TAB #1 PREPARATION OF THE DOSSIER
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TAB #1
PREPARATION OF THE DOSSIER
(WORKING PERSONNEL ACTION FILE)
FOR RETENTION, TENURE, AND PROMOTION
INCLUDE THE FOLLOWING MATERIALS IN THIS SECTION:
● Candidate should insert “Dossier Check-in Cover Sheet” after Tab #1.
Although personnel evaluations are not based upon the organization and format of a candidate’s
dossier, the dossier represents the candidate’s case for retention, tenure, and/or promotion as it
goes through the department/school/division, college, and University review committees. A well-
organized, accurate, and attractively presented file serves the interests of the candidate by
making accessible to the reviewers the information and materials on which the evaluation is
based. The candidate is primarily responsible for the collection, organization, and presentation of
the materials in her or his dossier. The candidate should be familiar with the University
Appointment, Retention, Tenure and Promotion Policy (S98-8), that sets forth the standards and
criteria for appointment, retention, tenure and promotion, and gives examples of activities
appropriate to each review category. Although it is the responsibility of the department, not the
candidate, to secure and/or conduct the necessary evaluations in the areas of academic
effectiveness and scholarly/professional activity, it is in her or his best interest for the candidate
to provide relevant information to the department chair or personnel committee chair including, if
appropriate, the names of possible evaluators.
While the primary responsibility for assembling the dossier belongs to the candidate, University
policy holds the department chair responsible “to ensure that the evidence necessary for a full
and fair evaluation is contained” in the file (S98-8, V, A, 2.a.). Thus, before the closing date not
only the department chair but also members of “evaluating committees and administrators” shall
identify and provide (i.e., put into the dossier) “materials relating to evaluation not provided by the
candidate” (Agreement, 15.12.a.). The responsibility for providing all of the material necessary for
conducting the review is thus joint.
All retention, tenure and promotion candidates appointed since Fall 1990 have been asked to use
standardized dossier dividers as guides for the preparation of the dossier. These dossier dividers
have been produced to help all candidates and all Retention, Tenure and Promotion committees
in the preparation and evaluation of the dossier. The ideal dossier makes the very best case
possible for the candidate; it can be slim, contain only substantive material and appropriate
evaluative documentation. One volume only is recommended.
Rev. 09/17/2014TAB #2
RETENTION AND TENURE RECOMMENDATION
Evaluation of Retention/Tenure Candidate
by Review Committees and Administrators FOR THE CURRENT RTP CYCLE
INCLUDE THE FOLLOWING MATERIALS IN THIS SECTION:
● Candidate should insert Retention and Tenure Recommendation Form (“Yellow
Form”) after Tab #2
● University, College, Chair (if not on departmental committee), and Department
level reviews for retention and tenure as well as candidate responses/rebuttals
should be inserted after Yellow Form
Evaluative statements should address the two principal criteria for personnel evaluation: 1)
Effectiveness in Academic Assignment, and 2) Scholarly or Artistic or Professional Achievement.
Succinct evaluations (not merely summaries) of the major activities or achievements should be
provided. All levels of review should explicitly address the standards of the University ARTP
Policy for the particular personnel action sought and should be comprehensive and cumulative.
All levels of review are urged to objectively describe and evaluate the candidate's performance.
Recommendations by subsequent committees and administrators should be evaluative and
explicitly address University standards or other relevant documents such as; the letter of
appointment, chair’s description and University-approved college or department RTP guidelines
for the particular personnel action sought. If a full review is recommended for the third or fifth
year, the reasons for this recommendation must be clearly stated. Reasons for dissenting votes
or negative recommendations must be explicitly described.
Rev. 09/17/2014TAB #3
PROMOTION RECOMMENDATION
Evaluations of Candidate for Promotion
by Review Committees and Administrators FOR THE CURRENT RTP CYCLE
INCLUDE THE FOLLOWING MATERIALS IN THIS SECTION:
● Candidate should insert Promotion Recommendation Form (“Blue Form”) after
Tab #3
● University, College, Chair (if not on departmental committee), and Department
level reviews for promotion as well as candidate responses/rebuttals should be
inserted after Blue Form
Evaluative statements should address the two principal criteria for personnel evaluation: 1)
Effectiveness in Academic Assignment, and 2) Scholarly or Artistic or Professional Achievement.
The department should provide succinct evaluations (not merely summaries) of the candidate's
major activities or achievements for the period under review only, i.e., the period since “the closing
date specified for the last successful promotion” or, if there has been no previous promotion at
San José State, since appointment. The departmental evaluation should be explicitly related to
the standards addressed by University policies or other relevant documents such as; the letter of
appointment, chair’s description and University-approved college or department RTP guidelines
for the particular personnel decision being considered. All levels of review are urged to objectively
describe and evaluate the candidate's performance. Recommendations by subsequent
committees and administrators should be evaluative and should explicitly address University
standards for the particular personnel action sought. Reasons for dissenting votes or negative
recommendations must be explicitly described.
Rev. 09/17/2014TAB #4
CONTEXT FOR REVIEW
⇨ FOR PROBATIONARY FACULTY, INCLUDE THE FOLLOWING MATERIALS IN THIS SECTION:
● CHAIR’S DESCRIPTION OF ACADEMIC ASSIGNMENT (must be signed and dated)
● TENURE CLOCK STOP (if applicable)
● APPROVED RTP GUIDELINES, DEPARTMENTAL/COLLEGE (if applicable)
● A CURRENT COMPREHENSIVE PROFESSIONAL VITAE
● AN INDEX TO THE CURRENT DOSSIER (see next page for template)
● INITIAL PROBATIONARY APPOINTMENT LETTER (must be signed by Dean and candidate)
● ALL PRIOR RTP-RELATED REVIEWS (In reverse chronological order)
o Annual Evaluation forms, Annual Summary of Achievements, and any
responses/rebuttals from prior “mini reviews” (1st, 3rd, 5th year)
o Prior Performance Reviews: Retention & Tenure Form and/or Promotion Form
Provost’s Recommendation, Faculty Affairs AVP Recommendation, Dean’s
Recommendation, College Committee Recommendation, Chair’s Recommendation
(if not on departmental committee), Department Committee Recommendation,
responses/rebuttals, Chair’s Description of Academic Assignment, Approved RTP
Guidelines (if applicable), Curriculum Vitae, and Dossier Index.
⇨ FOR TENURED FACULTY SEEKING PROMOTION, INCLUDE THE FOLLOWING MATERIALS IN
THIS SECTION:
● CHAIR’S DESCRIPTION OF ACADEMIC ASSIGNMENT (must be signed and dated)
● APPROVED RTP GUIDELINES, DEPARTMENTAL/COLLEGE (if applicable)
● A CURRENT COMPREHENSIVE PROFESSIONAL VITAE
● AN INDEX TO THE CURRENT DOSSIER (see next page for template)
● INITIAL PROBATIONARY APPOINTMENT LETTER (must be signed by Dean and candidate)
● RTP-RELATED REVIEWS, INCLUDE THE MOST RECENT SUCCESSFUL PROMOTION
REVIEW & ANY SUBSEQUENT REVIEWS (in reverse chronological order)
o Retention & Tenure Form and/or Promotion Form
Provost’s Recommendation, Faculty Affairs AVP Recommendation, Dean’s
Recommendation, College Committee Recommendation, Chair’s Recommendation
(if not on departmental committee), Department Committee Recommendation,
responses/rebuttals, Chair’s Description of Academic Assignment, Approved RTP
Guidelines (if applicable), Curriculum Vitae, and Dossier Index
o Post-Tenure Reviews (if applicable)
➢ REMOVE ALL REVIEWS PRIOR TO THE MOST RECENT SUCCESSFUL PROMOTION
Rev. 09/17/2014Dossier Index Template
The index should itemize and identify by title and date each document in the dossier in the order in which it is included
in the dossier. It would be most useful if each section of the dossier was introduced by a statement pertinent to that
section of the index. Please arrange the dossier material according to the dossier dividers as follows:
I. Effectiveness in Academic Assignment
A. Teaching Effectiveness (Documentation to be included in Tab #5)
1. List of classes taught and assigned time received by semester.
2. List of syllabi in the order of appearance in the dossier identified by course number and name.
3. List of selected course materials in the order of appearance in the dossier.
4. List of student evaluations in the order of appearance in the dossier identified by semester and year.
5. List of peer evaluations in the order of appearance in the dossier by name of evaluator, semester & year.
6. List of other evaluations of your academic assignment in order of appearance in the dossier.
B. Service to the Students and to the University (Documentation to be included in Tab #6)
1. List, in order of appearance in the dossier, of descriptions and evaluations, if any, of committee service.
2. List, in order of appearance in the dossier, of descriptions and evaluations, if any, of administrative
service.
3. List, in order of appearance in the dossier, of descriptions and evaluations, if any, of educational equity
activities.
4. List, in order of appearance in the dossier, of descriptions and evaluations, if any, of advising
responsibilities.
5. List, in order of appearance in the dossier, of descriptions and evaluations, if any, of community service
activities directly related to your academic assignment.
6. List, in order of appearance in the dossier, of descriptions and evaluations, if any, of other activities that
demonstrate service to the students and the University.
II. Scholarly or Artistic or Professional Achievement
A. Scholarly or Artistic Activities During the Period Under Review (Documentation to be included in Tab #7)
1. List, in order of appearance in the dossier, of each item of documentation and evaluation, if any, of
publications, creative productions, technical reports, published software, grants/contracts awarded, etc.
2. List, in order of appearance in the dossier, of each document confirming forthcoming scholarly or artistic
work.
3. List, in order of appearance in the dossier, of each description and evaluation, if any, of work in progress.
4. List, in order of appearance in the dossier, of each document and evaluation, if any, related to scholarly
or artistic presentations at professional associations and conferences.
5. List, in order of appearance in the dossier, of any other evidence of scholarly or artistic achievement.
B. Professional Contributions and Activities (Documentation to be included in Tab #8)
1. List, in order of appearance in the dossier, of descriptions, documents, and evaluations, if any, related to
each workshop, seminar, panel, symposium, conference, etc. to which you contributed.
2. List, in order of appearance in the dossier, of brief descriptions of each of your contributions through
organization offices held or active committee work.
3. List, in order of appearance in the dossier, of brief descriptions related to each of your consulting activities.
4. List, in order of appearance in the dossier, of brief descriptions of each of your community service
activities.
5. List, in order of appearance in the dossier, of brief descriptions of unrefereed professional writing
completed as part of professional activity (for newsletters, etc.).
6. List, in order of appearance in the dossier, of honors and awards for scholarly and professional activities.
7. List, in reverse chronological order, of courses taught, lectures given in professional contexts.
8. List, in reverse chronological order, of any coursework or degrees completed.
9. List of descriptions, documents and evaluations of any other evidence of professional achievement that
is included in your dossier.
III. Materials Added During Open Period
A. Additional Materials Necessary to Evaluate Candidate’s Performance During the Period Under Review
1. List, in order of appearance in this section materials provided by the chair, by evaluating committees and
administrators relating to evaluation not provided by the candidate and candidate’s response, if any.
Rev. 09/17/2014TAB #5
I. EFFECTIVENESS IN ACADEMIC ASSIGNMENT
A. Teaching Effectiveness
This section should contain the following, but, generally, not more than the following unless there are
special circumstances.
1. Classes Taught
In reverse chronological order, list by semester classes taught during the period under review;
include course number, title or course, and the census enrollment. Any assigned time and its
purpose should also be listed for each semester.
2. Selected Syllabi
During the period under review, include ONE syllabus for each course taught (but not for each time
the course was taught). It is highly effective to include syllabi for those classes that have been
evaluated by peers or students.
3. Selected Course Materials
A limited sample of representative course materials, such as handouts and exams--matching
the syllabi included--are appropriate for inclusion. However, do not include all course materials or
course textbooks; if you have authored and self-published a textbook used in your classes, you
may include colleague evaluation of the textbook but not the textbook itself.
4. Student Evaluations
In reverse chronological order, include all official student evaluations (both statistical and
narrative portions) of all courses evaluated during the period under review.
Be sure to identify clearly the course title, the semester and year, the number of evaluations and
the census enrollment.
If desired, include brief comments or explanations, which may be useful to reviewers in interpreting
the results of the student evaluations.
5. Peer Evaluations
In reverse chronological order, include peer evaluations, and clearly indicate course number,
title, semester year, and date of evaluation. University policy F12-6 requires a minimum of one
peer evaluation per year for retention, tenure and promotion to Associate Professor candidates.
For candidates seeking promotion to Professor, peer reviews in at least two different courses during
the period of review are required. The department chair is responsible for securing these
evaluations.
In reverse chronological order, include other types of evaluations of teaching assignment by
peers, such as evaluations of supervisory activity in the field by professional colleagues off-campus.
Evaluations of such work are most useful if comprehensive, systematic and solicited by an impartial
agent.
6. Other Evaluations
In reverse chronological order, list other indicators or assessments of your success as a teacher,
such as student success in post-graduate activities, teaching awards, etc. Signed student letters
are generally not useful unless they are quite specific and comprehensive in their evaluation of
your teaching.
Rev. 09/17/2014TAB #6
I. EFFECTIVENESS IN ACADEMIC ASSIGNMENT
B. Service to the Students and the University; where applicable, indicate assigned time
received for service activities.
1. Committee Service
List all committee activity, during the period under review, noting beginning and ending
dates and the level of the committee (departmental, college, or University). For each
committee, describe in a few sentences your contribution to the achievements of the
committee. Do not include letters of appointment to the committees, minutes,
agendas, or thank you letters; these are not useful in dossiers. Only if your work has
been beyond the usual contribution, should you seek systematic and comprehensive
evaluations of your committee activity.
2. Administrative Service
List dates of such service during the period under review and briefly describe your
achievements. For department chairs and coordinators, evaluations of such work by
colleagues and peers on campus are most useful if comprehensive and systematic.
Documented evaluation of administrative service is only necessary if it is a major
portion of the academic assignment or if it signals unusual and significant
accomplishments.
3. Educational Equity Activities
List the dates of such service during the period under review. Briefly describe your
achievements; documented evaluation is only necessary if such educational equity activity
is a major portion of your academic assignment or if it represents unusual and significant
accomplishments.
4. Advising Responsibilities
List the dates of such service during the period under review. Briefly describe your
achievements; documented, objective evaluations in sufficient numbers are useful
particularly if such advising is a major portion of your academic assignment or represents
significant accomplishment.
5. Community Service
Describe in a few sentences activities directly related to your academic assignment which
demonstrate service to the community, such as outreach activities to school districts, etc.
6. Other
Describe in a few sentences any other activities that demonstrate service to students and
the university.
Rev. 09/17/2014TAB #7
II. SCHOLARLY OR ARTISTIC OR PROFESSIONAL ACTIVITIES
A. Scholarly or Artistic Activities During the Period Under Review
1. Publications or Artistic Productions
For the period under review, list--in reverse chronological order and in the standard
bibliographic form for your disciplines--publications, articles, textbooks, monographs,
patents, software, creative productions, technical reports, grants awarded, software
developed and published. Indicate, when applicable, whether or not a refereed or juried
process was involved, what that process was, and, when appropriate, how competitive
that process was.
For all refereed achievements, include the document itself, e.g., the journal article,
the monograph, the textbook, the grant, the patent granting notification, the museum
catalog, the program of the performance, etc. Evaluation in addition to the refereed
process is not necessary, although published book reviews, grant reviews, or newspaper
or magazine reviews of creative production should be included. Translations of articles
published in non-English journals or documented evaluation of non-English publications
should normally be provided.
If a publication or creative activity has not undergone a refereed or juried process, then
impartial and objective evaluation should be sought.
2. Scholarly or Artistic Work Forthcoming
List all forthcoming publications, creative achievements, scientific work, patents or grants
in the process of being awarded, etc. Include a short description of the project and its
status, e.g., a letter documenting acceptance of the work, galley proofs, reviewers'
comments on articles, books, software, grants, revision requests, etc. Inclusion of the
work itself is encouraged.
3. Scholarly or Artistic Work in Progress
In a few sentences describe the project and the progress achieved to date. For work,
which is still in progress but is intended to contribute significantly to achievement in the
scholarly or artistic area, impartial professional evaluation must be sought. If the work has
been submitted for publication, identify where it has been submitted and include any
correspondence about its status. Inclusion of the work itself is encouraged.
4. Scholarly or Artistic Presentations at Professional Conferences
List scholarly papers or other scholarly/artistic presentations presented to professional
associations in reverse chronological order. Document such activity only once either
with the letter of acceptance or with the program or with the proceedings. Colleague
evaluations of such scholarly presentations are useful only if they directly evaluate the
specific content of the paper and are not routine reviews or thank you notes. Inclusion of
the work itself is encouraged.
5. Other
Rev. 09/17/2014TAB #8
II. SCHOLARLY OR ARTISTIC OR PROFESSIONAL ACTIVITY
B. Professional Contributions and Activities
In this section list activities pertaining to disciplinary and professional activities and associations
appropriate to your assignment. Neither extensive documentation nor outside evaluation is
usually necessary. However, if you wish to establish that the scope of your professional
achievement is so compelling that it constitutes your major contribution in the scholarly or artistic
or professional area, then comprehensive evaluation of your professional achievements must be
obtained from impartial colleagues.
1. Workshops or Seminars
List in reverse chronological order any workshops, panels, and/or symposia organized and/or
in which you participated as a speaker or panelist. Briefly describe your role in these events
and their contribution to the profession or discipline.
2. Offices Held
List in reverse chronological order, noting year, all offices held, and whether organization is
local, regional, or national. Briefly describe your significant contributions to the profession
through these organizational offices.
3. Consulting
Describe consulting work or other such activity in which there was significant use of the
candidate's professional expertise. Examples include pre-publication manuscript reviews,
training sessions for industry, judging artistic performances or exhibitions, summer work for
government agency or scientific laboratory, advisory committee activities for state, local, or
federal governmental agencies.
4. Community Service
Describe any service to the community, state or nation in a capacity related to your discipline
and requiring professional knowledge or skills. Identify service to K-14 educational segments
or other groups related to the institutional mission of a metropolitan university.
5. Unrefereed Professional Writing
Document unrefereed articles for dictionaries, encyclopedias, newspapers, newsletters,
editorships, etc.
6. Honors and Awards
List honors or awards for scholarly, artistic or professional activities only if not listed elsewhere
in the dossier.
7. Professional Achievements
Briefly describe any other professional achievements which represent significant
contributions beyond the campus to your discipline or profession.
8. Coursework or Degrees Completed
Briefly describe any coursework or degrees completed.
9. Descriptions, Documents and Evaluations of Other Professional Achievements
List evidence of any other professional achievement that is included in your dossier.
III. Materials Added During Open Period
1. List each item; include candidate’s response if any.
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