Summary 9: Dossiers for the Professional Research Series

I. Applicability
II. Requested Action
III. Actions Requiring Dossiers
IV. Submission of Dossier to the Academic Affairs and Personnel Office
V. Resulting Action

I. Applicability

The following procedural information serves to implement the policies set forth in The CALL.

Please refer to the appropriate section for clarification of terminology, review requirements, and approval authority, as these apply to the Professional Research Series.

II. Requested Action

Deans are requested to publish supplementary instructions to Principal Investigators, Directors, and Department Chairs regarding the form in which recommendations are to be submitted and the deadline by which such actions are to be received in the Dean’s Office.

The Dean, as approving officer, is expected to:

assure departmental compliance with APM-220 (see Appendix 2, "Synopsis of Academic Personnel Manual Section 220");
determine availability of appropriate funding;
secure Council on Academic Personnel review of the recommendation if required;
act on the case; and
forward the original of the dossier if required (collated in accordance with the following instructions) to the Academic Affairs and Personnel Office
ensure non-dossier actions for Assistant Researchers are maintained appropriately

Whenever the Chancellor’s action is required, the Dean is asked to:

assure departmental compliance with APM-220 (see Appendix 2, "Synopsis of Academic Personnel Manual Section 220");
determine availability of appropriate funding;
enter his recommendation on the summary;
assure that dossiers are collated in accordance with the following instructions; and
forward completed dossiers to the Academic Affairs and Personnel Office.

It is expected that Deans will retain the final copy received of each dossier for their files.

See Appendix 23 for "Faculty Search Guidelines" for additional responsibilities of the Dean with regard to appointments.

Following completion of the review process, the Dean is expected to inform the recommending officer (and the candidate through the Recommending Officer) of the basis for any decision involving denial or alteration of the recommendation. See APM-160 for access to Academic Personnel Records.

III. Actions Requiring Dossiers

Actions requiring dossiers for the Professional Research series are:

Appointment to Associate or Full Researcher;
Promotions to Associate or Full Researcher;
Merits at the Associate or Full Ranks;
Merit increase to Step VI; and
Advancement to Above Scale
Further Above-Scale Advancement

Note: Appointments and merit advancement at the Assistant Research rank do not require dossiers.

Employing Principal Investigators, Directors, and Department Chairs are requested:

to review the "Guidelines" (see Appendix 1, "Guidelines for Department Chairs and Other Recommending Officers") and to comply with APM 220 (see Appendix 2, "Synopsis of Academic Personnel Manual Section 220");
to determine those Professional Research series on funds under their jurisdiction requiring review; and
to submit their recommendations in accordance with the supplementary instructions provided by their Deans.

When the Recommending Officer is the Director of an Organized Research unit which is not associated with a School or College, that officer is expected to:

prepare a dossier in support of each of the recommendations; and
forward these along with those of Principal Investigators whose grants or contracts were solicited under the sponsorship of that unit directly to the Academic Affairs and Personnel Office in the form and by the date stipulated in the instructions to Deans.

IV. Submission of Dossier to the Academic Affairs and Personnel Office

A dossier must be submitted by the Dean’s Office to the Academic Affairs and Personnel Office in support of each recommendation.

Appointment Dossier for Associate
and Full Professional Researchers

Submit the original dossier and one copy in the indicated order:

Minimum Dossier Content	Instructions
1. Statement from the Dean	A recommendation from the Dean is necessary when the Chancellor is the final approval authority (detached).
2. Appointment Data Summary	Complete cover page and prepare Bibliography in accordance with instructions.
3. CAP Report	If Dean has final approval authority, send dossier for vote and recommendation to CAP and include statement here.
4. Report of the Department/Unit	A summary of the department or unit assessment of the candidate prepared by the Chair or Unit Head. Chair or Unit Head’s individual recommendation (if contrary to the department recommendation) may be submitted in a separate statement
5. Department/Unit Ad Hoc Report	A written report made available to the voting constituency of the department/unit, if a separate committee was convened.
6. List of Extramural Authorities	List of the extramural authorities solicited for this action. List must indicate if authority was suggested by the candidate or by the Chair/Unit Head. A brief, one paragraph biography of each extramural authority is required.
7. Sample Solicitation Letter	A copy of the letter that was mailed to the extramural authorities.
8. Letters of Evaluation	The evaluations received in response to the solicitation letters. Sort in reverse chronological order. Unsolicited letters should follow in the same manner.
9. Curriculum Vitae	Do not include material already covered in the Bibliography.
10. Academic Recruitment-Selection Compliance Form	Forward the completed form with the appointment dossier (detached).

Merits for Associate Professional Researchers to
Researcher V, VII – IX & Further A/S

Minimum Dossier Content	Instructions
1. Statement from the Dean	A recommendation from the Dean is necessary when the Chancellor is the final approval authority (detached).
2. Merit Data Summary	Complete all pages and prepare Bibliography in accordance with instructions.
3. CAP Report	If Dean has final approval authority, and action requires CAP review, send dossier for vote and recommendation to CAP and include statement here.
4. Report of the Department/Unit	A summary of the department or unit assessment of the candidate prepared by the Chair or Unit Head. Chair or Unit Head’s individual recommendation (if contrary to the department recommendation) may be submitted in a separate statement
5. Department/Unit Ad Hoc Report	A written report made available to the voting constituency of the department/unit, if a separate committee was convened.
6. Self Statement	At the option of the candidate, a self statement may be included.
7. Curriculum Vitae	Do not include material already covered in the Bibliography.

Merit to Professional Researcher VI
and Initial Above Scale

Minimum Dossier Content	Instructions
1. Statement from the Dean	Chancellor is the final approval authority for all merits to Above Scale. A recommendation from the Dean is required (detached).
2. Merit to VI and Above Scale Data Summary	Complete all pages and prepare Bibliography in accordance with instructions.
3. CAP Report	If Dean has final approval authority, send dossier for vote and recommendation to CAP and include statement here.
4. Report of the Department/Unit	A summary of the department or unit assessment of the candidate prepared by the Chair or Unit Head. Chair or Unit Head’s individual recommendation (if contrary to the department recommendation) may be submitted in a separate statement
5. Department/Unit Ad Hoc Report	A written report made available to the voting constituency of the department/unit, if a separate committee was convened.
6. List of Extramural Authorities	List of the extramural authorities solicited for this action. List must indicate if authority was suggested by the candidate or by the Chair/Unit Head. A brief, one paragraph biography of each extramural authority is required.
7. Sample Solicitation Letter	A copy of the letter that was mailed to the extramural authorities.
8. Letters of Evaluation	The evaluations received in response to the solicitation letters. Sort in reverse chronological order. Unsolicited letters should follow in the same manner.
9. Self Statement	At the option of the candidate, a self statement may be included
10. Curriculum Vitae	Do not include material already covered in the Bibliography.

Promotion to Associate and Full
Professional Researcher

Minimum Dossier Content	Instructions
1. Statement from the Dean	A recommendation from the Dean is necessary when the Chancellor is the final approval authority (detached).
2. Promotion Data Summary	Complete all pages and prepare Bibliography in accordance with instructions.
3. CAP Report	If Dean has final approval authority, send dossier for vote and recommendation to CAP and include statement here.
4. Report of the Department/Unit	A summary of the department or unit assessment of the candidate prepared by the Chair or Unit Head. Chair or Unit Head’s individual recommendation (if contrary to the department recommendation) may be submitted in a separate statement
5. Department/Unit Ad Hoc Report	A written report made available to the voting constituency of the department/unit, if a separate committee was convened.
6. List of Extramural Authorities	List of the extramural authorities solicited for this action. List must indicate if authority was suggested by the candidate or by the Chair/Unit Head. A brief, one paragraph biography of each extramural authority is required.
7. Sample Solicitation Letter	A copy of the letter that was mailed to the extramural authorities.
8. Letters of Evaluation	The evaluations received in response to the solicitation letters. Sort in reverse chronological order. Unsolicited letters should follow in the same manner.
9. Self Statement	At the option of the candidate, a self statement may be included.
10. Curriculum Vitae	Do not include material already covered in the Bibliography.

V. Resulting Action

When the Chancellor is the final approval authority for the advancements to Initial Above-Scale status and Further Above-Scale actions, the Academic Affairs and Personnel Office will forward to the Dean’s Office a copy of the approved Data Summary Cover Sheet immediately upon completion of the review.

When the action is the Dean’s final approval authority, the completed original dossier is forwarded to the Academic Affairs and Personnel Office for inclusion in the personnel file.

For actions approved for the Assistant Researcher rank, the completed Data Summary cover Sheet is forwarded to the Academic Affairs and Personnel Office. Documentation, correspondence, C.V. and any other background material is maintain at either the Dean’s Office or in the department.

Revised 10/13/99

Web page updated 5/31/05