PPM 8-13, Maintenance of Professional File
	Responsible Office: Academic Affairs

1.0 PURPOSE
The purpose of this policy is to provide the process and format of maintaining professional files as distinguished from personnel files. 

2.0 REFERENCES

2.1 PPM 8-8, Credit for Time Served in Rank at Accredited Institutions
2.2 PPM 8-24, Service at Accredited Institutions as Part of Probationary Period for Tenure

3.0 POLICY

3.1 During the probationary period, a digital professional file will be maintained for the purposes of tenure and promotion for each faculty member managed by the Office of the Dean. The file will be maintained following guidelines established by each college, which will include methods for managing access to the file. Each college will also determine whether official letters and other elements should be maintained in paper or digital format. If the faculty member chooses to maintain a digital file, it should be created using the campus course management system. This file is to be distinguished from the personnel file maintained in the personnel office and will include the following documents:

3.1.1 The standard autobiographical form is available from the Office of the Provost and will be rereviewed at least every three (3) years by the Appointment, Promotion, Academic Freedom, and Tenure Committee and approved by Faculty Senate as needed.

3.1.2 Certification forms indicating the number of years granted toward rank or tenure to the candidate at the time of the initial appointment or applicable time on leave as approved under PPM 8-8 and PPM 8-24.

3.1.3 Records of all action and review proceedings by individuals and committees in the ranking tenure process.

3.1.4 Peer evaluation data which assesses all aspects of a candidate's performance and which may include assessment of a candidate's knowledge of subjects taught, quality of course materials used and developed, grading policies and procedures, availability to students, student supervision, maintenance of high academic standards and a personal commitment to improvement.

3.1.5 Summaries of student evaluation data which are representative of the candidate's teaching load, with the evaluation instruments attached.

3.1.6 Other summarized information consistent with criteria for rank or tenure.

3.2 A separate file containing supporting documentation for items in subsections 3.1.4, 3.1.5, and 3.1.6 above should be maintained in the possession of the individual faculty member. Materials in this file could include individual student evaluations, copies of publications, awards, certificates and degrees. It is the responsibility of the faculty member to update the professional file to ensure its completeness prior to the beginning of the ranking tenure review process. Materials may not be added to this file after the review process has begun, unless it is at the request of individuals involved in the review process. Other authorized individuals, including department and college peers, former employers, recognized scholars and professionals within the faculty member's discipline and Ranking Tenure Evaluation Committee members may submit items to the department chair for inclusion into the file. The department chair will send the faculty member a copy of all items which have been sent to the office of the dean for inclusion in the faculty member's professional file. The removal of any documents must occur as follows:

3.2.1    The faculty member must submit a written statement to the department chair presenting the reasons for excluding the item(s) from the file.

3.2.2    The department chair must submit a recommendation to the dean concerning the written statement of the faculty member.

3.2.3    After receiving the recommendation of the department chair, the dean, in consultation with the provost, will decide whether the challenged material will remain in the file.

3.2.4    If the decision is made to delete the challenged material, the removal of the item(s) will be shown in the table of contents as "deleted" and dated.

3.3 Professional files will be made available at any time to the candidate upon request or other authorized individuals after obtaining their signatures. The signature page in paper files will keep a record of who has accessed each file and when.

3.4 As a candidate updates the biographical form, the previous form shall be replaced with the updated form. This procedure for updating the biographical form is not subject to the deletion guidelines stated above.

   

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Revision History

Creation Date: 7-8-93

Amended: 12-23-1998; 8-12-99; 5-6-14; 2-19-2020