Academic Appraisal Procedure

1.0 DEFINITIONS SPECIFIC TO THIS DOCUMENT

1.1 Capitalized words and phrases used in this Procedure document and not otherwise defined here have the meanings assigned to them in the Academic Appraisal Policy (PL-AC-09) .

1.2 The following words and expressions are specific to this document and shall have the meanings hereby assigned to them:

1.2.1 Academic Appraisal Annual Report: A document comprising the Appraisal Portfolio in addition to the supporting documents pertaining to the Academic Appraisal, such as: Action Plan template, Course Folder checklist, Course master syllabus template, and Course self-reflection report template.

1.2.2 Academic Calendar: A representation of the periods associated with the University’s operations, containing the teaching periods, exam and holiday dates, cancel, withdrawal, and drop deadlines, which is approved by the University's Board of Trustees.

1.2.3 Academic Year: The 12-month period defined in the University’s Academic Calendar, as approved by the Board.

1.2.4 Action Plan: A document that describes the Academic Member’s planned activities and targets for the coming Appraisal Cycle in terms of time, effort, and deliverables in three (3) key areas: Teaching and Academic Professional Development, Scholarly and Creative Activities, and Services to the University, profession, and community.

1.2.5 Appraisal Cycle: The period of time from when the Academic Member is informed of requirements of the Academic Appraisal, to when he/she submits all documents and evidence pertaining to the Academic Appraisal.

1.2.6 Course: A set of learning sessions in a particular subject, with a defined scope and duration, and specific learning outcomes.

1.2.7 Course Folder: An electronic folder that includes all relevant documents for one Course taught during the Appraisal Cycle.

1.2.8 Evaluation Process Period: A period that starts when the Department/Program Head receives the Academic Appraisal Annual Report from the Academic Member and ends when the Dean/Academic Manager, Foundation Program Unit signs the final evaluation report.

1.2.9 Semester: A division of an Academic Year where a Student is enrolled in Course(s) followed by an examination period.

1.3 Where the context requires, words importing the singular shall include the plural and vice-versa.

1.4 Where a word or phrase is given a particular meaning, other parts of speech and grammatical forms of that word or phrase have corresponding meanings.

2.0 Procedure Purpose

2.1 The purpose of this procedure is to help Academic Members understand their role, to assist them in preparing their Academic Appraisal Annual Report, and to direct Department/Program Head and Dean/Academic Manager, Foundation Program Unit on providing accurate, valid and constructive evaluations. The procedure also provides a timeline and steps for the completion of the Appraisal Cycle and the criteria for evaluating Academic Members.

2.2 The following procedures are to be read in conjunction with Academic Appraisal Policy (PL-AC-09).

3.0 Procedure Statements

3.1 Vice-President, Academics and Dean/Academic Manager, Foundation Program Unit will be evaluated in accordance with the Academic Management Academic Appraisal Procedure.

3.2 The Appraisal Cycle and the Evaluation Process Period will be determined by the Vice-President, Academics at the beginning of each Academic Year, taking into consideration the Academic Calendar and the President’s approval.

3.3 Submission of Academic Appraisal Annual Report and Action Plan

3.3.1 All Academic Members must submit the Academic Appraisal Annual Report (see Annex A) to their respective Department/Program Heads. Academic Appraisal Annual Report will include all academic activities and required documents for the Academic Appraisal, including evidence relating to Teaching and Academic Professional Development, Scholarly and Creative Activities, and Services to the University, profession, and community for the current Appraisal Cycle and the proposed Action Plan for the coming cycle.

3.3.2 The Department/Program Head will check each Academic Appraisal Annual Report and request from Academic Members any information or documentation that is missing. Academic members must submit requested information within one (1) week or make special arrangements with the Department/Program Head.

3.3.3 Academic Members who joined the University in Fall Semester of the Academic Year during which the current Academic Appraisal is performed, will submit the Academic Appraisal Annual Report to their respective Department/Program Heads, which includes academic activities and supporting documents for the two (2) Semesters, Fall and Winter, of that Academic Year, and the proposed Action Plan for the coming Appraisal Cycle.

3.3.4 Academic Members who joined the University in Winter Semester of the Academic Year during which the current Academic Appraisal is performed, will submit the Academic Appraisal Annual Report to their respective Department/Program Heads, which includes academic activities and supporting documents for Winter Semester of that Academic Year, and the proposed Action Plan for the coming Appraisal Cycle.

3.4 Evaluation Process Period

3.4.1 During the Evaluation Process Period, the Appraisal Cycle (detailed under Table 1) will be carried out in three phases:

3.4.1.1 The preliminary evaluation, which will be conducted during week 1 and week 2 of the Appraisal Cycle;

3.4.1.2 The final evaluation, which will be conducted during week 3 and week 4 of the Appraisal Cycle; and

3.4.1.3 The Academic Appraisal Meeting, which will be held during week 5 and week 6 of the Appraisal Cycle.

3.4.2 Preliminary Evaluation

3.4.3 The preliminary evaluation is carried out by the Department/Program Head, who is responsible for the following:

3.4.3.1 Reviewing the Academic Appraisal Annual Report:

3.4.3.1.1 The Department/Program Head will review each Academic Appraisal Annual Report and evaluate the Academic Member on the three (3) components of the Academic Appraisal Framework (Teaching and Academic Professional Development, Scholarly and Creative Activities, and Services to the University, profession and community). Department/Program Head will provide his/her preliminary evaluation and recommendation in the Academic Appraisal evaluation report ( see Annex B );

3.4.3.2 Reviewing the proposed Action Plan:

3.4.3.2.1 The Department/Program Head will review each Academic Member’s proposed Action Plan and provide his/her feedback in the Action Plan.

3.4.3.3 Submitting each Academic Member’s Academic Appraisal evaluation report and proposed Action Plan by end of week 2, to the Dean/Academic Manager, Foundation Program Unit for review and final evaluation.

3.4.4 Final Evaluation

3.4.5 The Final evaluation is carried out by the Dean/Academic Manager, Foundation Program Unit, who is responsible for the following:

3.4.5.1 Reviewing each Academic Member’s Academic Appraisal Annual Report and evaluating the Academic Member, taking into consideration the preliminary review prepared by the Department/Program Head.

3.4.5.2 Reviewing each Academic Member’s proposed Action Plan, taking to consideration Department/Program Head’s comments, and providing his/her feedback in the Action Plan.

3.4.5.3 Sharing the Academic Appraisal evaluation report with the Academic Member by end of week 4, and inviting him/her for an Appraisal meeting.

3.4.5.4 Within three (3) days, the Academic Member will submit a written response to his/her respective Dean/Academic Manger, Foundation Program Unit acknowledging receipt of the evaluation and accepting invitation for the Appraisal meeting.

3.4.6 Academic Appraisal Meeting

3.4.6.1 The Academic Member and Dean/Academic Manager, Foundation Program Unit will meet to discuss the evaluation. At the end of the meeting, the Academic Member will sign the Academic Appraisal evaluation report, indicating his/her agreement or disagreement with the Academic Appraisal. In the event of disagreement, Academic Member may appeal the evaluation by submitting an appeal form to the Vice-President, Academics (see Annex D). Appeal process is outlined in this procedure in section 3.11.

3.4.6.2 Academic Member must acknowledge any changes required by the Dean/Academic Manager, Foundation Program Unit to the proposed Action Plan. If changes required, Academic Member will make the changes, tick the Final box, sign, and submit the final Action Plan by end of week 7. Final Action Plans will form the basis for the subsequent evaluation for the coming Appraisal Cycle.

3.4.6.3 All final evaluation reports must be completed and signed by the Dean/Academic Manager, Foundation Program Unit and the evaluated Academic Members.

3.4.6.4 By end of week 8, Dean/Academic Manager, Foundation Program Unit will submit all final evaluation reports to Human Capital Directorate and submit copy to Faculty Affairs Department for documentation.

3.5 Academic Appraisal Cycle Completion Timeline

3.5.1 Table 1 illustrates the steps required by the Academic Member, Department/Program Head, Dean/Academic Manager, Foundation Program Unit, and Vice-President, Academics through the Appraisal Cycle and the timeline for completion.

Table 1: Academic Appraisal Cycle and Evaluation Timeline

Academic Appraisal Procedure

3.6 Academic Appraisal Evaluation Criteria

3.6.1 Table 1 illustrates the steps required by the Academic Member, Department/Program Head, Dean/Academic Manager, Foundation Program Unit, and Vice-President, Academics through the Appraisal Cycle and the timeline for completion.

Figure 1: Academic Appraisal Framework Components

3.6.2 Table 2 below outlines the weight ranges in each component of the Academic Appraisal. The weight indicates the required proportion of the Academic Member’s effort dedicated to each component throughout the entire Academic Appraisal Cycle, as in the Academic Member’s Action Plan.

Table 2: Academic Appraisal Components and The Weight Range

3.6.3 (5 - 10%) of Teaching and Academic Professional Development component should be allocated to Academic Professional Development for all Academic Members. Weight range for the Academic Appraisal sub-components is allocated in Table 3.

Table 3: Academic Appraisal Sub-Components and The Weight Range

3.6.4 Academic Members who are teaching full time and not involved in Scholarly and Creative Activities will be solely evaluated on their Teaching and Academic Professional Development, and Service to the University, profession and Community.

3.6.5 The Academic Member will be given a qualitative score (criteria for each qualitative score is outlined in Annex C ) for each of the three (3) components of the Academic Appraisal as well as an overall qualitative score. The qualitative evaluation score will be as in Table 4:

Table 4: Qualitative Descriptors

3.7 Teaching and Academic Professional Development

3.7.1 The evaluation of the Teaching will be determined by the Academic Member’s teaching load over the three Semesters of the Appraisal Cycle, and Teaching during Summer semester, if any.

3.7.2 The Teaching and Academic Professional Development components will contain four (4) sections: Course Folder, Student Course Survey (Student Feedback), Pedagogy and Instructional Skills, and Technical/Discipline Specific Academic Professional Development.

3.7.3 Course Folder

3.7.3.1 The Course Folder is an electronic folder that contains documentation for one (1) Course taught during the Appraisal Cycle. It is presented as a completed Course in the Learning Management System (D2L). The Course Folder includes the following:

3.7.3.1.1 Course master syllabus;

3.7.3.1.2 Course self-reflection report including reflection on strengths, challenges, and potential for improvement;

3.7.3.1.3 Course assessment of learning objectives that illustrates the alignment of each learning objective to a formative and/or summative assessment;

3.7.3.1.4 Exemplars of student work (Activities and Assessments, including high, medium and low student achievement); and

3.7.3.1.5 Course materials/resources.

3.7.3.2 The content of the Course Folder will be used to determine the score for the Teaching component, by informing the evaluation of the Academic Member’s:

3.7.3.2.1 Integration of active learning and experiential learning strategies, use of technology and effective student engagement in the Course;

3.7.3.2.2 Use of assessment methods that enhance student learning. This will normally consist of formative assessment and informal diagnostic assessment;

3.7.3.2.3 Reflective practice and continued improvement;

3.7.3.3 Classroom Observation

3.7.3.3.1 The primary goal of the Academic Appraisal Framework is to encourage professional growth in both pedagogical and technical aspects of instruction. Classroom observations remain one option through which the use of active and experiential learning strategies, formative and applied assessments, and effective student engagement may be observed to assess and support development of these skills. The Academic Member may choose to include documentation of these as part of the Course Folder.

3.7.4 Student Course Survey

3.7.4.1 This is the cumulative instructor feedback rating achieved by the Academic Member on all Courses taught during the Appraisal Cycle, based on the results of the student evaluation of instructor and course survey.

3.7.5 Academic Professional Development

3.7.5.1 The University values the Academic Professional Development of all Academic Members. In this regard, Academic Members shall be involved in different types of training programs each one according to his/her needs for continuous improvement that can serve the University. The University recognizes two categories of Academic Professional Development: pedagogical development and technical/discipline-specific development. While these two categories should generally be developed to equal extent, it is recognized that in some cases, depending on Academic Members’ experience and training, there may be greater emphasis in one category in order to meet instructional goals. An example of this might be a newly hired Academic Member with current technical expertise who may not have extensive pedagogical experience. Such a member might commit a greater proportion of Academic Professional Development to pedagogical training in his or her first year at the University. Academic Member’s participation in both categories of Academic Professional Development will be submitted in the proposed Action Plan. Participation of the Academic Member in each category will be discussed with Dean/Academic Manager, Foundation Program Unit, taking into consideration the Department/Program Head’s recommendation, during the Appraisal meeting for approval, and is at all times subject to the Academic Member’s schedule, and availability of allocated funds.

3.7.5.2 Pedagogy and Instructional Skills

3.7.5.2.1 Activities of this type include workshops, seminars, internal and external training sessions on teaching and learning topics such as active and experiential learning, collaborative teaching and learning techniques, effective integration of learning technologies, and effective assessment. At the University, this category of Academic Professional Development is supported through Applied and Experiential Learning Department.

3.7.5.3 Technical/Discipline Specific Academic Professional Development

3.7.5.3.1 Academic Members undertake pre-approved technical or discipline specific Academic Professional Development to improve competency with the content and technical skills related to their instructional responsibility, to maintain relevant technical qualifications or certifications, or meet needs identified by the University. Activities in this category may include Courses, seminars, workshops, conference participation, and technical research. At the University, each Academic Unit undertakes the responsibility for engaging the Academic Members in effective activities for technical/discipline Academic Professional Development, subject to availability of allocated funds.

3.8 Scholarly and Creative Activities

3.8.1 Scholarly and Creative Activities are an important component of the evaluation. This component recognizes Research and innovative activities and accomplishments of Academic Members. The Research and/or development in this component is experiential and applied in nature and is aligned with the technical/vocational focus of the University. It may result in:

3.8.1.1 Discovery of new knowledge;

3.8.1.2 Solutions to existing problems in industry;

3.8.1.3 Development of new materials or practices;

3.8.1.4 New uses for existing materials or practices.

3.8.2 The results broaden and expand the technical and instructional environment in which the Academic Members and the University are situated.

3.8.3 Scholarly Activities

3.8.3.1 These pertain to applied Research and intellectual attainment, including:

3.8.3.1.1 published journal papers;

3.8.3.1.2 peer reviewed conference papers;

3.8.3.1.3 books and book chapters;

3.8.3.1.4 conference posters, seminars, and workshops presentations.

3.8.4 Creative Activities

3.8.4.1 These may refer to the invention and/or development of original or innovative ideas, practices, designs, concepts, materials, simulations, etc. including

3.8.4.1.1 innovative materials and procedures;

3.8.4.1.2 start-ups or prototypes resulting from Research, capstone projects and/or undergraduate research and projects;

3.8.4.1.3 concepts accepted into technology or business incubators;

3.8.4.1.4 innovative instructional practices that address specific needs of the University context.

3.9 Service

3.9.1 Academic Members are expected to employ their knowledge, expertise, and professional skills to benefit the University, the Students, the discipline or profession, and the community at large in a manner consistent with the University mission. Preferably, Service activities should be linked to the domain of expertise of the Academic Member and fall in one of the following categories:

3.9.1.1 Service to the University;

3.9.1.2 Service to the profession and discipline; and

3.9.1.3 Service to the community.

3.9.2 As part of the Action Plan for the Appraisal Cycle, the Academic Member negotiates with the Dean/Academic Manager, Foundation Program Unit on the type and scope of the Service activities that the Academic Member should focus on during the Appraisal Cycle.

3.9.3 Service is evaluated through documented Service accomplishments and is based on the significance and impact of the activities as well as on the role played by the Academic Member in providing this Service. Other contributions will be assessed according to the equivalence of their effort and contribution.

3.9.4 It is the responsibility of the Academic Member to provide all the necessary evidence to support reported Service activities. The evaluation of these activities will be based on a holistic appreciation of the Academic Member’s overall effectiveness, ethics, collegiality, impact and proactivity.

3.9.5 Service to the University

3.9.5.1 Academic Members are expected to contribute to the University efficiency and effectiveness. The following are examples of Service to the University:

3.9.5.1.1 Effective and constructive involvement in various department/Academic Unit/University committees;

3.9.5.1.2 Active participation in developing the field of specialization in the University (i.e., program development, active participation in launching a new program, etc.);

3.9.5.1.3 Active participation in program assessment, evaluation, and continuous improvement efforts;

3.9.5.1.4 Collecting assessment data and other preparation for accreditation;

3.9.5.1.5 Development of new University initiatives and/or bringing such initiatives to fruition;

3.9.5.1.6 Leading the effort or contributing as a member of a task force to address issues facing the University or its community;

3.9.5.1.7 Representing the University in external activities;

3.9.5.1.8 Contributing to Student welfare through engagement in supporting extracurricular Student activities, participating in Student-faculty committees, or serving as advisor to Student organizations;

3.9.5.1.9 Engaging in teaching Continuing and Professional Education (CPE) courses.

3.9.6 Service to the Profession

3.9.6.1 Academic Members are expected to be involved in Service to the profession and discipline. The following are examples of such involvement (evidence of these can take the form of certificates, letters of achievement or gratitude, promotional material, contact information of a referee) with prior executive approval:

3.9.6.1.1 Holding affiliations with professional associations in one’s field of expertise;

3.9.6.1.2 Contributions of time and expertise to serve external professional organizations and societies;

3.9.6.1.3 Serving as an appointed or elected officer of an academic or professional association;

3.9.6.1.4 Serving in areas of professional competence as a Head, an organizer or a program committee member for conferences, panel sessions, workshops, or meetings;

3.9.6.1.5 Participating in external professional visits as an external program reviewer, competition judge, or accreditation organization representative;

3.9.6.1.6 Serving as the editor or a member of editorial board of professional journals;

3.9.6.1.7 Refereeing manuscripts submitted to journals or grant proposals submitted to competitive funding organizations.

3.9.7 Service to the Community

3.9.7.1 Academic Members are expected to be effectively involved in voluntary and non-compensated activities the raise the profile of the University in the greater community. The following are examples of Service to the community:

3.9.7.1.1 Collaborative endeavors with high schools, government agencies, and/or the industry;

3.9.7.1.2 Consulting with private and public organizations, with prior executive approval;

3.9.7.1.3 Making research outcomes understandable and useable by the public, or by policy makers;

3.9.7.1.4 Having a media communication in popular and non-academic media including social media, newsletters, newspapers, radio, and television on issues of general interest to the public;

3.9.7.1.5 Offering presentations, workshops, short Courses for the industry, the government, or the public;

3.9.7.1.6 Evaluating programs or policies for external agencies;

3.9.7.1.7 Recruiting or informational visits to high schools;

3.9.7.1.8 Serving as a member of a board.

3.10 Action Plan

3.10.1 The Action Plan outlines the Academic Member’s intended commitment for the upcoming Appraisal Cycle in terms of time, effort, and deliverables in the following key areas of Academic Appraisal: Teaching and Academic Professional Development, Scholarly and Creative Activities, and Services to the University, profession, and community. It is important both in guiding the Academic Member’s priorities and time commitments throughout the Academic Year and as an objective means to demonstrate professional achievement and growth at the end of the Appraisal Cycle.

3.10.2 The proposed Action Plan is submitted to the Department/Program Head with the Academic Appraisal Annual Report, to be discussed and negotiated during the Academic Appraisal meeting in light of the Academic Member’s skills and interests and the needs of the Academic Unit and the University.

3.10.3 The final Action Plan arises from review and discussion with the Dean/Academic Manager, Foundation Program Unit. It will guide the Academic Member’s performance for the coming Appraisal Cycle and it will form the basis for the subsequent evaluation.

3.10.4 In the event that the Academic Member has made changes to his/her final Action Plan during the Academic Appraisal Cycle, Academic Member must provide justification on changes of the expected deliverables of the Academic Appraisal components to be submitted and discussed with his/her respective Dean/Academic Manager during the Appraisal meeting.

3.11 Appeal Process

3.11.1 If the Academic Member does not agree with the result of the evaluation of the Academic Appraisal, he/she may appeal to the Vice-President, Academics by completing and submitting an Academic Appraisal appeal form (see Annex D ) for the re-evaluation of his/her Appraisal. In the appeal form, the Academic Member must provide justification and reason for the appeal and may submit document(s) the he/she consider relevant to support the appeal form.

3.11.2 Appeal requests must be submitted within one (1) week after signing the final Academic Appraisal evaluation report.

3.11.3 The Vice-President, Academics will review and decide on the appeal or, at his/her discretion, may appoint a committee to make recommendations on the appeals within one (1) week. The Committee’s membership will be selected by the Vice-President, Academics and will consist of the following:

3.11.3.1 Dean/Academic Manager of different Academic Unit, as the Committee Chair;

3.11.3.2 One (1) senior Faculty Member from each Academic Unit;

3.11.3.3 One (1) representative from Human Capital Directorate;

3.11.3.4 Secretary, appointed by the Chair of the Committee, from among the Committee’s members or others in the University. The Secretary will be responsible for taking the meeting’s minutes and record recommendations and actions of the Committee

3.11.4 Faculty Affairs Department will submit to the Vice-President, Academics and/or the Committee copy of Academic Appraisal policy and procedure and the Academic Member’s:

3.11.4.1 Appeal form;

3.11.4.2 Academic Appraisal Annual Report;

3.11.4.3 Academic Appraisal evaluation report; and

3.11.4.4 Any evidence and supporting document(s) the Committee may request from the Academic Member to support the appeal case.

3.11.5 The Vice-President, Academics/Committee, as the case may be, will study and review the appeal taking into consideration the established policies and procedures pertaining to Academic Appraisal, justification and documents submitted by the Academic Member, and the Department/Program Head and Dean/Academic Manager’s comments on the Academic Appraisal evaluation report. The Committee’s recommendations will be taken by majority vote after reviewing the appeal.

3.11.6 The Chair will communicate in writing the Committee’s recommendation on the appeal to the Vice-President, Academics for final decision.

3.11.7 Upon consideration of the committee’s recommendations, the Vice-President, Academics will issue a final decision on each case.

3.11.8 Vice-President, Academics will communicate the result of the appeal to the Academic Member and the respective Dean/Academic Manager, Foundation Program Unit in writing within one (1) week of receiving the appeal.

3.11.9 All appeals decisions must be made by end of Evaluation Process Period.

3.11.10 Appeal process for the Vice-President, Academics and Dean/Academic Manager, Foundation Program Unit will be followed in accordance with the Academic Management Academic Appraisal Procedure.

4.0 Related Documents

4.1 PL-AC-09: Academic Appraisal Policy.

4.2 PL-AC-11: Academic Professional Development Policy.

5.0 References and Acknowledgements

5.1 n/a.

6.0 REVISION/MODIFICATION HISTORY

Rev #	Date	Section No.	Summary of Changes