WELCOME TO THE OFFICE OF RESEARCH AFFAIRS 2015 ACADEMIC REVIEW WORKSHOP

1. WELCOME TO THE OFFICE OF RESEARCH AFFAIRS2015 ACADEMIC REVIEW WORKSHOP

2. Academic Affairs Staff Catherine Schumacher ORU - Academic Personnel Analyst Office of Research Affairs Atkinson Hall, Room 5401 / MC 0043 9500 Gilman Drive / La Jolla, CA 92093-0043 Tel: 858-822-1506 Email:  oru-academics@ucsd.edu Website:  http://blink.ucsd.edu/sponsor/ora/orupers/index.html David DeSpain (VC ORA Contact for Academic Issues) Academic Personnel Analyst Office of Research Affairs Student Services Bldg., Room 417/MC 0043 9500 Gilman Drive/ La Jolla, CA 92093-0043 Tel: 858-822-7510 Email: ora-ap@ucsd.edu

3. Overview of Workshop • Review Timetable for 2015 Review • Review of Senate Task Force on Faculty Awards II Report • New Structure for the Bio Bib • Structuring the Director’s Letter • Normal Periods of Service • Preparation of Academic Personnel Review Files • 4th Year Appraisals for Research Scientists • 6th Year Readiness Assessments for Project and Research Scientists

4. Outcomes from the UCSD Academic Senate Task Force on Faculty Reward System II • Elimination of Crossover Step Criteria • Elimination of Step VI Letters • Assistant Research Scientist I & II Appointment Delegation • Bonus Off Scale (BOS) Proposal • Market Off Scale (MOS) Proposal

5. Elimination of Crossover Step Criteria Senate Task Force on Faculty Rewards II Recommendation 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

6. Elimination of Step VI Letters Senate Task Force on Faculty Rewards II Recommendation 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

7. Assistant Research Scientist I & II Delegation Senate Task Force on Faculty Rewards II Recommendation 27A: Delegation of Authority for Appointment to Assistant Research Scientist I or II level • Dr. Brown was given delegated authority to approve Assistant Research Scientist I & II on-scale salary appointments without CAP review • MOS appointments must still be reviewed by CAP unless there is a competing offer letter from a comparable academic institution that is within 10% of the scale salary • The current high standards in the appointment criteria MUST continue to be applied and will be required by both Catherine and David • New Requirement: The ORU recommendation letter must indicate who will mentor the candidate, as well as provide a description of the ORU’s mentoring plan for the candidate in all applicable areas in order to support his or her successful research career at UCSD • CAP will conduct post-audits of the files to ensure compliance with policy

8. Awarding of Bonus as Single Payment Senate Task Force on Faculty Rewards II Recommendation 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.

9. Market Off-Scale (MOS) Proposal EVC Proposal to Eliminate Tapering of MOS • Consultation process underway to eliminate tapering of Market Off-Scale (MOS) Salaries • What does this potentially mean? • The MOS will no longer taper after a 6 year period • The MOS will no longer have to be justified again at the end of the 6 year period • The MOS will remain as part of the salary as long as the person is appointed in the title • If candidate is appointed on the regular pay scale with an MOS and moves to B/E/E scale, the MOS goes with them. Therefore: • Be very sure that when you appoint an academic with a MOS that the ORU is aware that the salary will always be a MOS salary with upward adjustments to salary every time the academic is proposed for merit or promotion • Per Policy, an MOS salary still must be justified with either a competing offer from a comparable academic institution or by completing a salary survey for similar positions at other UC or outside academic institutions that are comparable to UCSD (http://adminrecords.ucsd.edu/ppm/docs/230-41.html)

10. Upcoming Bio Bib Changes • A new section entitled Additional Major Research Products (draft title) is proposed as an addition to the bio bib and is in the development stage for the 2015 review period • The new section will include a list of other works of significant impact to the academic field for the person reviewed: • Patent licenses • Software, databases, websites • Devices, hardware, structures, fabrications • Musical compositions, performances, artistic fabrications • Media coverage (This is not a complete list—there is a Metrics Committee of ORU Director’s that will determine a more comprehensive list) • A statement of appropriate metrics of quality, innovation or impact of the contribution will be required in the research statement/self-assessment. A reference in the Director’s Letter should also be made to the significance of the listed items • More details will follow in the next couple of months once the Metrics Committee has convened and the ORA office has a chance to review

11. Tips for Structuring the Director’s Letter Updated Guidelines for Director’s Letters: The ORU Director’s letter is one of the most useful parts of an academic file. The letter should present the ORU recommendation, summarizing faculty/academics discussions, and puts the remainder of the file in a context that helps reviewers evaluate the entire file. The best department letters: • Say just enough to allow the committees to understand the scope, significance, and impact of the research and extent of the service • Not overly cursory or too long • Written for a general audience • Provide an objective appraisal of the file • Free of “spin” and more evaluative • Clear of what the expectations are for the proposed action(i.e., how much research and in what kinds of venues? and how much service?) • Clear about the criteria for normal advancement (the letter should include a statement describing the department standards for a normal advancement) • Where appropriate, appoint/reappoint at a variable (0-100%) time. This will eliminate the need for multiple RIT forms and will allow more flexibility • Catherine will provide templates for Director’s letter

12. Tips for Structuring the Director’s Letter Updated Guidelines for Director’s Letters: Introduction • The Introduction should include the action that is being proposed • The action proposed should be clearly stated in the first paragraph of the Director’s letter. This is important for all files, but especially important for any file that will be reviewed by a committee. The members want to understand the proposed action right from the beginning of the letter and don’t want to have to search for this in the body or at the end of the letter Research • Important to provide an explanation of authorship conventions in the field that distinguishes independent authors (i.e., Principal Investigators) from dependent authors (i.e., group members working under the direction of the PI). If authorship is not clear (first or last author), then the Director’s letter should discuss the candidate’s role on the publication(s) or refer the committee to the research statement for the explanation. This is especially important for committee files • An important criterion for appointment or promotion to the Research Scientist Associate rank is evidence of research independence. There should be an explanation in the letter of how the candidate is leading the science when the file is light on or there is an absence of first and senior authored publication without the mentor • Explain the candidate’s role on all of the contracts and grants that are listed. A person’s role on grants is often unclear especially when many people are listed on the same grant

13. Tips for Structuring the Director’s Letter Service (Research Scientists) • The letter should include an explanation of all University and public service activities of the person being reviewed or appointed (mandatory for Associate or Full Research Scientist) . A lack of service activities should be explained as well. In this case, explain the plan the ORU has to remedy the lack of service Service (Project Scientists) • Although University and public service are not required for the Project Scientist series, please include if any service is present

14. Tips for Structuring the Director’s Letter Engineering B/E/E Salary Scale Justification (Required for New Appointments or Change in Scale)

15. Tips for Structuring the Director’s Letter Engineering B/E/E Salary Scale Justification (Required for New Appointments or Change in Scale)

16. Normal Periods of Service Project/Research Scientist Series *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

17. Normal Periods of Service Project/Research Scientist Series *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

18. Normal Periods of Service Project/Research Scientist Series *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

19. APM 133-0Periods of Service on Any UC Campus in AnyCombination of the Following Titles Count Toward 8 Year Rule *0-100% **at more than 50% Y=Yes, years count toward 8 year rule N=No, years do not count, i.e., clock starts again

20. Tips on Preparation of ORU Review Files Who May Participate in file prep and review? • Appointees’ mentors, co-authors, or collaborators should not chair unit ad hoc committees. However, they may serve as committee members if their expertise is needed. The unit recommendation letter should explain why they were asked to serve. Mentor should not vote on mentee’s file • Conflicts of interest should be noted in the file. Any faculty member or director who has a financial or management interest in a company providing support for either an appointee’s research or an appointee’s salary should avoid contributing to the file. If such a faculty member or director does contribute to the file, his or her relationship to the company and the appointee should be detailed in the unit recommendation letter

21. Tips on Preparation of ORU Review Files • No academic appointee may participate in any academic review affecting a near relative. (For the definition of “near relative,” refer to APM 520, Appointment of Near Relatives.) If an academic appointee would have participated in the review if the reviewee were not a near relative, the unit recommendation letter should state that the academic appointee did not participate in the review Selection of external referees • External letters for Associate and Full Research Scientists should be solicited from referees who are independent of the appointee. External referees whom campus reviewers may not regard as objective or independent evaluators, either because they are too close to the appointee professionally (e.g., collaborators, co-authors, thesis supervisors, etc.), are from the same institution as the appointee, or have a personal relationship with the appointee, may be included if they shed light on collaborations on the Referee ID list. However, except for Assistant Research Scientists, Project Scientists, and Specialists (see next slide), non-independent letters do not count toward the minimum number of external letters required

22. Tips on Preparation of ORU Review Files • For advancement in the Assistant Research Scientist, Project Scientist and Specialist series, evaluation letters may be solicited from individuals who are not professionally independent of the appointee; however, additional letters from more independent sources should be obtained if possible • External letters should be solicited from senior scholars (Associate level and above) who are at the same rank as that proposed for the appointee, or higher. If external referees are not senior scholars, the unit should explain why they were selected as the best-qualified referees and identify their particular expertise within the field or specialty. This information should appear only on the Referee I.D. form, not in the unit letter • It is important to solicit a sufficient number of external referees. Five external letters are required for files proposing promotion to the associate level, and three external letters are required for files proposing promotion to the full level. Therefore, Catherine will need several more names than the minimums since many of those solicited will not be able to provide a letter. • While appointees may suggest external referees, the majority of external referees should be selected by the unit

23. Tips on Preparation of ORU Review Files • Unit Ad Hoc Reports (for all actions except merits) • The unit’s ad hoc or review committee report (if required by the ORU) should be included in the file, and the committee membership should be indicated at the end of the report (with members’ signatures • If the unit ad hoc report fails to describe the content and importance of research or creative activity, this should be included in the unit recommendation letter • Excessive quoting of external referees should be avoided • Principal Investigator’s/Mentor assessment • For the Research Scientist (Assistant I & II), Project Scientist and Specialist series’, the file should include a letter from the Principal Investigator (mentor) in whose lab the appointee is employed

24. Tips on Preparation of ORU Review Files Accelerations • For accelerations, information on the unit’s standards for a normal merit advancement to the recommended rank and step must be included in the unit recommendation letter. This information is essential in order for reviewers to determine the appropriateness of the proposed acceleration. An acceleration should not be proposed if there is a weakness in performance in any of responsibility specified in the review criteria

25. 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

26. Policy on 4th Year Appraisals for Research Scientists ORU Consideration The following factors should be 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 departmental, University and community service contributions • If an appointee is lacking in either area, please explain the ORU’s plan to resolve this by the next review period

27. Policy on 4th Year Appraisals for Research Scientists The 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

28. Policy on 6th Year Readiness Assessmentsfor 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.

29. Policy on 6th Year Readiness Assessmentsfor Research Scientists • 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

30. Policy on 6th Year Readiness Assessmentsfor Project and Research Scientists The ORU must demonstrate that the appointee’s academic record is strong, and that he or she 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

31. Policy on 6th Year Readiness Assessmentsfor Project and Research Scientists • 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 • 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

32. Policy on 6th Year Readiness Assessmentsfor 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.

33. Below is a listing of UCSD websites in an effort to help familiarize and inform you on the Academic Personnel process POLICY AND PROCEDURE MANUAL http://adminrecords.ucsd.edu/PPM/Index.html ORU ACADEMIC AFFAIRS WEBSITE: http://blink.ucsd.edu/sponsor/ora/orus/orupers.html# UCSD ACADEMIC AFFAIRS WEBSITE: http://academicaffairs.ucsd.edu/offices/apo/

34. Below is a listing of UCSD websites in an effort to help familiarize and inform you on the Academic Personnel process ACADEMIC SENATE COMMITTEE ON ACADEMIC PERSONNEL http://www-senate.ucsd.edu/committees/cap.htm INTERNATIONAL CENTER http://orpheus.ucsd.edu/icenter/scholars/visa_departments.html This 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”SITE http://atyourservice.ucop.edu/employees/life_changes/leaves/index.html SABBATICAL LEAVES http://www.ucop.edu/acadadv/acadpers/apm/apm-740.pdf

35. Questions?