity.

B.  Include a Research Administration Data and Reporting System (RADAR) report of your grant activity.  Also list any external and internal support you have received for your scholarship that is not included in the RADAR report; indicate funding levels and duration; clearly identify whether submitted and under review, funded or not. 

C.  Participation in centers, consortia, institutes, interdisciplinary/multidisciplinary activities and other organized scholarly efforts between departments within and across colleges or institutions. 

IV. EXTENSION AND ENGAGEMENT WITH CONSTITUENCIES OUTSIDE THE UNIVERSITY

A.  List accomplishments as applicable, e.g., bulletins, brochures, reports, pamphlets, non-refereed publications, computer software, educational videotapes, slide sets, popular press articles, and other pertinent evidence.
B.  Describe program impacts. 

V. TECHNOLOGICAL AND MANAGERIAL INNOVATION

A.  List knowledge and technology transfer accomplishments, e.g., copyrights awarded, invention disclosures, patents filed, patents awarded, new cultivars developed and released, major software packages, design patents, system designs, organizational processes developed, technologies commercialized, etc.
B.  Describe program impacts. 

VI. SERVICE TO THE UNIVERSITY AND PROFESSIONAL SOCIETIES
 
University service (department, college, university committees and governance organizations, administrative duties, e.g. Assistant/Associate Department Head, Undergraduate Coordinator, Director of Graduate Programs, Center or Program Director); state, regional, national and international professional activities and committee work, including professional associations. 

Sections VII-VIII to be completed by the department head

VII. EXTERNAL EVALUATIONS - {See NCSU REG05.20.05 - Consultation and Written Assessments, Recommendations and Responses in RPT Review}

External evaluations are NOT required for Reappointment as Assistant Professor.  In the case of promotion of non-tenure track faculty (i.e., teaching, research, extension, clinical, of the practice), the Dean must establish for each category of professorially ranked faculty whether to require that the dossier include external evaluations.  This requirement must apply college-wide for each category of non-tenure track faculty, but may be different for each category.

A.  Sample copy of the letter soliciting the external evaluation. (see “Collection of Optional and Required Formats for Presenting Sections of the Dossier” in the Additional References list at the top of this regulation). Department heads or designees must use the template letter to request external review letters, although it may be augmented as needed.
B.  Annotated listing of evaluators showing professional affiliation and providing commentary on reputation in the field and means of selection. (see “Collection of Optional and Required Formats for Presenting Sections of the Dossier” in the Additional References list at the top of this regulation). There must be indication in this list of who proposed each reviewer, i.e., candidate, departmental voting faculty, department head.
C.  Insert external letters. 

The Departmental Voting Faculty (DVF) assessment and the Department Head’s recommendation must follow the RPT Dossier Format outline; i.e., do not provide in memorandum format, insert memoranda or include language as if written to an individual or group.

A.  Written assessment by the DVF. (Page limit: 2) {See NCSU REG05.20.05 - Consultation and Written Assessments, Recommendations and Responses in RPT Review}
B.  Department head's written recommendation including early tenure explanation, if applicable and explanation of missing DVF votes. (Page limit: 2)
C.  Optional candidate response if applicable (Page limit: 2).  The department head must make any candidate response available to the DVF.


Section IX to be completed by the dean

IX. COLLEGE ASSESSMENT AND RECOMMENDATION {See NCSU REG05.20.05 - Consultation and Written Assessments, Recommendations and Responses in RPT Review}

The College Reappointment, Promotion, and Tenure Committee assessment and the Dean’s recommendation must follow the RPT Dossier Format outline; i.e., do not provide in memorandum format, insert memoranda or include language as if written to an individual or group.

A.  Written assessment by the College Reappointment, Promotion, and Tenure Committee [CRPTC].  (Page limit: 2)
B.  Dean's written recommendation including early tenure explanation, if applicable. (Page limit: 2)
C.  Optional candidate response if applicable (Page limit: 2).  The dean must make any candidate response available to the CRPTC and to the department head who must, in turn, make it available to the DVF.

4.  The dossier is to be considered in the control of the candidate until the candidate’s portion is completed and the faculty member’s attestation by signature is on the Dossier Cover Form.  Release to any other party (except the department and college RPT liaisons who must have access) of any parts of the dossier before the candidate signs the dossier (such as to external reviewers) requires the candidate’s express permission.