UNIVERSITY LEADERSHIP COUNCIL...UNIVERSITY LEADERSHIP COUNCIL Maximizing the Value of Non-Tenure-Track ... Project Challenge Project Sources Research Parameters . 5 of 14 Education

UNIVERSITY LEADERSHIP COUNCIL

Maximizing the Value of Non-Tenure-Track Researchers at Research-Intensive Institutions

Education Advisory Board 2445 M Street NW ● Washington, DC 20037

Telephone: 202-266-6400 ● Facsimile: 202-266-5700 ● www.educationadvisoryboard.com

2012

June

Custom Research Brief Research Associate Melinda Salaman Research Manager Priya Kumar

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Education Advisory Board

2445 M Street NW ● Washington, DC 20037


© 2012 The Advisory Board Company

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Table of Contents

I. Research Methodology ...................................................................................................... 4

Project Challenge ............................................................................................................. 4

Project Sources ................................................................................................................. 4

Research Parameters ....................................................................................................... 4

II. Executive Overview .......................................................................................................... 5

Key Observations ............................................................................................................. 5

III. Appointment Procedures for Non-Tenure-Track Researchers ............................... 6

General Characteristics of Non-Tenure-Track Researchers ....................................... 6

Strategies to Attract and Retain Researchers ............................................................... 6

Appointment Procedures for Non-Tenure-Track Researchers .................................. 8

IV. Classification of Non-Tenure-Track Researchers ..................................................... 9

Administrative Classification of Non-Tenure-Track Researchers ............................ 9

V. Evaluation and Promotion Procedures for Researchers .......................................... 10

Affiliations with Academic and Research Units........................................................ 10

Research Expectations ................................................................................................... 10

Evaluation Procedures .................................................................................................. 12

VI. Effects of Researchers on Institutional Research Culture ..................................... 14

Interdisciplinary Research ............................................................................................ 14

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I. Research Methodology

Leadership at a member institution approached the Council with the following questions:

What start-up packages and other institutional support do administrators offer to

ensure that the institution attract high-quality non-tenure-track researchers?

What are the promotion procedures for non-tenure-track researchers?

What are the standards that a non-tenure-track researcher must meet to be promoted?

Do administrators always affiliate non-tenure-track research faculty with a single

academic department? If so, how is this affiliation determined for research faculty

members that engage in interdisciplinary studies?

Have administrators observed that tenured and tenure-track faculty increase research

production following the hire of non-tenure-track research faculty on campus?

The Council consulted the following sources for this report:

Advisory Board’s internal and online research libraries

(www.educationadvisoryboard.com)

National Center for Education Statistics (NCES) (http://nces.ed.gov/)

The Council interviewed vice presidents of research at institutions without medical schools classified as “Research Universities (Very High Research Activity)” in the Carnegie Classification Guide.

A Guide to Institutions Profiled in this Brief

Institution Location Approximate Institutional

Enrollment (Undergraduate/Total)

Type

University A South:

Large City 21,000 / 14,000 Public

University B South:

Large City 31,500 / 23,500 Public

University C Midwest:

Small City 32,500 / 42,500 Public

University D Northeast:

Midsize City 4,000 / 10,500 Private

University E Northeast:

Small City 5,500 / 6,500 Private

University F Midwest:

Small City 26,500 / 32,500 Public

University G Midwest:

Large Suburb 8,500 / 12,000 Private

Project Challenge

Project Sources

Research Parameters

http://www.educationadvisoryboard.com/

http://nces.ed.gov/

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II. Executive Overview

Department chairs and faculty members should identify and appoint non-tenure-track

researchers. Department chairs and faculty members are more attuned to research trends in

their field of study than senior administrators. The vice president of research typically

approves appointment decisions and discusses potential hires with department chairs in

special hiring circumstances, such as a large start-up package or a dual-career couple.

About half of all contact institutions classify non-tenure-track researchers as members of

the faculty, while the remaining institutions classify researchers as members of the staff.

Classification of researchers as faculty ensures that researchers are subject to similar evaluation

processes as other faculty, which establishes equal reputations for the groups at the institution.

However, contacts warn that faculty members may resent the fact that non-tenure-track

faculty can fully participate in institutional decision-making, such as faculty senate meetings.

Faculty at one contact institution recently voted to define ‘faculty’ as only tenured and tenure-

track faculty and report general satisfaction with this definition.

Evaluation procedures for non-tenure-track researchers resemble those for tenured and

tenure-track faculty members. Researchers and their immediate supervisors typically decide

on evaluation procedures, particularly if the researcher supports ongoing faculty research and

works closely with a single faculty member. Researchers who lead independent research

projects typically abide by similar evaluation processes as faculty members. Contacts at several

institutions find this may legitimize the non-tenure-track research role among faculty, though

this is not always successful.

Non-tenure-track researchers may increase research productivity among faculty members

on campus if hired to independently lead research projects. As principal investigators,

researchers may invite faculty members to join research teams and participate in externally

funded research projects. This increases the likelihood that faculty will secure funding in the

future. Non-tenure-track researchers also influence institutional research culture in subtle

ways; contacts provide anecdotal evidence of faculty members inspired to produce more

research after witnessing researchers’ success securing external grants. Some contacts warn,

however, that non-tenure-track researchers will not increase research productivity on campus

if hired to work in a support function with one faculty member. A culture of interdisciplinary

research and collaboration must already be in place at an institution for non-tenure-track

researchers to increase research productivity with their influence.

Key Observations

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III. Appointment Procedures for Non-Tenure-Track Researchers

Expect a Scarcity of High-Quality Researchers

Departmental leaders and central research administrators often struggle to identify researchers

with experience securing external funding and with a well-established reputation in their field

of study. The highest quality researchers typically pursue tenure-track faculty positions in lieu

of non-tenure-track research positions because of the stability and prestige the former offers.

This diminishes the number of candidates that administrators can consider for non-tenure-

track research positions. Listed below are several reasons that contribute to a lack of high-

quality candidates for non-tenure-track research positions.

Reasons for a Scarcity of High-Quality Researchers

Non-tenure-track positions are less secure than tenured faculty positions. The longevity

of a non-tenure-track research position typically depends on researchers’ ability to attract

external research dollars to an institution. Administrators hire non-tenure-track

researchers as contract or at-will employees and expect that external grants cover

researchers’ salaries. Unlike tenured faculty, non-tenure-track researchers may be

dismissed from an institution if they are unable to attract grant dollars.

Non-tenure-track researchers are a transient workforce. Contacts at University C assert

that the insecurity of a non-tenure-track position causes researchers to constantly seek

new opportunities at other institutions. High-quality researchers often leave one

institution to pursue more attractive start-up funding, facilities space, and greater

likelihood of securing research grants at another institution.

Non-tenure-track researchers seek positions in close proximity to other institutions.

Researchers with spouses or families may hesitate to assume positions at institutions

located in remote areas where job opportunities for spouses may be scarce. If other

institutions in the surrounding area have positions available for researchers’ spouses, this

vastly increases the likelihood that a researcher will accept a non-tenure-track position at

an institution and relocate his or her family to the area.

Most Non-Tenure-Track Researchers Receive Minimal Start-Up Packages

No contact institution offers non-tenure-track researchers a start-up package of similar size as

those for tenured and tenure-track faculty; start-up packages for non-tenure-track researchers

are always less than that for faculty. For example, a tenure-track faculty member at University

G may receive $700,000 as start-up funding while a non-tenure-track researcher may receive

between $50,000 and $100,000 for the same purpose.

Most institutions offer non-tenure-track researchers shared, rather than separate, facilities

space. Several contacts note that the amount of research space allotted to researchers depends

on the type of research conducted. Contacts at University A report that non-tenure-track

researchers in the sciences (e.g., biology, chemistry, physics, etc.) typically have access to more

research space than researchers in the humanities or social sciences, due to the special needs of

each group.

Attract High-Quality Candidates with Generous Start-Up Packages

Administrators should provide non-tenure-track researchers with start-up packages to attract

candidates to the institution. Because start-up packages are a rarity among non-tenure-track

researchers, researchers are likely to appreciate any financing, facilities space, and access to

research assistants that an institution offers them.

General Characteristics of

Non-Tenure-Track

Researchers

Strategies to Attract and

Retain Researchers

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Offer large start-up packages to candidates who are likely to contribute significantly to

ongoing research activity. If a candidate for the position is highly regarded in a particular

discipline, administrators may offer a large start-up package to ensure that the researcher

accepts the position at the institution. Large packages may also be offered to the spouse of

a highly regarded faculty member to ensure the couple remains at the institution

Offer large start-up packages to candidates who are pivotal to an institution’s mission.

Contacts at University C may present large start-up packages to female or minority non-

tenure-track researchers in the sciences who contribute to the broader institutional

mission of diversity in the sciences.

Retain High-Quality Researchers with Distinctive Research Opportunities

Additional retention strategies do not require a significant financial investment of institutional

resources and bolster researchers’ ability to conduct research and attract external grant dollars.

Provide researchers with access to laboratory space. Laboratory space, particularly wet

lab space (i.e., laboratories where chemicals, drugs, or other material or biological matter

are tested and analyzed; these require water, direct ventilation, and specialized piped

utilities), is typically expensive. Administrators who seek to attract high-quality

researchers to the institution may offer access to laboratory space as part of a start-up

package. Due to limited resources, no contact institution provides laboratory space as part

of a standard start-up package for non-tenure-track researchers.

Embed researchers in core research facilities. Several contacts recommend that non-

tenure-track researchers work in core research facilities to increase the likelihood that they

will be part of research projects that attract external funding. At University C and

University D, researchers work in core facilities to gain or hone an expertise with complex

instruments. Researchers educate, advise, and train faculty members on the use of the

instrument.

Leverage existing faculty and build strong research teams that include non-tenure-track

researchers. Non-tenure-track researchers seek positions that are likely to provide

opportunities to attract external research dollars. Administrators should offer non-tenure-

track researchers the opportunity to work with highly-regarded tenured and tenure-track

faculty and take part in their new or ongoing research projects.

Reward researchers for continued success: If non-tenure-track researchers at University

G attract external funding for research, they may receive more facilities space to carry out

their research. This reward system incentivizes researchers to apply for external grant

dollars and realize that the institution acknowledges and supports their success. The

reward system also provides administrators with a tool to allocate research space

efficiently among researchers.

Discuss long-term research career at the institution. Department and research center

leaders at University F are encouraged to speak with researchers about future research

projects and career plans after researchers demonstrate a commitment to the institution

(i.e. worked for about two or three years). Researchers with several years of experience at

the institution have likely demonstrated success in securing external funding and should

be encouraged to remain at the institution and continue to attract grant dollars.

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Allow Department Chairs and Faculty to Appoint Researchers

Central research administrators typically manage research across multiple disciplines and are

not familiar with discipline-specific research trends. Department chairs and faculty are

typically attuned to new and upcoming research trends in their academic discipline and can

identify high-quality researchers who have experience in those fields. Faculty members at

University A and University C hire the majority of non-tenure-track researchers at their

institution. Faculty direct their own research projects and are best suited to recruit and appoint

non-tenure-track researchers to support their ongoing research.

Department chairs and faculty members attract high-quality candidates for non-tenure-track

research positions through open competitive searches where positions are posted on major

industry websites as well as targeted searches where they identify candidate through personal

connections or past interactions. Contacts at University B recommend broad recruitment and

appointment guidelines for non-tenure-track researchers so that department leaders and

faculty can recruit researchers as they deem appropriate.

Appointment Process for Non-Tenure-Track Researchers at University C

Central Administrators Should Oversee Unusual Research Appointments

Large Start-Up Packages

Central administrators must approve non-tenure-track research appointments when a

department chair wants to offer a large start-up package to a candidate. In this situation, the

vice president for research discusses appointment decisions with department leaders,

considers whether the candidate is likely to significantly increase research production on

campus, and decides if there are enough institutional funds to contribute to the departmental

start-up package.

Unit leaders identify a need for research

support.

Unit leaders conduct a search for a non-

tenure-track researcher.

Unit leaders interview and hire researchers, with

final approval from the vice president of

research.

Leaders from an academic department, college, or research

center may identify a need for research support. Within an

academic department or college, faculty members may

request additional support for ongoing research.

This search may be open and competitive or targeted to

recruit specific researchers who demonstrate an aptitude for

research and ability to contribute significantly to the research

program at the institution.

If a research faculty member is hired into an academic unit,

the college manages screenings and hiring decisions. The VP

of research is involved only in the final stage of approval.

Within a research center, the vice president of research may

be more closely involved in the selection and approval of non-

tenure-track researchers.

Appointment Procedures for

Non-Tenure-Track

Researchers

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Appointments to Institutional Research Centers

Many institutions employ non-tenure-track researchers in institutional research centers.

Research center leaders and the vice president for research, who typically oversees the center,

should interview and appoint non-tenure-track researchers with primary appointments to an

institutional research center. Institutional research centers are typically quite large and cannot

rely on individual principal investigators (PIs) or faculty members to standardize hiring

processes across the center.

IV. Classification of Non-Tenure-Track Researchers

Classify Non-Tenure-Track Researchers as Faculty or Staff

About half of contact institutions classify non-tenure-track researchers as faculty members for

human resources purposes. This faculty classification allows researchers to participate in

institutional committees, ensures that review processes are similar as those for faculty, and

encourages campus constituents to respect non-tenure-track researchers.

However, classification of non-tenure-track researchers as faculty members may breed

discontent among tenured and tenure-track faculty. Contacts at University E report that

several years ago, the board of trustees limited the size of the institutional faculty senate and

voted to define ‘faculty’ as only tenured and tenure-track faculty members. Faculty prefer that

only those with a vested interest in long-term policies make major decisions (e.g. promotion

and tenure guidelines, new program development, etc.) rather than non-tenure-track

researchers who have shorter futures at the institution.

Avoid Multiple Classifications for Non-Tenure-Track Researchers

Several institutions maintain two classifications of non-tenure-track researchers to distinguish

between researchers who primarily support ongoing research projects and those who act as

principal investigators (PIs) and lead their own research projects. The chart below depicts the

responsibilities and expectations of each group of non-tenure-track researchers at University C

and University F.

Expectations of Different Categories of Non-Tenure-Track Researchers

Support Researcher Principal Investigators (PIs)

Primary Responsibilities

Researchers work on research teams with faculty members. In some cases, support researchers are encouraged to serve as PIs and lead research studies, but are not required to do so.

Principal investigator (PI) researchers lead externally funded research projects and attract grant dollars to the institution. PI researchers may invite faculty to join research teams.

Expected Career Path No established career path; intended primarily as a short-term position.

Clear career path; PI researchers are expected to advance in rank during their time at an institution.

Educational Qualifications PhDs or MAs PhDs

Administrative Classification of

Non-Tenure-Track

Researchers

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Two classifications of non-tenure-track research faculty can lead to tension between support

researchers and PI researchers. Contacts at University A report that support researchers often

protest the responsibilities and research opportunities that PI researchers receive. To alleviate

tension between support and PI researchers, administrators should allow and encourage

support researchers to serve as PIs for their own research projects. This provides both groups

with similar research opportunities and increase the amount of external funding at the

institution.

Affiliate Non-Tenure-Track Researchers with Departments or Research Centers Depending on Their Interests

Institutions that classify non-tenure-track researchers as staff members affiliate researchers

with academic departments or institutional research centers depending on which unit is more

closely aligned with the researcher’s work (e.g., affiliate a researcher focused on pediatric

neuroscience with the Brain Imaging Research Center rather than with the biology

department). At institutions that classify researchers as faculty, the researcher always has an

affiliation with at least one academic department. A single affiliation ensures that

administrative processes (i.e. evaluations and promotions) operate efficiently.

Researchers who pursue research projects across various disciplines should associate with

institutional research centers rather than with multiple academic departments. Research

centers at University F exist explicitly to promote interdisciplinary research across the

institution. Researchers with multidisciplinary interests and research experience should only

affiliate with multiple academic departments if no research center at the institution fits their

interests.

V. Evaluation and Promotion Procedures for Researchers

Clarify Expectations for Evaluations and External Funding

Research expectations for non-tenure-track researchers vary across contact institutions. While

some institutions require researchers to secure external funding prior to a non-tenure-track

appointment, researchers at University C are paid with funding from a faculty member’s

grant to support an ongoing project. These researchers are evaluated based on their support of

the project, not on the amount of independent research they conduct.

Affiliations with Academic and

Research Units

Research Expectations

Hiring Researchers in the Humanities and Social Sciences

Researchers are hired to conduct research in the laboratory and natural sciences, social

sciences, or the humanities. The vast majority of non-tenure-track researchers work in the

laboratory or natural sciences; very few researchers are hired to work in the social sciences

or the humanities. Contacts offer several explanations for this disparity, listed below.

More external funding is available for research projects in the sciences.

Because many non-tenure-track researchers must secure external funding prior

to appointment at an institution, the relatively higher number of grants available

in the sciences translates to more researchers in these disciplines.

Researchers in the humanities and social sciences do not typically work in

groups. According to contacts at University C, researchers in the humanities and

social sciences do not work in large teams and typically have little use for

researchers or collaborative spaces to meet with colleagues.

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Other institutions may hire researchers with the expectation that, after a certain period of time,

the researcher will attract external funding. For example, researchers at University B are

expected to independently secure research grants within two years of their hire and

researchers at University G must secure grants within three years. Several other institutions

expect researchers to transition from research support roles to principal investigators (PIs)

with independent sources of funding but do not specify a number of years when this transition

must occur. Researchers typically strike agreements with their direct managers, such as a

faculty member, department chair, or center director.

Evaluate Researchers on Standards Specific to Rank

Research expectations and evaluation standards should vary between non-tenure-track

researchers of different ranks. Junior-level researchers hired to support faculty with ongoing

research projects should not be expected to produce their own research. Contacts at University

C note that supervisors should support junior-level researchers who independently secure

external grants but should not expect these researchers to pursue external grants continuously.

Senior researchers hired to independently secure grants typically discuss expectations with

their immediate supervisor at the time of their appointment or promotion. Contacts do not

offer a particular amount of research dollars that a non-tenure-track researcher must obtain in

order to be evaluated favorably or promoted.

Retain Researchers When External Funding is Lost in the Short-Term

Researchers may lose a non-tenure-track appointment at an institution if they cannot obtain

financial support from external sources. Hiring non-tenure-track researchers as at-will

employees or appointing them on short-term contracts provides administrators with the

flexibility to retain or discharge researchers according to funding status and demonstrated

value to the institution.

Administrators may wish to retain a non-tenure-track researcher if the researcher has attracted

external research dollars but experienced a short-term loss of funding. Strategies to financially

support researchers during an interruption in their funding vary and are detailed in the

diagram on the following page.

Administrators Pay Researchers to Participate in Service Activities Federal requirements bar researchers who receive 100 percent of their salaries from federal grants from participating in institutional activities such as teaching, advising, and service. In response to this federal regulation, administrators at University B mandate that each department fund at least 10 percent of a researcher’s salary so that the researcher can engage in departmental and institutional activities. Contacts at University F support this 10 percent minimum funding rule, since it ensures that non-tenure-track researchers can prepare for tenure-track positions in the future. However, long-term support for a non-tenure-track researcher is expensive, so administrators may consider partial funding only for researchers in the short-term (e.g. one semester, one academic year, etc.).

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Strategies to Support Researchers through Interruptions in External Funding

Academic Unit Provides Financial Support Central Administration Provides Financial

Support

Partial funding options: If a non-tenure-track researcher at University B loses external funding, department and college leaders decide whether to support the individual until he or she secures another research grant. In most cases, the researcher can stay at the institution for another year. In rare cases, the researcher may stay at the institution for longer than one year, but is likely to only receive partial funding from the supporting department or college (e.g. the researcher receives 100% of his or her salary in the first and only 50% in the following year).

Central ‘bridge’ funding: Administrators at University F may provide short-term support (i.e. for one year) to a non-tenure-track researcher who has worked at the institution for seven years and shows ability to attract research dollars in the near future. During the funding period, the researcher must continue to write grant proposals and engage in campus activities (i.e. teaching and service activities). Bridge funding demonstrates that administrators respect non-tenure-track researchers’ contributions to the institution and are committed to their success, even through gaps in funding.

Joint funding effort between central administration and academic units: No policy at University G determines whether an academic unit or the central administration provides financial support to a non-tenure-track researcher who has lost external funding. In most cases, the academic unit and the office of research contribute funds to support a researcher during a gap in funding. The leader of the researcher’s affiliated unit (e.g. academic department or research center) typically facilitates conversations with department chairs, college deans, and representatives from the office of research and requests funding for one to three years. Funds are always requested for a set period of time.

Evaluate Non-Tenure-Track Researchers in a Process Similar to Tenure-Track Faculty

Promotion evaluations for non-tenure-track researchers resemble those for faculty; leaders

within the researcher’s affiliated academic unit or research center manage the majority of the

evaluation process. Each college at University B maintains separate guidelines for promotion

evaluations that adhere to principles outlined in the institutional faculty handbook; this

ensures that evaluation standards for non-tenure-track researchers are appropriate for their

discipline.

The promotion process at University A mirrors the process for faculty to enforce the idea that

non-tenure-track researchers must meet similar standards of excellence as their tenure-track

peers and are worthy of the same level of respect. Contacts at University G indicate that a

shorter promotion process with fewer levels of review minimizes the administrative burden of

reviews and ensures that reviewers write sincere recommendations that accurately reflect the

candidate’s work at the institution. The promotion processes at these two institutions are

compared on the following page.

Evaluation Procedures

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Promotion Process for Non-Tenure-Track Researchers at Two Contact Institutions

Central Institutional Committee Review

The central review committee at University A includes representatives from each college or

lab (depending on the researcher’s affiliation) at the institution. The central committee at

University G is smaller and convenes for non-tenure-track promotions. The committee

includes members from the provost’s advisory committee.

Final Administrative Approval

The president at University A makes final promotion decisions, whereas the provost (or a

representative from the provost’s office) at University G decides non-tenure-track promotions.

Researcher submits curriculum vitae or résumé for review.

Faculty or lab partners write a recommendation.

The researcher’s immediate supervisor writes a recommendation.

A committee of representatives from each department or lab

writes a recommendation.

The college dean or research center director writes a

recommendation.

Central institutional committee writes a recommendation.

The vice president for research writes a recommendation.

Senior administrator gives final approval for the promotion.

Promotion Process University A University G

Required level of review

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VI. Effects of Researchers on Institutional Research Culture

Affiliate Research Faculty with Multiple Academic Departments or Central Research Centers to Promote Interdisciplinary Research

Although no institution collects data on the effect of non-tenure-track researchers on overall

research productivity, contacts provide numerous anecdotal examples of ways that researchers

have encouraged the faculty to enhance research production (e.g. more grant application

submissions, greater numbers of collaborative research projects, etc.). Contacts at University B

assert that non-tenure-track researchers provide a counterweight to the influence that non-

tenure-track teaching faculty have on faculty; teaching faculty demonstrate strategies for

excellence in teaching and demonstrate excellence in research as an example for faculty

members to learn from.

Researchers may change the institutional culture in additional ways, detailed below. However,

several contacts insist that non-tenure-track researchers may have limited influence on culture

if ill-prepared or ill-positioned to promote interdisciplinary research.

Benefits and Limitations of Non-Tenure-Track Researchers on Institutional Culture

Benefit Limitation

Researchers staff and lead institutional research centers: Unlike faculty, non-tenure-track researchers can devote all of their time to administrative tasks and research projects within the research center, which makes them more productive overall. Non-tenure-track researchers can also draw on previous industry knowledge and contacts to ensure that center research addresses real need in industry, which increases their likelihood of attracting funding for projects.

Some non-tenure-track researchers are not qualified to lead major institutional research centers: Contacts at University G strongly recommend against the assignment of non-tenure-track researchers to lead an institutional research center. Non-tenure-track researchers are often less experienced and lesser known in their disciplines than faculty, which makes them less qualified than faculty to run a research program and attract funding for the projects within the center.

Researchers engage in and promote interdisciplinary research: Non-tenure-track researchers can increase the amount of interdisciplinary research that occurs on campus. Researchers may be affiliated with several academic departments or housed within a single research center; contacts note that researchers’ interactions with faculty bring faculty from across the institution in conversation about research trends and possibilities for collaboration.

Researchers who work on faculty projects do not increase interdisciplinary research: Non-tenure-track researchers cannot increase Interdisciplinary research at an institution if they are hired only to support specific projects within a single department. Administrators at University A are considering moving away from a single-project hiring model and instead hiring non-tenure-track researchers in multi-departmental positions to fill positions and lend support to new grant opportunities as needed.

Interdisciplinary Research

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