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SMS/VIMS Activities and Criteria for Annual Merit Evaluation of Faculty

PPD-1304

I.  FUNDAMENTAL PRINCIPLES

The principal goal of the standards and expectations set forth by these criteria is two-fold, faculty development and the progressive advancement of the mission and long-term goals of the Virginia Institute of Marine Science (VIMS) and the School of Marine Science (SMS).  The basic mechanism for evaluating faculty performance is peer review according to policies established in the William & Mary Faculty Handbook, the Bylaws of the Virginia Institute of Marine Science, and procedures and criteria established by the faculty and approved by the Dean and Director. 

The department chair, in consultation with center directors as applicable, provides for the professional development of faculty in his or her department and ensures full participation of the departmental faculty in research, advisory service, education, and governance to ensure that the needs of the department and VIMS are met.  In filling these responsibilities, the chair annually negotiates profiles in the form of planning letters with the department faculty with ultimate approval by the Associate Dean for Research and Advisory Services and Associate Dean of Academic Studies.  The annual evaluation is to be based on the goals, objectives, and allocation of effort in the planning letter, and how accomplishments compare to other departmental faculty.  It is important that the hair and center directors, as applicable, foster long-term faculty development for senior faculty and mentoring of junior faculty during the annual evaluation process to ensure alignment with the Procedures and Criteria for Appointment, Evaluation, Retention, Promotion and Award of Tenure (PPD-1308).

II.  ACTIVITIES COMMENTARY

The following commentary on annual evaluation activities as broadly defined in PPD-1310, is provided as general guidance to chairs, center directors, and faculty.  It is the prerogative of the departmental faculty to develop and weight specific criteria based on these activities for the department.  The rating scale for merit evaluations in each area of activity will be as follows (also see PPD-1303, “Procedures for Annual Merit Evaluation of Faculty”):

Exceeds Expectations: This rating shall be awarded to a faculty member who is deemed truly outstanding in his or her effort and performance in a given area (i.e. education, research and professional service, advisory service and governance).  

Meets Expectations High: This rating shall be awarded to a faculty member who exhibits above normal effort and performance, and on occasion exemplary performance in a given area (i.e. education, research and professional service, advisory service, and governance).

Meets Expectations: This rating shall be awarded to a faculty member who exhibits normal effort and performance expected of faculty in a given area (i.e. education, research and professional service, advisory service, and governance).

Meet Expectations Low: This rating shall be awarded to a faculty member whose effort and performance in a given area (i.e. education, research and professional service, advisory service, and governance) is generally below the performance expected of faculty. 

Does Not Meet Expectations:  This rating shall be awarded to a faculty member whose effort and performance in a given area (i.e. education, research and professional service, advisory service, and governance) is often below and occasionally substantially below the performance expected of faculty.

In each instance, the quantity of activity (or effort) in a given area shall be evaluated relative to the allocation of effort reflected in a faculty member’s yearly profile.  It is the responsibility of the chair to explain to departmental faculty how criteria will be applied in assessing annual performance.  In addition to being part of the annual merit review, the four areas listed below are used as criteria for tenure review and promotion.

1.  Research and Professional Service

Both applied and basic research encompasses problem solving, creation, and dissemination of new knowledge.  Acquisition of external funds to support research efforts is considered an important part of research activity.  The effective communication of research results is expected through a variety of mechanisms, including oral, written, and web-based outlets.  The level of professional communication warrants particular attention, as it is the principal mechanism for dissemination of the results of scholarly activity.  Moreover, such dissemination enhances the stature of VIMS and William & Mary. 

Appropriate research activities include but are not limited to:

Professional Communications:

  • Refereed publications - Journals; Conference proceedings
  • Books and contributions to books
  • Distributed non-review publications - Conference Proceedings; Virginia Institute of Marine Science papers in marine science; Virginia Institute of Marine Science publication series; Contract reports (significant final reports only; where possible, include information on any outcome resulting from the product)
  • Oral presentations - Meetings with published abstracts; Meetings without published abstracts; Invited presentations

Support for Research:

  • Proposals written as principal investigator (PI)
  • Proposals written as co-principal investigator (Co-PI)
  • External funding secured as PI or Co-PI (Competitive programs; Sole source)
  • Collaborations with other faculty or scientists (Within-discipline; Inter-disciplinary; Inter-institutional)

Appropriate professional service activities include but are not limited to:

  • Review of manuscripts for journals
  • Grant proposal review
  • External evaluator for promotion or tenure
  • Service to scientific societies
  • Appointment as editor or associate editor of peer-reviewed journals

Non-Virginia directed advisory service (further details in PPD-1310):

  • Service on international committees not directly relevant to Virginia
  • Service on national or regional committees not directly relevant to Virginia
  • Service on state committees that are not part of Virginia

2.  Advisory Service to Virginia

Whereas professional service is construed as participation in activities that support research and professional communications, advisory service means service to the agencies of the Commonwealth, the governor's offices and VA General Assembly, to local governments, to industry, to nongovernmental organizations, to public interest groups, to appropriate federal and international agencies as defined in PPD-1310, and to the general public.

Products of advisory service can be written or oral contributions to the development of legislation, promulgation of guidelines, adoption of standards, policies and regulations, and results of applied research.  Evaluations of a faculty member’s advisory activities can be based on efforts to provide advice that results in positive economic benefits, identified benefits to natural resources and environments, and increasing public awareness.  Additional documentation of effective advisory activities can also be provided by publications, technical reports, educational material, and by consultations with identified clients. 

Appropriate advisory service activities include but are not limited to:

  • Brief communications (phone calls, email contacts, short meetings)
  • Advisory meetings (e.g., Virginia Marine Resources Commission, Chesapeake Bay Commission, NOAA)
  • Advisory reports 
  • Committee, council, and commission activity of relevance to Virginia 
  • Products of advisory activity (e.g., regulations, standards, legislation, guidelines, policy)

3.  Education

Education may include both graduate and undergraduate teaching and mentoring activities.  Graduate education is recognized as a distinctive activity that requires flexibility in definition, particularly with respect to formal classroom teaching loads.  The need for student mentoring in research is greater in graduate programs, and mentoring constitutes a larger proportion of the total educational load than is the case in traditional undergraduate programs.  However, as specified in PPD-1310, high quality formal classroom teaching and student mentoring is normally expected of all tenured and tenure-eligible faculty who are not full-time administrators.  Thus, education is herein defined to include the following activities: formal classroom teaching, mentoring and advising graduate students, and mentoring and advising undergraduate or other types of students.  Both faculty and student evaluations of the effectiveness of teaching and advising will be considered.  Effective mentoring is determined by assessing the continuing guidance and support of students by each faculty member.  Faculty should ensure the timely progress of students towards completion of their studies.  Student publications, presentations at professional meetings and awards are also evidence of effective mentoring.

Appropriate educational activities include but are not limited to:

Instruction

  • Sole instructor
  • Lecture courses
  • Seminar courses
  • Directed readings courses
  • Team teaching
  • Occasional lectures

Mentoring

  • Research
  • Educational guidance
  • Professional skill (e.g. grantsmanship, oral presentation)

Major professor or advisor

  • Undergraduate
  • M.S.
  • Ph.D.

Financial support of students

Committee service 

  • Within field
  • Out of field

Committees at other universities

Student Evaluation 

  • Examination monitor
  • Defense monitor

4.  Governance

Participation in faculty governance is an important responsibility of the faculty.  Governance activities typically involve participation on elected or appointed deliberative bodies of VIMS and/or William & Mary.  Participation can include service as chair, member or alternate member of the Academic Council, Faculty Council, standing or ad hoc committees within VIMS, or similar service on college-wide committees. 

III.  EVALUATION DOCUMENTS

Four documents are part of the annual merit evaluation: a current CV in VIMS modified W&M format, the planning letter for the year being evaluated, a narrative of the faculty members accomplishments for the year, and a planning letter for the subsequent year.

1.  Planning Letter

Each year each faculty member with the guidance of his or her chair and/or center director prepares an annual planning letter that sets goals and objectives for performance-based measures in the coming calendar year. The planning letter will propose levels of effort in each of the four evaluation areas (research and professional service, advisory service, education, and governance).  The goal of the planning letter is to structure the faculty member’s profile so that it supports and enhances the department’s contribution to the VIMS’s goals and objectives, and provides for the professional development of the faculty member.  It is the responsibility and authority of the chair and where appropriate, in consultation with the center director, to formally approve the profile contained in the annual planning letter. The planning letter, together with how accomplishments compare to other departmental faculty, is the basis for the subsequent annual merit evaluation.

2.  Evaluation Narrative 

An annual narrative should follow the format of the planning letter and describe the activities and accomplishments of the faculty member for the current year being evaluated.  Additional information may be included from external sources suggested by the individual faculty member, such as professional peers and clients in his/her field.  Qualitative self-assessments should be included for each of the four evaluation areas and a summary self-assessment for the entire year must also be provided.  Chairs will request input from the Associate Dean of Academic Studies for teaching evaluations, and the Associate Dean for Research and Advisory Services for research and advisory service evaluations.  The annual review may also consider, as appropriate, such factors as long-term research projects, teaching enhancement projects, and/or contributions to service and/or governance that extend beyond a single year.

Approved by the Faculty in December 2006.
Minor editorial corrections July 2011.
Minor editorial corrections November 2016.

last page update: March 11, 2024 by LCS