Section IV: Candidate Files

IV. A.: File Preparation

The UNL Guidelines state that candidates for promotion (V.D.3.) and tenure (VI.D.4.) are responsible for preparing a documentation file to support their nominations. Chairs, unit administrators, and deans are obligated to help candidates "as to the form and substance" of a file. In particular, chairs or their designees should take care to make sure that candidate files include elements that candidates may not, and in some cases should not, be able to obtain on their own (e.g., comparative analyses of course evaluations, peer reviews of instruction, and external letters). Vice chancellors should instruct units that report to them about how the documentation should be organized. Paraphrased, the Guidelines also state the following. (V.D.3. and VI.D.4.)

A file's contents and the emphasis to be given to different parts of it may vary from discipline to discipline. Candidates are entitled to examine all materials in their files with the possible exception of external reviews of their work; candidates may waive their rights to examine external reviews, comment on them, and/or know who wrote them. Candidates are entitled to know the identity of everyone who reviews their files.

Anyone with relevant information may offer that information for inclusion in a candidate's file to the person responsible for conducting the review at any level of consideration. That person will decide whether to include the material after consulting with the candidate. The candidate must be informed of the content and source of any new substantive evidence to be added to his or her existing file and has a right to review, object to, and respond in writing to any such added material with the response becoming a part of the file. (V.D.3 and IV.D4) Five (5) working days from the day they are informed (in writing) should provide adequate opportunity and time for candidates to respond in writing to the possible inclusion of new material in their files. (Communication from the SVCAA's office) Departments and the College must plan to provide this due process within the campus deadlines set by the SVCAA.

A candidate may ask a colleague to help prepare appropriate documentation. The candidate and the adviser should be aware of the potential conflict of interest that may arise should the latter have to vote on the nomination later in the process. "An agreement to provide counsel and advice to a candidate does not imply a commitment to support the candidate's nomination."

In addition, SVCAA Edwards notes the following.

All discussions, reviews, and evaluations must be based on the material submitted in the file. While understandably a candidate's colleagues may have other knowledge of the candidate based on departmental interactions, etc., it is very important that the review be based only [emphasis added] on material in the file. Part of the task of constructing an appropriate file is making sure that all relevant information is contained in it. (Memo of September 12 1997, p. 1) It is the responsibility of the official presiding at every stage of the review process to delay voting or making a final recommendation in order to give candidates five (5) working days from the time when they are informed about the possible inclusion of new material in their files to review, object to, and respond in writing to its inclusion.

The A&S Handbook observes that a major cause of controversy and conflict is incomplete folders (or files). (p. 28) It adds that preparing a folder "is not something that can be done without some forethought and planning." Much of the documentation in a file should "already have been collected in departmental personnel files and material...." (p. 27) The next section inventories file contents and is based on the Handbook, UNL Guidelines, and memos from the Dean and SVCAA. The inventory lists documentation that must be included in files at the department level (i.e., by the candidate and by those involved in assessing candidate performance) for candidates for promotion to associate or full professor and for tenure.

Candidates have a right to make copies of information in their files. (Handbook, p. 31 ) This right is limited by the waivers that candidates sign related to external reviews of their work.

IV. B.: File Contents

Candidates for tenure and/or promotion must submit complete files that include the following four folders.

Materials to be Included in the File