welcome to the office of research affairs 2015 academic review workshop
TRANSCRIPT
WELCOME TO THE
OFFICE OF RESEARCH AFFAIRS
2015 ACADEMIC REVIEW WORKSHOP
Academic Affairs StaffCatherine SchumacherORU - Academic Personnel AnalystOffice of Research AffairsAtkinson Hall, Room 5401 / MC 00439500 Gilman Drive / La Jolla, CA 92093-0043Tel: 858-822-1506Email: [email protected]: http://blink.ucsd.edu/sponsor/ora/orupers/index.html
David DeSpain (VC ORA Contact for Academic Issues)Academic Personnel AnalystOffice of Research AffairsStudent Services Bldg., Room 417/MC 00439500 Gilman Drive/ La Jolla, CA 92093-0043Tel: 858-822-7510Email: [email protected]
Overview of Workshop•Review Timetable for 2015 Review•Review of Senate Task Force on Faculty Awards II Report•Normal Periods of Service•New Bio Bib Format•Review Forms•Referee Form•Certifications•CV•4th Year Appraisals for Research Scientists•6th Year Readiness Assessments for Project and Research Scientists•Helpful Websites
2014 Academic Review Timetable
Catherine Schumacher will send a call letter soon to all academics that are due for academic review.
IMPORTANT, your completed materials and individual documents should be downloaded to Catherine by using the following link: https://ratpcsws.ucsd.edu/dropbox. All review files are due to Catherine by June 2, 2014.
Outcomes from the UCSD Academic Senate Task Force on Faculty Reward
System II
•Elimination of Crossover Step Criteria•Elimination of Step VI Letters•Bonus Off Scale (BOS) Proposal
Elimination of Crossover Step Criteria
Senate Task Force on Faculty Rewards IIRecommendation 16: Elimination of crossover step criteria
•Crossover criteria (publications listed in Work In Progress) are no longer required for proposed actions effective 07/01/15. These actions are now at Dr. Brown’s authority and no committee review is required. Section C. Work In Progress should now only be used when needed for Appraisals or Promotions
•Advancement to steps currently referred to as “crossover steps” should be treated similarly to advancement to any other step based on performance during the review period
•As before, the academics that advanced to Assistant Step V or VI or Associate Step IV or V, may be proposed for advancement to either Associate or Full Steps II or III in the subsequent review period if proposed for promotion
Elimination of Step VI Letters
Senate Task Force on Faculty Rewards IIRecommendation 24: Elimination of external letters for advancement to Step VI•External letters are no longer required for proposed advancements to Step VI•ORU must be capable of mounting a case which curates the evidence of nationally or internationally recognized highly distinguished scholarship and highly meritorious service•ORU’s can choose to request external letters if they consider them necessary to demonstrate the impact and quality of the scholarship•CAP can also instruct the ORU to seek external letters
Awarding of Bonus as Single Payment
Senate Task Force on Faculty Rewards IIRecommendation 35B: Awarding of Bonus as Single Payment•BOS awards will no longer be paid as part of the annual salary, but instead as a single payment once a year or as one lump sum payment to cover the entire review period. The exact details are still being worked out with administrators at Academic Personnel•The BOS award will continue to terminate at the end of the review period and can be awarded at the next review period if merited•BOS may be accorded to reward:
• outstanding service of individuals who lack adequate scholarly or creative achievement to deserve an academic step increase;
• to respond (where appropriate) to outside offers, other than those driven by a market in a discipline or field
When awarded as a bonus for service, the off-scale increment should be approximately equal to the total salary increment of the next higher step on the published salary scale or to an amount half-way between the relevant steps.
Normal Periods of Service Project/Research Scientist Series
STEP ASSISTANT PROJECT SCIENTIST
ASSISTANT RESEARCH SCIENTIST
I Two years at each step Two years at each step
II Two years at each step Two years at each step
III Two years at each step Two years at each step*
IV Two years at each step Two years at each step**
V Two years at each step*** Two years at each step***
VI Two years at each step*** Two years at each step***
*4th Year Appraisal due for Assistant Research Scientists that were initially appointed at Step I (Unless there was a No-Change review at some point—then the 4th Year Appraisal should occur in the 4th academic year)
**4th Year Appraisal due for Assistant Research Scientists that were initially appointed at Step II(Unless there was a No-Change review at some point—then the 4th Year Appraisal should occur in the 4th academic year)
***Used in exceptional situations. May be used in lieu of service at Associate Project/Research Scientist, Step I & II
Assistant Project/Research Scientist have a maximum of 8 academic years to promote to Associate Project/Research Scientist
Normal Periods of Service Project/Research Scientist Series
STEP *ASSOCIATE PROJECT SCIENTIST
ASSOCIATE RESEARCH SCIENTIST
I Two years at each step Two years at each step
II Two years at each step Two years at each step
III Two years at each step Two years at each step
IV Three years at each step** Three years at each step**
V Three years at each step** Three years at each step**
*PI Exception must be obtained at the Associate Project Scientist level. A Change in Series to the Research Scientist series should be considered if the individual has grant support as a PI or Co-PI or has a clearly defined leadership role in a large center or program project requiring relatively independent effort and/or expertise
**Used in exceptional situations. May be used in lieu of service at Project/Research Scientist, Step I & II
Normal Periods of Service Project/Research Scientist Series
STEP *PROJECT SCIENTIST RESEARCH SCIENTIST
I Three years at each step Three years at each step
II Three years at each step Three years at each step
III Three years at each step Three years at each step
IV Three years at each step Three years at each step
V Three years at each step** Three years at each step**
VI Three years at each step Three years at each step***
VII Three years at each step Three years at each step
VIII Three years at each step Three years at each step
IX Four years at each step Four years at each step
Above Scale Four years at each salary level
Four years at each salary level
*PI Exception must be obtained at the Project Scientist level. A Change in Series to the Research Scientist series should be considered if the individual has grant support as a PI or Co-PI or has a clearly defined leadership role in a large center or program project requiring relatively independent effort and/or expertise
**Service at Step V may be for an indefinite duration, however Research and Project Scientists must be reviewed every 3 years at this level
***Granted on evidence of continuing great distinction, recognized nationally or internationally in scholarship. Continuing excellence and high merit in original scholarship and service
Upcoming Bio Bibl Changes
• There will now be one Bio Bibl for all campus ORUs instead of the current practice of one Bio Bibl for those on the B/E/E pay scale and a separate bio bib for those not on the B/E/E pay scale
• A new section entitled Additional Major Research Products (draft title) is being proposed as an addition to the Bio Bibl as section B.IV and is in the development stage for the 2015 review period
• The new section will include a list of other works that have a significant impact to the academic field for the person reviewed:
o Patents and patent licenseso Software, databases, websites o Devices, hardware, structures, fabricationso Research leading to legislative action, policies, business processes
• More details will follow after the Metrics Committee (made up of several ORU Directors) has determined the criteria for the new section
List of Academic Review Forms to Review
•Biography
•Bibliography
•Candidate’s Research Statement
•Referee List
UCSD ACADEMIC BIOGRAPHY UCSD ACADEMIC BIOGRAPHY
Section I Personal Data Name: Last, First, Middle Picard, Jean-Luc
Department TIP: ENTER ORU NAME Title(s) TIP: ENTER CURRENT ACAD. TITLE
Home Address Street 1234 Starship Enterprise Drive Phone: 619-555-1234 City, State, Zip San Diego, CA 92345 E-mail address: [email protected] Business Address Street 9500 Gilman Drive – MC8811 Phone: 619-543-0000 City, State, Zip San Diego, CA 92093-8811 Mail Code 8811 Country of Citizenship: USA Are you a citizen or permanent resident of the U.S.? Yes X No If no, what is your current Visa status? Date this status began: Date this status expires: Person to be contacted in case of emergency: Name Beverly Crusher, M.D. Street 1234 Starship Enterprise Drive Phone: 619-555-1234 City, State, Zip San Diego, CA 92345 Family members or domestic partners employed by the University: Name Beverly Crusher, M.D. Relationship Wife Department Pediatrics Previous Applicable Employment Please show a full account of your time from the date of your first academic (or otherwise relevant) employment up to the present, including any periods when you may not have been employed. Indicate part–time appointments. Show salary or approximate annual earnings in all cases. Please include all previous University of California employment. You may provide supplementary information if necessary. TIP: MUST BE IN CHRONOLOGICAL ORDER PAST-PRESENT
Period of employment From: To:
Institution, firm or organization of
employment Location Rank, title, or position
Approximate annual salary
7/01 - 6/06 UCSD San Diego, CA Postdoc Don’t need to include
7/06 – present UCSD San Diego, CA Assistant Project Scientist
Don’t need to include
UCSD ACADEMIC BIOGRAPHYEducation
School, college, university, or hospital (internship, residency,
or fellowship)
Dates of attendance Location Major subject or
field Degrees or certificates
Date received
UCSD 9/90 – 6/94 San Diego, CA Electrical Engineering
B.S. 6//02
UCSD 9/94 – 6/97 San Diego, CA Electrical Engineering
M.S. 6/05
University of Chicago
9/97 – 6/01 Chicago, IL Electrical Engineering
Ph.D. 6/07
Please indicate areas of sub-specialization or board certification, if any. Also include a list of special licenses or permits and the dates received. Section II Professional Data Provide a list of your activities, with dates of award or service, in each of the following seven categories.
(a) University Service (Including Academic Senate, Departmental, College, University-wide).
List Service with dates (b) Memberships (Scholarly societies, professional boards, civic organizations, etc.).
List Memberships with dates (c) Honors and Awards (Include the dates they were received).
List Honors and Awards with dates (d) Contracts and Grants Please provide the following information for current contract and grants: TIP: IF THE GRANT WAS LISTED ON A PREVIOUS BIOGRAPHY AND GRANT HAS ENDED, REMOVE FROM THIS SECTION. ALSO, LIST YOUR ROLE ON THE GRANT (E.G., INVESTIGATOR, PI, CO-PI, ETC.)
Title Granting Agency Amount of Total Award (include indirect costs)
Time period of contract/grant
Role, e.g. PI, co-investigator, project leader, etc.
List co-PI’s/corresponding share of total award (total must = 100%)
UCSD ACADEMIC BIOGRAPHY
(e) External Professional Activities (Examples include, but are not limited to, presentation of papers and lectures, technical service to organizations and agencies, acting as a reviewer of journal or book manuscripts or contract and grant proposals, or professional committee service).
List Activities with Dates (if applicable)
(f) Most Significant Contributions to Promoting Diversity (Examples include, but are not limited to, developing strategies for the educational or professional advancement of students in underrepresented groups, contributions that promote equitable access and diversity in education, and in activities such as recruitment, retention, and mentoring.)
List Contributions with Dates (if applicable) (g) Other Activities Those that do not fit into categories (a) – (e) above (including community service).
List Activities with Dates (if applicable) (h) Student Instructional Activities TIP: LIST ANY POSTDOC AND/OR GRAD STUDENTS YOU HAVE MENTORED OUTSIDE FORMAL TEACHING, i.e. AT THE BENCH.
Course load information is reported separately in faculty review files. Please list here all students mentored outside of the structured classroom setting. Please list by category (e.g., undergraduate research students, masters or doctoral candidates, postdoctoral or medical fellows, interns, residents) and indicate your role (e.g., thesis adviser, research adviser) for each student. For graduate students, indicate the year of their degree when appropriate.
UCSD ACADEMIC BIOGRAPHY List here students mentored outside of the structured classroom setting [List from oldest to newest with dates]:
Undergraduate Research Students:
Name of Student/Your role (thesis adviser, research adviser, etc.)
Masters Students:
Name of Student/Your role (thesis advisor, research adviser, etc.)
Doctoral Students:
Name of Student/Your Role (thesis advisor, research adviser, etc.)
Post docs:
Name of Academic/Your role
Other (List):
Name/Your Role
Please file in the table below for number and type of exam committees you’ve served on throughout the review period:
Graduate Exam Committee type/category #sat on during current review period
MS Comprehensive
MS Research
Thesis Defense Exams
PhD Research Exam (thesis proposal)
PhD Comprehensive
Senate Exam “Advance to Candidacy”
Bibliography Section III - Bibliography
A. PRIMARY PUBLISHED OR CREATIVE WORK
I.Refereed Journal Articles (These are the usual publications in refereed journals. Do not list here papers that have appeared in proceedings of conferences. Papers which are "in press" or formally "accepted" are listed here; "tentatively accepted" may be listed in category C below.) List from oldest to newest.
II. Books and Book Chapters (Encyclopedia entries should not be listed here. List them in B.IV Other Presentations/Works). List from oldest to newest.
III. Refereed Conference Proceedings (These are fully refereed conferences with proceedings distributed widely to members of the research community. Please include the acceptance rate for each conference, if available.) List from oldest to newest.
B. OTHER WORK
I. Other Conference Proceedings (List the name of the Proceedings, the date of publication, and the page numbers of the article. If the paper was invited, one can append the entry with [invited paper]. Most conferences have program committees which provide a certain level of reviewing of submitted articles.) List from oldest to newest.
I.Abstracts of Non-refereed Conference Proceedings (Many international conferences publish a book of abstracts which is provided to the participants. This is the appropriate category for listing such contributions.) List from oldest to newest.
II. Other Presentations/Works
III. Additional Major Research Products (Please list other work of significant impact to your Academic Field. [e.g., patents, patent licenses; software, databases, websites; devices, hardware, structures, fabrications; research leading to legislative action, policies, business processes].) List from oldest to newest.
I.WORK IN PROGRESS (Only use if actual materials will be forwarded with the review file. Discouraged unless the proposed action is an Appraisal.) List from oldest to newest.
Helpful Tips for Preparing Your Bibliography
•The citations in each of the three Sections must be in chronological order, beginning with the earliest and ending with the most recent entry.
•Ensure that each item appears only once on the bibliography.
•Numbers assigned to citations are permanent and may not be moved or re-numbered once the format is established in Sections A and B.
•Publications that were inadvertently omitted from the previous bibliography should be inserted in its chronological place without changing the existing numbering system. Instead, a letter (a, b, c) should be used instead of a number. A parenthetical explanation stating the item was omitted in error or inadvertently omitted last review should appear at the end of the citation.
•Authors, titles, journal title, volumes, editors, pages, etc. MUST be listed on the bibliography EXACTLY as they appear on the publication. "Et al." may not be used in lieu of listing multiple authors. The inclusive page numbers and year of publication must follow each citation.
Helpful Tips for Preparing Your Bibliography
A. PRIMARY PUBLISHED WORK
Article Type
•Research Articles•Peer Reviewed Books•Peer Reviewed Book Chapters•Peer Reviewed Review Articles•Peer Reviewed Abstracts•Peer Reviewed Conference Proceedings
Status
•Published•In Press (must have documentation (email or letter) from publisher)•Accepted (must have documentation (email or letter) from publisher)
•Section A consists of work published in the open literature (peer reviewed), which one may reasonably expect to find in libraries other than UCSD.
Helpful Tips for Preparing Your Bibliography
B. OTHER WORK
Type (Published, In Press, Accepted, or as Applicable for Section B.I)
•All proposed listings for new Section B.IV•Abstracts•Non-Refereed Conference Proceeding•Reviews•Monographs•Encyclopedia Entries•Thesis•Reports•Popular Articles•Editor•Editorials•Commentaries
Helpful Tips for Preparing Your Bibliography
C. WORK IN PROGRESS (Appraisals and for promotions when needed)
•This section is for work that is submitted or in preparation only. You must submit a manuscript (in any shape or form) that are listed in this section
REPRINTS:
1. Section A – Submit a copy of each reprint, galley proofs and/or publisher’s binding acceptance of entire corpus of all new material. 2. Section B – not necessary for this section3. Section C – A manuscript in any shape or form is required
Candidate’s Research StatementResearch and Scholarly Activities(You will receive a template from Catherine to assist you with your research statement)• Describe the focus of your research, notable observations, your specific role in
collaborative research ventures, new grant funding and any additional noteworthy information. Specifically define your role (e.g. Principal or Co-Principal Investigator or head of a CORE program project), for each award. Also, explain your role on all new publications since your last review. If there are numerous publications, then explain your role on the most significant (first or senior authored). The research statement should be on average 2 to 3 pages in length
University and Public Service
• Describe areas of University/Public Service. Include your specific involvement, time commitment, and accomplishments
• The research statement is a good place to thoroughly explain all of the particulars about your research and service that a reviewer cannot ascertain from just looking at your bio/bib
• Tip: if you have an area of your file that is lacking, you should provide an explanation in your research statement on how it will be remedied before the next review period.
Referee ListEveryone, in all series, who are proposed for promotion, above scale, or a change in series are required to submit a Referee List.
Some things to remember:
• Referees should be higher than your current rank
• Referees May Not Include:
- Collaborators within the last 10 years (Associate Research Full Research Scientists)
- Anyone who served as your mentor within the last 10 years (Research Scientists)
CURRICULUM VITAE
Your CV is sent with referee solicitation letters for those proposed for promotion or a change-in-series.
Please make sure your CV is current and free from typos
We also want to retain a current copy on file for all academics.
Certification A
Those due for normal merit advancement must submit Certification A with their review documents.
All others will be advised of the proposed action before it is voted on by the ORU.
By signing Certification A, the candidate certifies that he or she was informed of the pending review and was given the opportunity to ask questions and provide pertinent information and evidence, to suggest names of referees (if applicable), and to review the material in the file.
Certification B
Cert B is signed and dated after the ORU review of the file and prior to submission of the file. By signing Certification B, the candidate certifies that he or she has had the opportunity to review the completed file and the department's recommendations prior to submission of the file for campus review.
Certification C
Cert C is signed by the candidate if material is added to the file after it is forwarded to the Dean’s Office and/or Academic Personnel Office.
Policy on 4th Year Appraisals for
Research Scientists• An Assistant-rank Research Scientist appointee must receive
an appraisal, which is a formal evaluation of his or her achievements and progress toward promotion in his/her 4th academic year. The appraisal also identifies appointees whose records of performance and achievement are below the level of excellence expected for Research Scientists.
• An appraisal should provide an appointee with a careful,
considered, analytical evaluation of his or her performance to date in the areas of research and creative work, professional competence and activity, and University and public service, as well as a candid assessment of his or her potential for promotion, based upon the evidence.
Policy on 4th Year Appraisals for
Research ScientistsORU Consideration
The following factors are evaluated when conducting an appraisal:
•An appointee’s published research and other completed creative activity and his or her potential for continued research and creative activity.
•An appointee’s University and community service contributions.
•If an appointee is lacking in either area, the ORU is responsible to provide a plan to resolve this by the next review period.
Policy on 4th Year Appraisals for
Research ScientistsThe Possible Appraisal Ratings are:
•FAVORABLE: Indicates that promotion is likely, contingent on maintaining the current trajectory of excellence and on appropriate external validation.
•FAVORABLE WITH RESERVATIONS: Indicates that promotion is likely, if identified weaknesses or imbalances in the record are corrected.
•PROBLEMATIC: Indicates that promotion is possible if substantial deficiencies in the present record are remedied.
•UNFAVORABLE: Indicates that substantial deficiencies are present; promotion is unlikely.
Policy on 6th Year Readiness Assessments
for Project and Research Scientists
• A readiness assessment is a department-level evaluation of an appointee’s career achievements and readiness for promotion
• If it has not already occurred, a readiness assessment must
take place at the time of an appointee’s final merit/reappointment review
• The ORU must determine whether an appointee should be recommended for promotion, whether the promotion review should be postponed, or whether the appointee should not be reappointed.
Policy on 6th Year Readiness Assessments
for Project and Research Scientists
a. Promotion is Recommended
• If the ORU is convinced that an appointee’s record meets or exceeds the University’s expectations for promotion, the department may vote to recommend promotion to the Associate or Full level, effective the following July 1
b. Postponement of Promotion Review
• If the ORU believes there is significant work in progress that cannot be completed in time to justify promotion, but which should be completed within the reappointment period (either one or two years) and, when completed, would likely suffice for promotion, the ORU may propose postponement of the promotion review
Policy on 6th Year Readiness Assessments
for Project and Research Scientists
The ORU must demonstrate that the appointee’s academic record is strong, and that s/he is making active and timely progress on substantial work that:
• should be completed prior to the promotion review (the anticipated completion date must be indicated); and
• would likely suffice for promotion.
If the ORU proposes postponement of the promotion review, a reappointment file must be submitted in accordance with the campus deadline for submission of reappointment and merit advancement files
Policy on 6th Year Readiness Assessments
for Project and Research Scientists
c.Non-reappointment
•If the ORU believes an appointee’s overall career achievements do not justify promotion, and that a postponement of the promotion review is not warranted, no promotion file is prepared and the appointee will not be reappointed. In accordance with APM 137, Non-Senate Appointees/Term Appointment, the appointment will expire on the established ending date. In cases of non-reappointment, the ORU Director should consult with the dean
d.Campus Review •If the ORU recommends promotion, an academic review file must be prepared for campus review and submitted in accordance with established campus deadlines
Policy on 6th Year Readiness Assessments
for Project and Research Scientists
•If promotion is proposed and denied, or if the ORU does not propose promotion and/or reappointment, in accordance with APM 137, Non-Senate Appointees/Term Appointment, the appointment will expire on the established ending date.
•Although notice of non-reappointment is not normally required*, the ORU should provide written notice of non-reappointment whenever possible.
*In accordance with APM 137, Non-Senate Appointees/Term Appointment, notice is not required for appointees who have served fewer than eight consecutive years in the same academic title or title series on a campus. If an appointee has served more than eight consecutive years, notice is required as specified in APM 137.
Below is a listing of UCSD websites in an effort to help familiarize and inform you on the Academic
Personnel process
POLICY AND PROCEDURE MANUALhttp://adminrecords.ucsd.edu/PPM/Index.html
ORU ACADEMIC AFFAIRS WEBSITE:http://research.ucsd.edu/orus/orupers/
UCSD ACADEMIC AFFAIRS WEBSITE:http://academicaffairs.ucsd.edu/offices/apo/
Below is a listing of UCSD websites in an effort to help familiarize and inform you on the Academic
Personnel processACADEMIC SENATE COMMITTEE ON ACADEMIC PERSONNELhttp://www-senate.ucsd.edu/committees/cap.htm
INTERNATIONAL CENTERhttp://orpheus.ucsd.edu/icenter/scholars/visa_departments.htmlThis page provides Visa information for Departments and International scholars.
LEAVES OF ABSENCE
ACADEMIC LEAVE POLICY (PPM 230-10)http://adminrecords.ucsd.edu/ppm/docs/230-10.HTML
BENEFITS AND PRIVILEGES (APM 700 TO 760)http://www.ucop.edu/acadadv/acadpers/apm/sec5-pdf.html
UNIVERSITY OF CALIFORNIA, OFFICE OF THE PRESIDENT – “AT YOUR SERVICE”SITEhttp://atyourservice.ucop.edu/employees/life_changes/leaves/index.html
SABBATICAL LEAVEShttp://www.ucop.edu/acadadv/acadpers/apm/apm-740.pdf
Questions?