CFE Guide to Faculty Annual Reviews
Resources for Chairs
The UNC Center for Faculty Excellence (CFE) is dedicated to faculty development
throughout the career trajectory. Yearly faculty reviews with Chairs can be an important part of the
process as a means for faculty to set goals and remain on track to achieve them. The CFE Guide to
Faculty Annual Reviews is an interactive resource that was developed to assist Chairs in planning and
completing reviews with faculty and to provide faculty with guidance in preparing for review meetings.
TABLE OF CONTENTS
This is an interactive document – you can click on topics below to navigate from section to section.
Page
Why Do Faculty Annual Reviews? ......................................................................................... 3
Overview of the Faculty Annual Review Process .................................................................... 4
The Chair’s Role .................................................................................................................................................. 4
Selecting Data Points for the Faculty Annual Review ......................................................................................... 5
Preparing for the Faculty Annual Review Meeting ............................................................................................. 8
Setting the Agenda for the Faculty Annual Review Meeting .............................................................................. 8
The Follow-Up ..................................................................................................................................................... 9
Additional Resources for Chairs ............................................................................................ 9
Chair’s Annual Review Preparation Checklist ..................................................................................................... 9
Example Questions to Discuss During Faculty Annual Review ......................................................................... 10
The Conversation—Giving Constructive Feedback ........................................................................................... 11
The SBI Model—Best Practice for Giving Constructive Feedback .................................................................... 12
Seeking Feedback and Considering Perspectives: Be Proactive and Persistent in Seeking Feedback ............. 13
Responding To and Handling Difficult Reactions .............................................................................................. 14
Additional Resources for Faculty ........................................................................................ 15
The Faculty Member’s Role .............................................................................................................................. 15
Example Questions to Discuss With Mentor to Prepare Self-Assessment ....................................................... 20
Preparing the Curriculum Vitae ........................................................................................................................ 21
The “Mentoring Map”: Role of Mentors, Sponsors, Readers, and Others ....................................................... 21
Individual Development Plans (IDPs) ................................................................................................................ 22
Developing Teaching Portfolio Resources ........................................................................................................ 22
Resources ......................................................................................................................... 23
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Why Do Faculty Annual Reviews?
Faculty Annual Reviews have been more widely employed in recent years for a number of reasons.
Department Chairs may simply have been given a mandate to complete them, which, for many, is
reason enough. Although Chairs may have a number of opportunities to engage with faculty around
their individual and institutional goals, Faculty Annual Reviews provide Chairs with opportunities to
discuss the following.
Engagement and Relationship: The Faculty Annual Review can be an opportunity to acknowledge
and appreciate faculty members’ contributions and accomplishments, and to provide feedback. It
also offers an opportunity to “demystify” the work of the Chair, conveying dedication to each faculty
member’s path, not only toward promotion and/or tenure but in other career and professional areas
as well.
Progression toward Promotion and/or Tenure: The Faculty Annual Review is an excellent way to
gauge faculty progress and can engage the faculty member in taking ownership of the process. It is
an opportunity to provide constructive feedback or coach the faculty member in areas of growth and
career development.
Outcomes Measurement: The Faculty Annual Review can collect yearly data to inform internal
evaluation, accreditation, funding opportunities, and more.
Communication: The Faculty Annual Review can be an important, individualized component of
internal communication of departmental goals, new initiatives in and outside of the department,
and upcoming challenges. (See Figure 1).
Individual
Faculty
Department
University
• Teaching
• Research
• Service
• Professional Career Tracks
• What does the individual faculty need?
• Curriculum (New or Emerging)
• Research and Publications Targets
• Service and Leadership for UNC-CH and
Community
• What does the department need?
• New Learning Initiatives
• Premier Publications and Research
• Service and Leadership for Strategic
Initiatives
• What does the University need?
Figure 1. Engaging Perspectives
Aligning Development Goals
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Overview of the Faculty Annual Review Process
An overview of the Faculty Annual Review Process is illustrated below (See Figure 2). It is important to
note that the process involves preparation—for both the Chair (or designee) and the faculty member.
In subsequent sections, determination of what exactly is done in preparation and how that preparation
is collected and utilized is covered in detail.
The Chair’s Role
The Department Chair is at the helm of the Faculty Annual Review Process. The Chair determines:
How and when Annual Review meetings are scheduled
Who initiates the meeting? Who attends? For example, some departments may designate a senior
faculty member to assist in and/or lead the process. This could be a Division Chief, Vice or Associate
Chair, or another faculty member devoted to faculty development in the department.
Another consideration is the amount of time allotted for the meeting. Is the meeting primarily a
“check-in,” or does it require more time? This may vary not only from department to department,
but also from faculty member to faculty member. Navigating to convey fairness to faculty members
is important.
Figure 2. Overview of Annual Review Process – Chairs
Preparation
•Select data points
•Create faculty self-assessment form (see examples)
•Review faculty material (teaching evaluations, portfolios, self-assessment forms)
•Set the meeting agenda (areas of faculty success and growth, departmental or school-wide goals or initiatives)
Meeting
•Acknowledge faculty members' strengths and answer any questions
•Provide constructive feedback and suggest resources
•Communicate your goals for the department and for the faculty member
•Agree on a timeline for action items
Follow-Up
•Determine process for documentation
•Document meeting occured (sign-off, email confirmation, etc.)
•Communicate any plan for action items
•If appropriate, acknowledge the timeline agreed upon for key action items
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What data points are most helpful in completing the Annual Review
A Faculty Self-Assessment (the faculty member’s assessment of their accomplishments and goals
in various areas of their work) is recommended. There are other items to consider: teaching
evaluations, teaching portfolio, curriculum vitae, peer evaluations, reports from mentors or
supervisors, etc.
The construct of the Annual Review Meetings
How much structure? Chairs should determine:
How much the faculty member contributes to the conversation
Objectives to accomplish in the meeting, such as review or goal-setting, providing feedback,
problem-solving, etc.
Any contributions of mentors and/or other resources
These are just some examples for consideration.
Any follow-up plans to occur as a result of the Annual Review
At minimum, documentation that the Faculty Annual Review Meeting indeed occurred is
recommended. Chairs may also elect to sign-off on the faculty member’s self-assessment and/or
goals for the coming academic year, or provide a written response and/or follow-up plan.
Selecting Data Points for the Faculty Annual Review
Careful selection of data from faculty for reviews is critical, and depends heavily on what each
department needs, as well as the goals for its faculty, the department, school/college, and University.
Figure 3 outlines a process for consideration. Creating and maintaining a process that is feasible for the
department is most important. Large departments—and smaller departments with fewer resources—
may consider choosing fewer data points in order to ascertain that all faculty participate in the annual
review process. Faculty who will soon be up for promotion and/or tenure may require a more detailed
review. Following are some of the data points to consider.
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Self-Assessment
Perhaps the most useful data point is a Faculty Self-Assessment. One version of a comprehensive
self-assessment is included at the end of this document, but this can take many forms. Typically, a self-
assessment will outline a faculty member’s key accomplishments and progress over the past academic
year as well as proposed goals for the coming academic year. Areas of focus may include teaching,
research, service/leadership activities, and, if applicable, clinical activities. Space for the Chair to “sign
off” and/or provide comments is also recommended. The level of detail included can be determined
by the Chair. Striking a balance between faculty effort in completing the self-assessment (which is a
necessary detail for the Chair to review) and the time and effort for the Chair to adequately review the
material provided can be challenging. This may require additional resources, such as administrative
personnel or senior faculty, to accomplish this. The ultimate goal is that the faculty member does what
is necessary to keep them on track for promotion and tenure and to meet their personal career goals.
Excessive documentation that may be construed as “busywork” should be avoided.
Curriculum Vitae
It is recommended that faculty review and update their Curriculum Vitae (CV) at least annually. Use
the Provost’s CV template to create this document regardless of whether the faculty member coming
up for annual review is on the tenure-track, tenured, or fixed-term. Chairs may consider having faculty
submit an updated CV, highlighting achievements over the most recent academic year, in lieu of a
detailed list of accomplishments listed in the Faculty Self-Assessment. The Faculty Self-Assessment
would, in that instance, focus on reflection and goals.
Figure 3. Annual Reviews – Preparation and Outcomes
(Faculty and Chairs)
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Teaching Evaluations
A summary of teaching evaluations from students can be accessed and reviewed, especially if teaching
is a significant part of the faculty member’s work.
Feedback from Mentor(s)
If the department has a formal mentoring program in place, a Chair may want to include feedback from
the mentor, verbally and/or through some documentation, that the mentor has reviewed the faculty
member’s Self-Assessment. This could be a simple check-box or sign-off, or could be a separate
statement depending on goals and needs.
Peer, “360,” and Other Evaluations
For some faculty, collecting evaluations of the faculty member’s performance from peers and/or
others who are familiar with the faculty member’s work can provide valuable information as to faculty
strengths, areas for growth, and progress toward promotion and/or tenure. For example, faculty may
ask a peer to visit their class and provide feedback to the faculty member. The CFE is available to help
faculty interested in peer feedback plan for these visits, including how to give and receive constructive
feedback. A “360” evaluation may be useful for faculty involved in administrative work with numerous
people. Again, weighing the value of this data against the resources required to collect and analyze this
data is important and thus may be more practical for targeted rather than general use. Chairs can
consult the CFE if a “360” review is under consideration.
Teaching Portfolios, Research Statements, and Other Faculty-Created Materials
Faculty are responsible for creating and maintaining other materials, such as Teaching Portfolios and
teaching, research, and/or service statements. It is recommended that faculty use the Annual Review
process as an opportunity to review and update these materials even though, in most cases, it may not
be practical for the Chair to review these for every faculty member each year. However, Chairs can
make faculty aware of the need to update these materials, encourage them to seek guidance from
their mentors to update these materials, and refer them to resources when applicable.
Individual Development Plans
Individual Development Plans (IDPs) are tools that facilitate conversation between mentor and mentee
about the mentee’s professional development needs and expectations. While IDPs typically are used
with postdoctoral and graduate students, a number of research-intensive institutions have adopted
faculty-level IDPs as part of their overall approach to faculty mentoring by helping faculty mentees
create and track progress toward career development goals, particularly as they relate to promotion
and/or tenure. Faculty-level IDP processes and templates are included at the end of this guide (See
Resources). Individual Opportunity Plans (IOPs) can accomplish similar goals.
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Note that some institutions use the term, “development plan,” in different context, such as part of a
remediation plan or in post-tenure planning. A more widespread definition of an IDP is goal-oriented,
constructive, and involves the faculty member (as well as mentors, supervisors, and others) in its
construction. Often, IDPs or IOPs are maintained and used by the faculty member. If a Chair
incorporates IDPs into their Faculty Annual Review Process, the IDP could be a data point for review.
Preparing for the Faculty Annual Review Meeting
Review applicable promotion and/or tenure guidelines related to faculty member’s
appointment status
Review the selected data points, at minimum the Faculty Self-Assessment
From the Faculty Self-Assessment and any other data points, identify success areas
to positively reinforce in the meeting
From the Faculty Self-Assessment and any other data points, identify growth areas
and/or areas that require attention
Consider opportunities for the faculty member based on faculty, departmental,
school/college, and University goals
Identify resources to assist the faculty member with growth areas and goals
Review mentoring that faculty member has received in past year (if applicable)
Consider other topics or areas to discuss in the meeting, such as new initiatives
or challenges that will affect the faculty member
Setting the Agenda for the Faculty Annual Review Meeting
It is important to schedule each Faculty Annual Review Meeting in advance to allow adequate time for
both Chair and faculty member to prepare. Review of all faculty as described in the Preparation for the
Faculty Annual Review Meeting section informs how much time would be allotted for each Faculty
Annual Review Meeting. Enough time should be allotted to discuss the Faculty Self-Assessment and
other data points, review goals for the coming year, and address any questions and concerns. Some
faculty may require more time than others, e.g., faculty who may be offered additional responsibilities,
faculty with significant growth areas or who are not on track, or faculty who are up for promotion
and/or tenure. Alternately, Chairs may wish to schedule the meetings well in advance as prompts for
faculty to submit materials. Attention to providing faculty enough time to prepare for the meeting is
important. Building in some additional time for documentation and follow-up plans, or in the event
of unexpected discussion, is recommended.
Chairs may consider setting a general agenda for all of the meetings that can be sent to all faculty,
which sends a message of consistency. Inviting faculty to add any agenda items would be ideal for
creating a “shared outcome and expectation” for the annual review. This helps to avoid unexpected
topics and keeps the conversation constructive. A typical agenda may include:
Shared Goals for the Meeting
Review of Accomplishments and Challenges
Ideas for Development and Mentoring
Action Steps and Follow-Up
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The Follow-Up
Determining a means of following-up with the faculty member after the Annual Review Meeting
is a key element in the Faculty Annual Review Process. Components of effective follow-up include:
Evidence that the Annual Review occurred
Evidence of Chair’s review of the faculty member’s goals in a timely response. A simple
sign-off can be done in the meeting. Any needed additional documentation can be emailed
(and possibly mailed) shortly after the meeting occurs
A system for filing all communication related to the Faculty Annual Review
Additional Resources for Chairs
Chair’s Annual Review Preparation Checklist
Example Questions to Discuss at Faculty Annual Review
The Conversation—Paese’s Giving Constructive Feedback
The SBI Model—Best Practice for Giving Constructive Feedback
Seeking Feedback and Considering Perspectives
Responding To and Handling Difficult Reactions
Chair’s Annual Review Preparation Checklist
Review of applicable promotion and/or tenure guidelines related to faculty member’s
appointment status
Review of the selected data points, at minimum the Faculty Self-Assessment (including
the reflective statement in this document)
From the Faculty Self-Assessment and any other data points, identify success areas to
positively reinforce in the meeting
From the Faculty Self-Assessment and any other data points, identify growth areas and/or
areas that require attention
Consider opportunities for the faculty member based on faculty, departmental, school/college,
and University goals
Identify resources to assist the faculty member with growth areas and goals
Review mentoring that faculty member has received in past year (if applicable)
Consider other topics or areas to discuss in the meeting, such as new initiatives or challenges
that will affect the faculty member
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Example Questions to Discuss During Faculty Annual Review
To get the most out of the Annual Review Meeting, consider discussing the questions below:
What are your goals, and plans for reaching them (include short-term and long-term)?
How do your current activities and commitments fit with your professional goals? Are there
areas in which you feel you are spending too much time?
Where do you see yourself in three years? At the time of your first promotion or tenure review?
What is your most significant accomplishment of the past year? What are you most proud of?
What is going well for you right now?
Is your mentor available and helpful to you (e.g., regular meetings, introduction to networks,
opportunities to present)?
How can the department help you succeed?
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The Conversation—Giving Constructive Feedback
The feedback conversation is a key element of a strong Annual Review Meeting, and providing useful
feedback effectively can be a challenge. Feedback as Fuel, Not Friction
1
, an article by Matthew J.
Paese, PhD, sets the stage about giving feedback in a ‘reframed’ future perspective—moving forward
with what to do next and why—leveraging energy and restoring motivation. When feedback is
articulated as ‘fuel’ for development, it serves as a catalyst for movement, not criticism. The faculty
member is energized with a conversation that ‘transforms’ the annual review from what is wrong now
to what will be right in the future.
Here are a few highlights and key recommendations adapted from Dr. Paese’s article:
Plan to generate insight for faculty’s future development versus just a ‘ritual’ of an annual
review message.
Brainstorm options for new behaviors and skills development that focus on the impact of future
work. Adopt a mentoring and coaching stance to stimulate faculty’s mission and motivation.
Focus your feedback on what will help the department and the teaching, research, or service
outcomes (organization’s perspective) then focus on listening to the faculty’s self-assessment
and your own assessment of the faculty, engaging in a reinforcing conversation of strengths,
development areas, and future aspirations.
Be specific about teaching, research, and service.
Recognize that there can be, and may be, some tension in the feedback conversation. This
is part of the process for engaging in a conversation that allows vulnerability and yet moves
forward with building confidence by maximizing strengths and providing ‘fuel’ to grow and
develop as a faculty member.
Moving ahead – constructive feedback and ideas for development will offer the annual review
as an opportunity to learn versus survive criticism.
1
Paese, Matthew J., PhD. (2016). Feedback as Fuel, Not Friction. Training: Volume 53, No.6, 56-59.
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The SBI Model—Best Practice for Giving Constructive Feedback
It is important to plan your feedback conversation and to write your key feedback examples using the
SBI (Situation, Behavior, and Impact) model. Be specific and use descriptive statements and inquiry
versus critical, criticizing, or judgmental statements.
The “SBI” Model: Recall the Situation; Describe the Behavior and the Impact.
2
Then you can ask the
faculty member to respond. You can begin to explore ideas and options to improve when appropriate.
SBI Example: The situation – When we review the teaching evaluations in course xyz, Fall 2016 semester,
the key feedback provided from your students included not allowing ample time for discussions; the
impact is that students felt frustrated and wanted to engage in conclusions that are important for the
topic. Let’s discuss options you feel would be helpful to develop this learning technique in your course.
(Describe the situation, behavior, feelings, impact, and move to possible options). This feedback model
focuses on the behaviors, not criticisms, of the person. Be sure to accommodate and allow some
silence and a bit of time for the faculty to respond. Patience and listening are key strengths for
effective feedback conversations. Watch out for and avoid judgmental feedback versus descriptive
feedback. Self-awareness check: Consider if you are holding onto a ‘negative story’ about this faculty
member that may keep your perspective in a judgmental stance. Stay curious, not furious.
Judgmental Example: When we review the teaching evaluations in course xyz, you are cutting off the
students’ discussions and creating a closed classroom that neglects learning (judging and interpreting).
In addition to reviewing the past evaluations and providing feedback, the ultimate goal for a review
conversation is to ask the questions that focus on what to do moving forward – how to develop
strengths, skills, new techniques, etc. Ultimately, your review conversation with faculty will culminate
with setting mutual goals for future effective performance. Open the dialogue with questions such as:
“How do you see this?” “What are your thoughts about this?” “What are you thinking about that
situation?”
Often faculty may want space in the conversation to express frustrations and vent. Consider this
reaction as the ‘emotional or sensitive noise’ that once vented, provides the new space and energy
for ‘thinking’ – new opportunities for creative problem solving.
2
Weitzel, Sloan R. (2000). Feedback That Works: How to Build and Deliver Your Message. Greensboro, NC: Center for
Creative Leadership
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Most feedback is not the total truth for any individual. However, it is the reality and perspective
expressed from the person(s) giving the feedback. Therefore, it is thoughtful to anticipate and
appreciate that the faculty member may have some reactions such as declaring that the feedback
is not their truth. Once again, actively listening supports the faculty member with a conversation
that typically uncovers their intention. Typically, a person’s intention may be quite different from
the behaviors that prompted the feedback and the impact as perceived by others. When you remain
neutral, listen actively, and are empathic, you will understand the faculty member’s intentions. This
will shift the conversation and open the door to creative problem-solving options for development
and actions to improve.
Make use of your silence by focusing on the listening process and let the faculty member know that
you will take notes on their key points. Note-taking helps to slow down the pace, providing points you
can come back to, while avoiding reacting or judging.
Seeking Feedback and Considering Perspectives: Be Proactive and Persistent in
Seeking Feedback
They are several options about how to provide feedback to assist faculty with taking a proactive
approach in ‘leading’ their career. Lee Bolman and Joan Gallos suggest the following to engage
faculty (pp. 42-43)
3
:
What do you think worked best?
What could you have done better?
What would you like to strengthen?
3
Considering Perspectives – A View from the Chair’s Role
Jeffrey Buller, in Positive Academic Leadership, refers to adopting the positive view and the
perspective of ‘leading upward’ that will engage a larger view of the needs of the Chair and
faculty (p.185)
4
.
Questions that reflect on both perspectives include:
As Chair, what do I need from the faculty member?
As Chair, what does the faculty member need from me?
Even further, the perspective from the Dean:
What does our Dean need from me and my faculty member?
What does our Dean want from me and my faculty member?
3
Bolman, Lee G. and Gallos, Joan V. (2011). Reframing Academic Leadership. San Francisco: Jossey-Bass.
4
Buller, Jeffrey L. (2013). Positive Academic Leadership: How to Stop Putting Out Fires and Start Making a Difference.
San Francisco: Jossey-Bass.
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Responding To and Handling Difficult Reactions
Faculty as academic experts in their disciplines are often highly sensitive to perceived criticism or
evaluation. By keeping pace with the conversation and being steady and patient with emotional
reactions or pushback, you will support the conversation to move toward the key mission-career
development options. Your role is to listen, support, and encourage faculty to move into a
development conversation, and avoid potential pitfalls of ‘reacting’ to their reactions.
5
Possible Reactions
Strategies
Silence or unresponsive
Often the first response can be silence. It can take a few moments to
formulate a response. Be patient with silence. Ask for their views.
Inquire about what is most important for them—their mission and
motivation. Really listen.
Restate what you heard and restate the purpose or issue. Share
your mission for development versus criticism.
Emotive responses
Remain focused and avoid responding immediately. Responding
emotionally may result in saying something not as helpful.
Acknowledge their emotion and restate the purpose to support faculty
in their learning and development.
Provide time to regain composure or suggest another time to meet.
With anger, acknowledge their frustration without agreeing and
restate the purpose for feedback and development. Provide time to
regain composure or suggest another time to meet.
Venting / Defensive (too
much to do; department
overload)
Rephrase what is being said without agreeing; listen first and then
move to the development options that can begin to help move
forward within the faculty’s control. Focus on how to grow versus
‘rescuing them.’
Resistant / Defensive
Repeat what you heard to offer understanding. Discomfort and pushing
back when receiving constructive feedback is typical. Listen first, and then
revisit the facts. Reinstate the behaviors and impact. Be curious about
their feelings. Be patient with the defenses and remain steady with facts
and the goals to improve. Confirm that perceptions are not the total truth.
Uncover their intentions. Focus on the problem not the person.
5
Adapted and retrieved from: https://www.mindtools.com/community/pages/article/newCS_89.php
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Additional Resources for Faculty
The Faculty Member’s Role
Faculty Self-Assessment Form
For Faculty: Example Questions to Discuss with Mentor to Prepare Self-Assessment
Preparing the Curriculum Vitae
“Mentoring Map”: Role of Mentors, Sponsors, Readers, and Others
Examples of Individual Development Plans (IDPs)
Developing Teaching Portfolio Resources
The Faculty Member’s Role
The faculty member is at the center of the Faculty Annual Review Process. In addition to your
Curriculum Vitae, and depending on your position, the Chair may ask for:
A Faculty Self-Assessment
Teaching Evaluations
A Teaching Portfolio
Peer Evaluations of your teaching
Reports from mentors or supervisors
Figure 4 describes a process for the preparation of the meeting and following-up.
Figure 4. Overview of Annual Review Process – Faculty
Preparation
• Be aware of Promotion and Tenure guidelines or changes
• Complete all the materials requested
• Set your agenda (areas of your success, goals, and resources for your possible growth)
Meeting
• Communicate your success, goals, and resources you might need for your growth
• Provide constructive feedback for the Chair
• Suggest a timeline for any action items
Follow-Up
• Acknowledge the meeting by email
• If appropriate, acknowledge the timeline agreed upon for key action items
• Complete key action items
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FACULTY SELF-ASSESSMENT FORM
A regular and thoughtful performance review is a critical tool for professional advancement in an
academic scientific career. This form is designed to guide an annual performance review for faculty
who are engaged in research and/or teaching. A major goal of the annual review is to assist faculty in
assessing their progress toward promotion. The reviewer will be the department chair. This process
is separate from and supplemental to regular feedback from a mentor.
Annual reviews are typically arranged by the departmental chair or designee. A faculty member may
also request a review during the cycle, if needed. The faculty member is responsible for completing
and compiling the information requested in this self-assessment form. The completed form should
then be submitted to the chair and followed-up by a meeting to complete the review process. Both
chair and faculty member should sign and date the form at the end.
Name:
Department:
Submission Date:
Review Period (e.g., July 2015-June 2016):
I. Teaching Metrics. List all teaching activities that you have participated in during the review period.
If a section is not applicable to you, note “N/A.”
a. Courses taught during review period. Add the following information: Course name, in which
department(s) the courses are taught, teaching role, types of learners (e.g., undergraduates or
graduate / professional students) and number per course, and number of lectures taught per
course. You can cut and paste from your Curriculum Vitae or use the table below (ADD MORE
ROWS IF NEEDED):
Course Name
Department(s)
Teaching Role
Learners:
Type and #
# Lectures
Taught
b. New courses developed (same information as above):
Course Name
Department(s)
Teaching Role
Learners:
Type and #
# Lectures
Taught
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c. Mentorship on students’ theses, dissertations, or other mentoring during review period.
These include names of undergraduate and/or graduate students supervised, their thesis,
dissertation, or honors thesis titles, and completion dates for degree work. You can cut and
paste from your Curriculum Vitae or use the table below (ADD MORE ROWS IF NEEDED):
Student Name
Department(s)
Thesis Title
Completion
Date
Comments
d. Teaching awards received:
e. Invited presentations and talks:
f. Publications related to teaching:
g. Innovation: Development of any novel teaching approaches, materials, or teaching products:
h. Teaching goals: Summarize in one paragraph your teaching goals for the coming year (include
any resources you will access or grants you will seek to achieve your teaching goals):
II. Scholarship Metrics. List all scholarly and performance accomplishments over the period of this
review. You may cut and paste from your Curriculum Vitae for each of the following sections. If a
section is not applicable to you, note “N/A.”
a. Refereed papers published or in press:
b. Refereed other products of scholarship published or in press (including engaged scholarship):
c. Books and/or book chapters published or in press:
d. Book reviews published or in press:
e. Invited publications (e.g., review article, editorial):
f. Notable publicity of findings or publications (e.g., in print, radio, or TV media, etc.):
g. Honors and awards related to research or scholarship:
h. Products of creative activity, such as performance and exhibitions:
i. Digital and other novel forms of scholarship (with electronic links displayed, if relevant):
j. Refereed unpublished oral presentations and/or abstracts:
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k. Research grants (include all active and pending grants) (USE TEMPLATE BELOW FOR ALL
GRANTS LISTED):
Grant Source PI
(Last Name)
Enter your role if not PI
mm/dd/yyyy to mm/dd/yyy
$ amount
Enter % effort
Grant Title
Purpose or Goal:
l. Other scholarship:
m. Scholarship goals: Summarize in one paragraph your scholarship goals for the coming year
(include any resources you will access or grants you will seek to achieve your research goals):
III. Service Metrics. List your service, including any leadership, contributions in the categories below
over the period of review. Categories begin with departmental service all the way up to international
service. If a category does not apply, note “N/A.”
a. Service on departmental committees. Add the committee title, your role on committee,
and term of service. You can cut and paste from your Curriculum Vitae or use the table below
(ADD MORE ROWS IF NEEDED):
Committee Title
Role(s) played
Term
b. Service on College of Arts and Sciences or School committees. Add the committee title,
your role on committee, and term of service. You can cut and paste from your Curriculum Vitae
or use the table below (ADD MORE ROWS IF NEEDED):
Committee Title
Role(s) played
Term
c. Participation in Dean’s initiatives. Add the title of the initiative and the activity or role you
performed for this initiative. You can cut and paste from your Curriculum Vitae or use the table
below (ADD MORE ROWS IF NEEDED):
Initiative Title
Activity
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d. Service on University committees. Add the committee title, your role on committee,
and term of service. You can cut and paste from your Curriculum Vitae or use the table below
(ADD MORE ROWS IF NEEDED):
Committee Title
Role(s) played
Term
e. Service in local or regional organizations. Add the name of organization, your role or activity
with organization, and term of service. You can cut and paste from your Curriculum Vitae or use
the table below (ADD MORE ROWS IF NEEDED):
Organization Title
Role(s) played
Term/Activity
f. Service in national organizations (e.g., NSF reviewer, reviewer or on editorial board of national
journals, membership in professional society that is national). Add the name of organization,
professional society, or journal; your role or activity; and term of service (ADD MORE ROWS IF
NEEDED):
Organization Title
Role(s) played
Term
g. Service in international organizations (e.g., reviewer or on editorial board of international
journals, membership in professional society that is international). Add the name of organization,
professional society, or journal; your role or activity; and term of service (ADD MORE ROWS IF
NEEDED):
Organization Title
Role(s) played
Term
h. Service Goals: Summarize in one paragraph your service, including any leadership, goals for the
coming year. Include any resources you will access or seek to achieve your service goals.
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Summary
IV. Faculty member’s reflective statement (up to 1 page following this form)
Summarize the past-year’s accomplishments that you are most proud of as they relate to
teaching, scholarship, research, and/or service, including any leadership opportunities you have
had. Reflect on the mentoring you have received to accomplish these goals, including how
the mentoring relationship is working (if you had mentoring) and what you would like to see
improved. Conclude with how your past-year’s accomplishments and your goals for the coming
year relate to your long-term goals as a faculty member at UNC-CH.
V. Checklist to be Completed by Chair
Faculty Self-Assessment reviewed
Faculty Reflective Statement reviewed
Annual Review Meeting with faculty completed
Notes during Review (if any)
__________________________________________ ________________________
Faculty Member Date
__________________________________________ ________________________
Chair Date
Note: Signatures may not imply agreement.
Example Questions to Discuss With Mentor to Prepare Self-Assessment
In addition to publications and grants, are there areas where I could work in order to be a
stronger candidate for promotion? Do you have advice for me about strengthening any part
of my dossier?
Is my dossier unbalanced in any way? Am I concentrating too much in one area?
At this point, which strategy would you advise: Should I be accepting all good opportunities
to speak, or should I be focusing more on my research or lab?
What advice do you have for me about prioritizing my activities?
Is my teaching load appropriate and/or equitable with others of my level in the department?
Is the spectrum of my research sufficiently focused?
How can I develop my national and/or international reputation? Am I making adequate
progress toward developing both national and international reputations? Is there anyone else
I should be speaking to?
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Preparing the Curriculum Vitae
As part of the dossier to prepare for promotion and tenure, all faculty need to create a curriculum vitae
(CV) using the Office of the Provost’s template (refer to link in Resources). The CV “is meant to allow all
faculty members an opportunity to showcase their teaching, scholarship, service, engagement,
creative endeavors, interdisciplinary activities, and a wide array of accomplishments including non-
traditional products.” The CV can be used to prepare the Self-Assessment Form.
The “Mentoring Map”: Role of Mentors, Sponsors, Readers, and Others
As a faculty member at UNC-CH, you are encouraged to seek guidance from a number of different
individuals other than your Chair or primary mentor in your department (if applicable). Relationships
with mentors, sponsors, readers, peers, and others are vital to the process. The National Center for
Faculty Development and Diversity (NCFDD) offers a Mentoring Map as an illustration of engaging
various people in your personal and professional network to assist you to develop support for your
career steps and responsibilities. As you begin to develop professional relationships at UNC-CH,
consider using this map to define the different types of support in your network. If there is a formal
mentoring program in your department, the Chair may consider obtaining input from your assigned
mentor but also learn about your other mentoring relationships and supports. Your Chair may consider
having the assigned mentor “sign-off” on the faculty member’s self-assessment and/or follow-up plan.
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Individual Development Plans (IDPs)
IDPs are tools that facilitate conversation between mentor and mentee about mentee’s professional
development needs and expectations. While IDPs typically are used with postdocs and graduate
students, a number of research-intensive institutions have adopted faculty-level IDPs as part of their
overall approach to faculty mentoring by helping faculty mentees create and track progress toward
career development goals, particularly as they relate to promotion and/or tenure. Several faculty-level
IDP templates are included at the end of this guide.
Developing Teaching Portfolio Resources
Teaching is an expectation of UNC-CH faculty, particularly for the teaching faculty. From A Summary
and Analysis of Written Guidelines for Evaluating Teaching Effectiveness at UNC-Chapel Hill (See
Resources) prepared by the CFE, the UNC Policy Manual does have guidelines on tenure and teaching
at all universities in the UNC system, adopted in 1993. These guidelines state:
…Chancellor of each constituent institution of the UNC system to: review procedures for the
evaluation of faculty performance to ensure that (1) student evaluations and formal methods
of peer review are included in teaching evaluation procedures, (2) student evaluations are
conducted at regular intervals (at least one semester each year) and on an ongoing basis,
(3) peer review of faculty includes direct observation of the classroom teaching of new and
non-tenured faculty and of graduate teaching assistants, and (4) appropriate and timely
feedback from evaluations of performance is provided to those persons being reviewed.
The many advantages of a teaching portfolio include being a:
Tool to organize and document teaching effectiveness and innovation for promotion and
tenure dossiers
Repository for evidence of changes in teaching over time
Site to gather multi-media artifacts from a course, including student evaluations
Tool for reflection on teaching
For faculty who are interested in developing presentations or publications on their teaching, a portfolio
can provide a touchstone for analyzing changes of teaching over time. While there is no standard
teaching portfolio template that faculty—whether they are on the tenure-track, tenured, or fixed-
term—are expected to prepare, some schools at UNC-CH have established their own teaching portfolio
guidelines for their faculty that can be used as a model for any faculty to use. One comprehensive
model is from the School of Dentistry (See Resources).
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Resources
Dossier: Format for Tenure Track or Tenured Faculty Review
http://academicpersonnel.unc.edu/faculty-policies-procedures-guidelines/faculty-
appointments/tenuretenure-track-appointments/dossier-format-for-tenure-track-or-tenured-faculty-
review/
Standard Order Table (Template for CV)
http://academicpersonnel.unc.edu/files/2014/11/Standard-Order-Table-TT-T-v-11.18.2014.pdf
UCSF Mentoring Toolkit
http://academicaffairs.ucsf.edu/ccfl/media/UCSF_Faculty_Mentoring_Program_Toolkit.pdf
UC DAVIS IDP
http://sdps.ucdavis.edu/toolkits/career_management/plannextsteps/your_individual_development_plan
/index.html
Feedback as Fuel, Not Friction by Matthew Paese (2016)
https://trainingmag.com/trgmag-article/feedback-fuel-not-friction
A Summary and Analysis of Written Guidelines for Evaluating Teaching Effectiveness at UNC-
Chapel Hill
https://provost.unc.edu/policies-committees/evaluating-teaching-effectiveness/
School of Dentistry Teaching Portfolio
https://www.dentistry.unc.edu/wp-content/uploads/2015/07/Teaching-Portfolio-Criteria.pdf?x29767
