1-2 Appointment of Officers of Research

Policy

Appointments as officers of research may be made to the grades of office defined in the University Statutes. These grades of office are organized into four categories: professional, postdoctoral, staff, and student officers of research. The President appoints all officers of research on the advice of the Provost, with the exception of the student officers – graduate research assistants and departmental research assistants – who are appointed by the Secretary of the University. This section covers appointment of the first three categories of OOR, while 1-3 Appointment of Student Officers covers student officers of research. Terms of service vary by title – see details in the Faculty Handbook’s Officers of Research section. Note that for an appointment to Zero-Salaried Part-time Staff Officer of Research, the individual may be a current Ph.D. student performing research directly related to their degree program.

Every appointment of an officer of research must be made in accordance with the University’s Affirmative Action Plan.

Requirements and Workflows – choose the appropriate transaction

OORs with Title of Senior Research Scientist and Research Scientist

Requirements – for VP&S only

Note: If recommending an advanced rank by an expedited COAP review, see 1-8 Expedited Review of Appointments (which must be followed within six to nine months by a full COAP review).

Department submits the following:

  • A completed appointment dossier for FOM COAP review, including:
    • Letter from chair to Dean nominating the officer and including the title, candidate’s scholarly activity, research accomplishments, teaching record, and evidence of service
    • Signed Memorandum of Agreement (for joint or interdisciplinary appointments – see 1-6 Joint/Interdisciplinary Appointment)
    • Officer’s CV in COAP format
    • Candidate’s statement of research, teaching, and service activities
    • List of referees
    • Copy of letter to referees
    • Letters of Evaluation
    • One copy of five papers judged by the candidate and the department to be the most noteworthy contributions to the literature
  • School and/or departmental COAP approval letter and report
  • Invention Agreement (not applicable to the Department of Psychiatry)
  • Tax documents and NYS Labor Law 195.1 form, if salaried
  • Affirmative Action RAPS Clearance
  • Offer letter, signed by both chair and candidate
  • Visa and non-resident alien documents, when applicable
  • Upon receipt of Trustees' approval, a TBH or Paper Nomination, if unable to use the TBH
  • Voluntary Self-Identification of Race and Ethnicity Form
  • Pre-Hire Attestation Form

Workflow – VP&S OORs with Title of Senior Research Scientist and Research Scientist

Workflow - Part 1, FOM COAP review

Note: If recommending an advanced rank by an expedited COAP review, see 1-8 Expedited Review of Appointments (which must be followed within six to nine months by a full COAP review).

  • The OFA Representative reviews the submission for completeness and accuracy and schedules the school dean and/or department chair to present to the FOM COAP.
  • Once the FOM COAP presentation is scheduled, the OFA Representative forwards the agenda to the FOM COAP members and uploads the dossier to CourseWorks for their review.
  • The OFA Representative sends reminder notices to the school dean and/or chair or designee regarding the presentation(s).
  • The dean, chair, and/or designee presents the candidate to the FOM COAP.
  • When the chair has completed the brief presentation and leaves, the committee votes.

Workflow – Part 2, TBH or Paper Nomination processing

  • The department submits the TBH or Paper Nomination.
  • The OFA Representative conducts a preliminary review of the submission.
  • The OFA Representative submits the request to the SVP for approval.
  • The SVP reviews and, if acceptable, approves by signing the TBH or Paper Nomination.
  • OFA approves and submits the TBH electronically or Paper Nomination manually to CUIMC Payroll or directly to HRPC, if zero-salaried.

Requirements – for CDM, SON and Mailman only

Department submits the following:

  • Letter from chair to Dean nominating the officer for appointment and including the title, candidate’s scholarly activity, research accomplishments, teaching record, and evidence of service
  • Officer’s CV in COAP format
  • Signed Memorandum of Agreement (for joint or interdisciplinary appointments – see 1-6 Joint/Interdisciplinary Appointment)
  • School and/or departmental COAP approval letter and report
  • Invention Agreement
  • Tax documents and NYS Labor Law 195.1 form, if salaried
  • Affirmative Action RAPS Clearance
  • Offer letter, signed by both chair and candidate
  • Visa and non-resident alien documents, when applicable
  • TBH or Paper Nomination, if unable to use the TBH
  • Voluntary Self-Identification of Race and Ethnicity Form
  • Pre-Hire Attestation Form

Workflow – for CDM, SON and Mailman only

  • The OFA Representative conducts a preliminary review of the submission.
  • The OFA Representative submits the request to the SVP for approval.
  • The SVP reviews and, if acceptable, approves by signing the TBH or Paper Nomination.
  • OFA approves and submits the TBH electronically or Paper Nomination manually to CUIMC Payroll or directly to HRPC, if zero-salaried.

Staff Officers of Research (Salaried and Part-Time Zero-Salaried)

Requirements

Department submits the following:

  • Letter from chair to Dean recommending the appointment and including the officer’s name, title, and effective date of hire, as well as – for a part-time zero-salaried officer – the school/program in which he/she is currently enrolled and a statement indicating that the work he/she will be doing is directly related to the pursuit of his/her degree
  • Officer’s CV, using the COAP format as a guideline
  • Invention Agreement (not applicable to Department of Psychiatry)
  • Salaried officer only:
    • Tax documents and NYS Labor Law 195.1 form, if salaried
    • Affirmative Action RAPS Clearance
    • Proof of Doctorate if received within the previous 2 years
    • Offer letter, signed by both chair and candidate
    • Tax documents
    • Approved Position Classification Form
  • Part-time zero-salaried officer only (to be used for Officers of Research who are performing research in pursuit of a degree):
    • Proof of current school/program enrollment
  • Visa and non-resident alien documents, when applicable
  • TBH, or Paper Nomination if unable to use the TBH
  • Voluntary Self-Identification of Race and Ethnicity Form
  • Pre-Hire Attestation Form

Workflow – Staff Officers of Research

Path 1 – If salaried

  • The OFA Representative reviews the CUIMC Position Classification Form and associated documentation and submits them to the Faculty Affairs AVP for approval.
  • The Faculty Affairs AVP reviews and, if acceptable, signs the Position Classification Form.
  • OFA sends a copy of the signed Position Classification Form to the department faculty affairs contact.
  • Upon receipt of the approved Position Classification Form, the department submits the TBH or, if unable to use a TBH, the Paper Nomination Form.
  • The OFA Representative reviews the submission and submits it to the SVP.
  • The SVP reviews and, if acceptable, approves by signing the TBH or Paper Nomination Form.
  • OFA approves and submits the TBH electronically or Paper Nomination manually to CUIMC Payroll.

Path 2 – If part-time zero-salaried

  • The department submits the TBH or, if unable to use a TBH, the Paper Nomination Form.
  • The OFA Representative reviews the submission and submits it to the SVP.
  • The SVP reviews and, if acceptable, approves by signing the TBH or Paper Nomination Form.
  • OFA approves and submits the TBH electronically or Paper Nomination manually to HRPC.

All Other Officers of Research

Requirements

Department submits the following:

  • Letter from chair to Dean recommending the appointment and including the officer’s name, title, and the effective date of hire
  • Officer’s CV, using the COAP format as a guideline
  • Invention Agreement (not applicable to Department of Psychiatry and Postdoctoral Residency Fellow)
  • Tax documents and NYS Labor Law 195.1 form, if salaried (not applicable to Postdoctoral Residency Fellows, Postdoctoral Research Fellows, and Postdoctoral Clinical Fellows)
  • Affirmative Action RAPS Clearance (not applicable to Postdoctoral Research Scientist)
  • Proof of Doctorate if received within the previous 2 years (only applicable to Associate Research Scientist, Postdoctoral Research Scientist, Postdoctoral Research Fellow, and Postdoctoral Clinical Fellow)
  • Offer letter, signed by both chair and candidate (not applicable to Postdoctoral Residency Fellow and Postdoctoral Clinical Fellow)
  • Visa and non-resident alien documents, when applicable
  • Stipend or Proof of Outside Funding (only applicable to Postdoctoral Research Fellow and Postdoctoral Clinical Fellow)
  • Health Attestation Form (only applicable to Postdoctoral Research Fellow and Postdoctoral Clinical Fellow)
  • Proof of Health Insurance (only applicable to Postdoctoral Research Fellow and Postdoctoral Clinical Fellow)
  • NYP Packet - RFA (see 1-5 CUIMC Recommendation for Appointment to NYP) (only applicable to Postdoctoral Residency Fellow and Postdoctoral Clinical Fellow)
  • TBH, or Paper Nomination if unable to use the TBH
  • Voluntary Self-Identification of Race and Ethnicity Form
  • Pre-Hire Attestation Form

Workflow – All Other Officers of Research

  • The OFA Representative reviews the submission and submits it to the SVP.
  • The SVP reviews and, if acceptable, approves by signing the TBH or Paper Nomination Form.
  • OFA approves and submits the TBH electronically or Paper Nomination manually to CUIMC Payroll, if full-time salaried Postdoctoral Research Scientist or full-time Postdoctoral Research Fellow with stipend, or directly to HRPC, if part-time Postdoctoral Residency Fellow or part-time Postdoctoral Clinical Fellow.

Resources

CUIMC Billing Compliance Plan Attestation Form

CUIMC COAP CV Format

CU Faculty Handbook

CUIMC Joint/Interdisciplinary Appointments and MOA Guidelines

CU Paper Nomination Form

CUIMC Position Classification Form

CU RAPS/AA Policies and Tools

CUIMC Reciprocal Faculty Appointment Application Form

CUIMC Reciprocal Faculty Appointment Release and Compliance Form

Inventions Agreement Form

CU Template-Based Hire (TBH) - Attaching Documents - job aid

CUIMC Title Structure

CU Stipend Form

Offer Letter for Officers of Research Template

Staff Associates Reclassification Framework

Pre-Hire Attestation

Voluntary Self-Identification of Race and Ethnicity form