Iain Young Vice-Dean Academic Faculty of Health Sciences

1. Your Career at Queen’s:Annual Performance Review, and Renewal/Reappointment, Tenure and Promotion Processes for QUFA and Clinical GFT Faculty Iain Young Vice-Dean Academic Faculty of Health Sciences John Dixon Vice-Provost (International) September 2010

2. Introduction • Iain Young (MD, Pathology): • Faculty member • Department Head • Vice-Dean • Our personal experiences at Queen’s: John Dixon (PhD, Geology): • Faculty member • Department Head • Associate Dean • Associate Vice-Principal • Vice-Provost • In this session, you will be introduced to: • The annual performance review process • The reappointment/renewal/promotion/tenure application processes

3. Purposes of the Annual Review • To provide an annual assessment process that will: • Recognize faculty contributions and achievement • Enable monitoring of professional growth, professional development and career planning (formative feedback) • For QUFA faculty, to determine an annual merit rating that will determine annual salary increment.

4. Basis for the Annual Review • Annual report • Completed on a standardized form • Covers calendar year • Submission to Department Head required by February 1st (QUFA faculty) or mid-March (GFT clinical faculty) • Any other documents in Official File that are relevant to the assessment and evaluation of performance in teaching, research and service.

5. Components of the Annual Report • Teaching • Research/scholarship/creative activity • Service • Internal (department/faculty/university) administration • External (administrative, leadership, community service) • Clinical service (clinical faculty)

6. Preparation of the Annual Report • It is the member’s responsibility to provide sufficient detail to enable assessment. • If the annual report is not submitted or has insufficient detail, assessment is based on information reasonably available.

7. Sources of Advice • Colleagues • Mentors • Heads • Deans • Human Rights Office • Centre for Teaching and Learning (CTL)

8. Annual Review Process • Department Head reviews annual report and provides a written performance appraisal. • Faculty member meets with Head and signs review. • For QUFA faculty: • Dean (or Vice-/Associate-Dean) and Head meet to address annual reviews and assignments of merit scores in Dept. • Dean makes merit score recommendation to Provost. • For GFT clinical faculty: • Vice-Dean and Head meet to address annual reviews. • Copies of the annual report and review are maintained in the member’s Official File and the Dean’s office.

9. QUFA Merit Scoring System- 1 • Possible scores: 0-7, 10, 12, 15, 20 • Performance in teaching and research carries more weight than service. • Each merit point was worth $284.20 in 2010-11 (added to base salary). • Basic pool of points comprises 10 points per member. • Provost adds extra points to the pool – between 0.6 and 0.9 points per member. • The maximum possible global average merit score (across the University) is 10.9 points.

10. QUFA Merit Scoring System- 2 • Modal score is 10 (performance at expectation) • 0-7: assessed deficiency - Dean must provide written assessment. • >10: Performance in all 3 areas must be at least satisfactory. • 12: Significantly better performance in 2 of 3 areas or exceptional performance in one. • 15 or 20: Normally reflects excellence in teaching and research although service may be a factor. • Members receive a report giving reasons for awards of 15 or 20 to colleagues in the Department.

11. Merit Points Distribution 2008 (n=784)

12. Things to Remember • Annual reports cover the previous calendar year. • Include all relevant materials in your annual report, with an explanation of their significance if necessary. • Remember that about 66% of your colleagues will receive a 10 and the vast majority of those are high achievers. • If in doubt, ask! • Note: Credit is given for achievements in the calendar year under review (e.g., papers published, grants received).

13. The Merit System: Pros • Merit allocation yields a Merit/PTR salary increment in addition to annual scale increment. Both are included in base salary. • Links compensation to performance, albeit imperfectly. • Consistent strong performance (>10) yields significant salary advantage over time. • Note that mechanisms exist to address salary anomalies.

14. The Merit System: Cons • It is an output measurement system in which effort is not expressly recognized. • Some important professional activities may be insufficiently valued. • The social and intellectual value of one’s contributions are difficult to assess.

15. Annual Review Process for GFT Clinical Faculty • Performance review is not linked to a merit point allocation system that determines compensation. • Compensation is determined by other mechanisms that are SEAMO-based. • Clinical productivity is an integral component of the performance management system. • There are expectations regarding Continuing Professional Development of clinical expertise.

16. Your Career Progression(QUFA faculty) Professor ~Year 12? (timing not specified; member’s choice) Tenure and Associate Prof Year 7 Assistant Prof Renewed appt 3-year duration Promotion Assistant Prof Initial appt 3-year duration Tenure & Promotion Renewal

17. Promotion, Reappointment and Tenure Committees • Elected departmental RTP committees are the initial level of review of applications for renewal/reappointment, tenure and promotion. • RTP Committee makes recommendation to the Department Head who makes a separate evaluation and recommendation to the Dean who in turn makes a recommendation to the Principal (Provost henceforth). • The processes are confidential. • The processes for QUFA faculty are governed by the Collective Agreement. • The processes for GFT faculty are governed by a Queen’s Senate document.

18. Renewal Appointment Applications • Timing of application for renewal appointment • Normally occurs in third year (Postponement is possible e.g., due to parenthood, illness.) • Criteria: • Record as a good teacher • USAT (University Survey of Student Assessment of Teaching) • Letters from students/colleagues, surveys, etc • Evidence of initiation of high quality scholarship/research but not necessarily publication • Presumption is in favour of Renewal

19. Tenure/Promotion Applications • Timing of application for tenure/promotion for QUFA faculty • Normally occurs in sixth year (Postponement is possible, e.g., due to parenthood, illness) • Criteria: • Record as a very good teacher committed to academic excellence • Record of high quality scholarship/research that is peer-assessed • Record of service to department, university, academic community • Onus is on the candidate to demonstrate the evidence that the criteria have been met • Unsuccessful application leads to terminal 1-year appointment • GFT faculty applications for both promotion and tenure often occur significantly later and applications for promotion and tenure are frequently not linked

20. Reappointment of GFT Clinical Faculty • For GFT clinical faculty (and QUFA faculty who are on Special Appointments), the first reappointment is for three years. • Subsequent applications for reappointment may be for five years, depending on performance. • If performance is not meeting expectations then reappointment may be for less than three years.

21. Tenure for Clinical Faculty • Timing of application for tenure is at candidate’s discretion. • Criteria for tenure are similar to those for promotion to Associate Professor. • The benefits: • Obviates need for subsequent reappointment processes • Sense of professional accomplishment and prestige • Potential financial benefit that is limited to that part of income originating from Queen’s base budget • The risk: • Denial results in a one-year terminal appointment

22. Mentors are Enablers of Growth • Self-made successes are very rare • A mentor provides experience, knowledge, views and wisdom in order to encourage and facilitate an individual’s growth and development • Mentoring relationships vary in type and duration depending on their purpose, e.g., • Informal long-term source of advice and support • Structured, long-term coaching around establishing a research program

23. Identifying Mentors • The Department Head has an integral role in identifying mentors • Defining the purpose of the mentoring relationship is the critical first step • Match the assets of potential mentors to your needs from the relationship • The most effective mentoring relationships are mutually beneficial