Regulations on Rating Evaluation of the Activity of
Scientific-Pedagogical Staff, Departments, and Faculties of
National Aerospace University
“Kharkiv Aviation Institute”
Approved:
by the Academic Council of
National Aerospace University
“Kharkiv Aviation Institute”
Minutes No. 4 dated December 23, 2015
QMS KhAI-NMV-P/001:2015
Date of Introduction December 24, 2015.
Revision No. 1
1. General Provisions
1.1 The Regulations on Rating Evaluation of the Activity of Scientific-Pedagogical Staff (hereinafter - SPS), Departments, and Faculties (hereinafter - Regulations) at the National Aerospace University “Kharkiv Aviation Institute” (hereinafter - University) have been developed in accordance with the Law of Ukraine “On Higher Education” dated 01.07.2014, No. 1556-VII.
1.2 Rating evaluation of the activity of SPS, departments, and faculties of the University is one of the forms of quantitative analysis and monitoring of the development and quality improvement of the University's activity, taking into account the contribution of all SPS, departments, and faculties, which ensures effective monitoring.
1.3 Rating assessment of activity is a quantitative indicator of the performance quality results of SPS, departments, and faculties, formed according to the main areas of activity.
1.4 The objects of the rating evaluation are personal achievements over all years of work, as well as teaching and scientific work performed during the current academic year.
1.5 The main tasks of the rating evaluation at the university are:
- creating an information base for analyzing and evaluating the performance results of teachers, departments, and faculties of the university;
- determining the best performance indicators of SPS and the University as a whole;
- ensuring compliance with modern trends in the development of higher education in Ukraine;
- increasing the motivation of scientific-pedagogical staff in improving their professional qualifications, mastering advanced pedagogical experience, and applying a creative approach to the teaching process;
- ensuring greater objectivity in evaluating teachers' performance due to the completeness and reliability of information;
- strengthening the collective interest of teachers in improving the final results of training graduates across educational and qualification levels;
- differentiating the performance evaluation to ensure stimulation of the most effective part of the teaching staff.
1.6 The system for determining the rating of SPS and faculties of the University is based on the following principles:
- incentive: the system is aimed not at penalties regarding less productive performance indicators, but at stimulating the work of individuals who show better results in their work;
- transparency: the system of indicators used to determine the rating is accessible to the SPS;
- reliability: only those types of activities whose results can be documented and confirmed are taken into account;
- accessibility: ease of perception of the evaluation system and provision of remote access to it;
- flexibility: the possibility of establishing priorities by changing the indicators for evaluating types of activities or the coefficients for these indicators.
1.7 The indicators of the rating system are approved by the Academic Council of the University.
2. Procedure for Conducting the Rating Evaluation of SPS, Departments, and Faculties of the University
2.1 Determination of the SPS, departments, and faculties rating is carried out according to a point system through a set of completed elementary types of activity included in the respective areas of activity.
The weight coefficient of each indicator is determined in points (Table A.1 of Appendix A and Table B.1 of Appendix B).
The number of points for individual rating items may change annually.
Correction coefficients may be established for items 1, 2.1, 2.2, 2.3, 2.4, 2.5, 3 (the initial values of these coefficients are equal to one).
2.2 Evaluation of SPS activity is conducted using the online information-rating system “Rating of Scientific-Pedagogical Staff of KhAI” (hereinafter - RSPS), located at https://rating.khai.edu/ .
2.3 To participate in the rating, all SPS must be registered in the RSPS system and regularly fill out forms corresponding to the types of activities performed by this SPS.
2.4 All forms are filled out in the Ukrainian language, with the exception of publication data, which are filled out in the language in which they were published.
2.5 Personal data of SPS (date of birth, numbers and series of diplomas and certificates) are subject to storage in the RSPS database in encrypted form with restricted access.
2.6. By connecting to RSPS, the SPS provides consent to the processing of personal data listed in paragraph 2.5.
2.7 The SPS rating is determined by summing up all points in accordance with the completed forms.
2.7 Monitoring over the data entry (filling out forms) by the SPS is carried out by a responsible person appointed separately for each department.
2.8 Selective monitoring of the reliability of the entered data by departments is carried out by a commission specially created by order of the Rector or the Vice-Rector of the University for Scientific and Pedagogical Work.
2.9 When calculating rating scores, only those indicators of SPS activity that can be confirmed and verified are taken into account. Confirmation of a particular result of SPS activity is: the teacher's individual plan, a photocopy or scanned version of the document confirming the presence of this result uploaded to the RSPS database, and/or a link to an official Internet resource with confirmation.
3. Deadline for Data Submission by Scientific-Pedagogical Staff of the University
3.1 The SPS enters data regarding their educational activity by the end of the academic year, but no later than June 15.
3.2 The SPS enters data regarding their scientific activity in the current year (paragraphs 2.3.1, 2.3.2, 2.3.4, 3.1, 3.2) by the end of the current year, but no later than December 15, to ensure their availability during the formation of annual reports of the university.
3.3 If the deadline for submitting data on the scientific activity of the SPS in the current year is violated, the points received by the employee for these indicators are calculated with a decreasing coefficient.
The final rating for the ended academic year is formed by June 20.
4. Procedure for Evaluating the Activity of SPS, Departments, and Faculties
4.1 The rating evaluation of the activity of SPS, departments, and faculties of the University is carried out by a rating commission, which is appointed by the order (decree) of the Rector or the Vice-Rector of the University for Scientific and Pedagogical Work, before the beginning of the next academic year.
4.2 The rating evaluation of SPS and subdivisions of the University is carried out according to the following separate categories:
- postgraduate student,
- young teacher (under 35 years old),
- assistant,
- senior teacher,
- associate professor,
- professor,
- head of department,
- department,
- faculty.
4.3 Based on the evaluation results, the rating commission prepares a relevant report and submits it for consideration to the Academic Council of the University 5 days before its meeting.
4.4 A representative of the rating commission reports the results of the rating evaluation at the meeting of the Academic Council of the University.
4.5 The Academic Council of the University approves the results of the rating evaluation.
4.6 The approved rating assessments are published.
4.7 Based on the rating assessments, winners are determined in the following nominations:
- Best Postgraduate Student,
- Best Young Teacher,
- Best Assistant,
- Best Senior Teacher
- Best Associate Professor,
- Best Professor,
- Best Head of Department,
- Best Department,
- Best Faculty.
4.8 The scope and procedure of material incentives among the winners of SPS categories and departments that took prize-winning places based on the comprehensive evaluation, as well as the number of prize-winning places, are determined by the Rector.
5. Procedure for Calculating Rating Assessments
5.1 Normalization of rating assessments is carried out before their publication according to the formula:
NR = R/MR
where NR is the normalized rating of an employee (or department, faculty), R is the rating before normalization, MR is the median of ratings in this nomination (postgraduate students, assistants, senior teachers, young teachers, associate professors, professors, heads of departments, departments, faculties).
5.2 The SPS rating is calculated according to the following procedure:
1) Rating of full-time SPS working on a full position or more:
OR = min(1548, I/C) + D,
RK = min(1548*C, I) + D.
2) Rating of part-time teachers (C < 1):
OR = min(1548, I/C) + D,
RK = min(1548*C, I) + D*C.
3) Rating of postgraduate students:
OR = max[min(100, I), min(1548, I/C)] + D,
RK = min(100, I) + D*(1-C).
4) Rating of doctoral students:
RK = min(100, I) + D*(1-C).
In the formulas listed above, the following notations are introduced: I - points for works included in the individual plan (norm - 1548 hours), D - points for other works, C - position rate in units on which this employee is appointed, OR - personal rating of the employee, RK - contribution of this employee to the department rating.
Postgraduate students can participate in several nominations - as a postgraduate student and, for example, as an assistant (if he/she works as a part-time assistant). The contribution of doctoral students to the department rating is calculated similarly to the contribution of postgraduate students, but a separate nomination for doctoral students is not provided due to their small numbers. They can participate in the rating only as teachers (if they work in a part-time teacher position).
SPS who work part-time and are appointed to less than a 0.25 position rate cannot qualify for a prize-winning place in the respective nomination.
5.3 The rating of departments is calculated by the sum of ratings of the department's SPS in relation to the number of full-time teaching position units according to the formula:
where Ркаф is the department rating, РКі is the rating of the i-th employee of the department, K is the number of full-time teaching position units in the department.
5.4 The rating of the head of department consists of a personal rating, which is taken into account with a coefficient of 0.3, and the department rating, which is taken into account with a coefficient of 0.7, and is determined by the formula:
where РЗ is the rating of the head of department, ОРз is the personal rating of the head of department as a university employee, Ркаф is the department rating.
5.5 The rating of faculties is calculated by the weighted sum of department ratings according to the formula:
where РФак is the faculty rating, Ркафj is the rating of the j-th department, Кj is the number of full-time teaching position units in the j-th department.
6. Indicators of Scientific-Pedagogical Activity of the University Employees
6.1 The rating evaluation of SPS data is carried out according to the criterion - one rating point equals 1 hour of SPS work.
The expected sum of rating points for an SPS member working on a full-time basis can be equal to 1548 points and above (it may be lower if the individual plan of the SPS member includes types of activities that are not taken into account in the RSPS).
6.2 Indicators related to the personal data of SPS, which are filled out in the first year of the rating implementation, are presented in Appendix A.
In subsequent years, these data are updated only as necessary (if there are actual changes in these data).
6.3 Indicators related to the employee's activity in the current year that affect the University's indicators (rating) in the following year are presented in Appendix B.
6.4 The sum of points for each publication in the presence of co-authors is divided by the number of these co-authors (indicated in Table B.1 with the sign “
”).
6.5 For some types of publications in Table B.1, it is specified "In the absence of the publication in the electronic catalog of the KhAI library, the points are divided by 10". In order for the points for such a publication not to be divided by 10, the author must register this monograph (textbook, study guide, etc.) in the electronic catalog of the KhAI library and provide the KhAI library with at least 1 copy of this publication.
6.6 Participation only in those international projects where KhAI or a subdivision of KhAI is the executor (recipient of funds) is credited to the rating. Personal international grants are not taken into account in the rating.
Appendix A
Indicators Related to the Personal Data of SPS
Table A.1
| No. | Name / Title | Options | Estimated number of points (hours) |
| 1. Personal Data | |||
| 1.1 | Full Name (Surname, First Name, Patronymic) | - | - |
| 1.2 | Date of birth | - | - |
| 1.3 | Qualification diploma | higher education diploma | 10 |
| Candidate of Sciences diploma (Ph.D.) | 25 | ||
| foreign Ph.D. diploma | 25 | ||
| Doctor of Sciences diploma (D.Sc.) | 50 | ||
| 1.4 | Scientific-pedagogical experience (seniority) | - | 1 per single year |
| 1.5 | Position (indicating full-time or part-time) |
| - |
| 1.6 | Position rate (in fractions of a unit) |
| - |
| 1.7 | Academic title | Senior Researcher (s.n.s.) | 25 |
| Associate Professor (Docent) | 25 | ||
| Professor of KhAI | 35 | ||
| Professor | 50 | ||
| 1.8 | Membership in the National Academy of Sciences or sectoral academies of sciences | Full Member (Academician) of the National Academy of Sciences | 100 |
| Corresponding Member of the National Academy of Sciences | 75 | ||
| Full Member or Corresponding Member of a sectoral academy of sciences (national academies of: pedagogical sciences, legal sciences, agrarian sciences, medical sciences, arts) | 50 | ||
| 1.9 | State Prize Laureate | State Prize of Ukraine in the field of Science and Technology | 40 |
| T. Shevchenko State Prize of Ukraine | |||
| State Prize of Ukraine in the field of Education | |||
| scholarships of the Verkhovna Rada | |||
| Scholarships of the Cabinet of Ministers | |||
| State Prizes for young scientists | |||
| 1.10 | Holder of an honorary title of Ukraine | In accordance with the Law “On State Awards of Ukraine” | 20 |
| 1.11 | Total number of publications (filled out optionally) | provide a link to the account in Google Scholar, Scopus, ORCID, Research Gate with the list of publications | 1 point per 20 publications |
| 1.12 | Scientific publications with a Google Scholar citation index above the threshold (the threshold is set annually to exceed the h-index of KhAI) | provide a link to the article on Google Scholar | 10 points per 1 such publication |
Appendix B
Indicators Related to the Activity of SPS in the Current Academic Year
Table B.1
| No. | Name / Title | Options | Estimated number of points (hours) |
| 2. Work of a Teacher or Researcher | |||
| 2.1 Teaching Assignments | |||
| 2.1 | Teaching assignments (first half of the day) | Total hours per semester (filled out strictly in accordance with item 1 of the individual plan) | 1 point per 1 hour |
| 2.2. Educational and Methodological Work | |||
| 2.2.1 | Preparation for classes (second half of the day) | Total hours per semester (the corresponding sum is transferred from the individual plan) | 1 point per 1 hour |
| 2.2.2 | Study guide or textbook (with publication date in the reporting period) In the absence of it in the electronic catalog of the KhAI library, points are divided by 10 | lecture notes, reference guide | 50 points per 1 printed sheet |
| study or methodological guide | |||
| textbook | |||
| other educational and methodological materials | 25 points per 1 printed sheet | ||
| 2.2.3 | Support of academic disciplines (second half of the day) | Total hours per semester (the corresponding sum is transferred from the individual plan) | 1 point per 1 hour |
| 2.3. Scientific and Research Work | |||
| 2.3.1 | Scientific publication (with release within the reporting period) | Monograph published abroad in one of the languages of the European Union | 120 points per 1 printed sheet |
| Monograph published in Ukraine or CIS in Ukrainian or Russian language and listed in the electronic catalog of the KhAI library | 60 points per 1 printed sheet | ||
| Monograph published in Ukraine or CIS in Ukrainian or Russian language, not listed in the electronic catalog of the KhAI library | 6 points per 1 printed sheet | ||
| Article in a journal indexed in Scopus, SNIP>0.8 | 400 points per 1 printed sheet | ||
| Article in a journal indexed in Scopus, SNIP<0.8 | 200 points per 1 printed sheet | ||
| Article in a journal included in the HAC (VAK) list | 80 points per 1 printed sheet 60 points per 1 printed sheet | ||
| article in a journal included in the list of an international scientometric database | |||
|
|
| article in another journal | 20 points per 1 printed sheet |
| report at a conference indexed in Scopus | 100 points | ||
| report at a foreign or English-language conference | 80 points | ||
| report at another conference | 20 points | ||
| 2.3.2 | Patents, useful models, software certificates | application submitted within the reporting period | 25 points |
| certificate obtained within the reporting period | 50 points | ||
| 2.3.3 | Supervision of student work | number of diploma students with an "excellent" grade with a defense date in the reporting period (bachelors, specialists, and masters) | 10 per each |
| scientific publication, patent or useful model in the reporting period (co-authored with a student) | 10 per each | ||
| supervision of master's theses within scientific projects under Tempus and Erasmus+ programs | 20 per each | ||
|
| Supervision of student work (continued) | supervision of a student, prize-winner of Stage II of the All-Ukrainian Student Olympiad or Stage II of the All-Ukrainian Competition of Student Scientific Works | 30 |
| supervision of a student, prize-winner of an international creative competition or festival | 30 | ||
| supervision of a JAS (MAN) project, provided it advances to the second stage | 20 | ||
| supervision of a student who received a scholarship from the Pinchuk Foundation under the "Zavtra.UA" program | 50 | ||
| training of a student who became a prize-winner in competitions during the reporting period (Olympiads, World, European, Ukrainian championships, World and Ukrainian Universiades, World, European, Ukrainian student championships) | G - 1000, WCh - 500, ECh - 250, WU - 150, others - 50 | ||
| 2.3.4 | Supervision and advising of degree seekers (with approval date of the defended dissertation within the reporting period) | Supervisor of a Candidate of Sciences (Ph.D.) who defended | 400 |
| Scientific advisor of a Doctor of Sciences (D.Sc.) who defended | 800 | ||
| 2.3.5 | Work on the editorial board of scientific journals and collections |
| 20 points per issue |
| 2.3.6 | Participation in the organizing or program committee of conferences | indexed in Scopus | 20 points per conference |
| other International conferences | 10 points per conference | ||
| other All-Ukrainian conferences | 5 points per conference | ||
| 2.3.7 | Reviewing of monographs, textbooks, guides, scientific projects, dissertations, official review reports on author's abstracts, inventions | internal university reviewing of educational and methodological literature of KhAI | 3 points per printed sheet |
| monographs | |||
| textbooks, study guides | |||
| scientific projects | |||
| official opposition of a Candidate of Sciences dissertation | 25 | ||
| official opposition of a Doctor of Sciences dissertation | 40 | ||
| official review report on an abstract of Candidate of Sciences dissertation | 10 | ||
| official review report on an abstract of Doctor of Sciences dissertation | 20 | ||
| 2.3.8 | Work in scientific councils (second half of the day, the corresponding sum is transferred from the individual plan) | Participation in the work of sections of the Scientific Council of the Ministry of Education and Science (MESU) | 1 point per 1 hour |
| Work in specialized councils for dissertation defense | |||
| Work in the scientific and technical council of the university | |||
| Participation in the expert council of the Ministry of Education and Science (MESU) | |||
| 2.3.9 | Execution of planned scientific research | Participation in the execution of a state-funded scientific research topic as a supervisor or responsible executor | 150 |
| Participation in the execution of a state-funded scientific research topic as an executor | 25 | ||
| Participation in the execution of a commercially contracted scientific research topic as a supervisor or responsible executor | 150 | ||
| Participation in the execution of a commercially contracted scientific research topic as an executor | 25 | ||
| Participation in the development of internal university documents as an executor | 50 points per document | ||
| 2.3.10 | Participation in scientific projects under Erasmus Mundus, Horizon 2020 and other international grants | Participation in the execution of international scientific projects as a supervisor or responsible executor | 200 |
| Participation in the execution of international scientific projects as an executor | 50 | ||
| 2.4. Organizational and Methodological Work | |||
| 2.4.1 | Work in commissions and expert councils (second half of the day) (the corresponding sum is transferred from the individual plan) | Work in the expert commission of HAC (VAK) | 1 point per 1 hour |
| Work in the expert commission of SAC (DAK) | |||
| Work in NMC of MESU | |||
| Work in methodological commissions and councils of the university, faculty | |||
| 2.4.2 | Organizational and methodological work assigned by the administration or dean's office (second half of the day) | Academic secretary of a specialized academic council for dissertation defense | 100 |
| Deputy head of department | 100 | ||
| secretary of department | 50 | ||
| Academic secretary of the university | 300 | ||
| Head of methodological commission (the corresponding sum is transferred from the individual plan) | 1 point per 1 hour | ||
| Responsible for the development of the website of the department, faculty, university | 50 | ||
| Responsible at the department for filling out the rating of the scientific and teaching staff of KhAI | 30 | ||
| 2.4.3 | Organization of conferences, symposia and other events (second half of the day, the corresponding sum is transferred from the individual plan) | International and nationwide conference, symposium, seminar | 1 point per 1 hour |
| Student Olympiad | |||
| Competition and sports events | |||
| 2.4.4 | Vocational and pre-university training of youth (second half of the day, the corresponding sum is transferred from the individual plan) |
| 1 point per 1 hour |
| 2.4.5 | Management of a branch of the Physics and Mathematics School (FMS), educational consulting center (NKP), technical classes |
| 25 |
| 2.4.6 | Organization and conducting of off-site Olympiads |
| 1 point per 1 hour |
| 2.4.7 | Supervision of a student scientific club (second half of the day, the corresponding sum is transferred from the individual plan) |
| 1 point per 1 hour |
| 2.4.8 | Participation in the work of the admissions committee (by order of the dean) |
| 6 points per day for a maximum of 60 days |
| 2.4.9 | Participation in department meetings and scientific-methodological seminars (second half of the day, the corresponding sum is transferred from the individual plan) |
| 1 point per 1 hour |
| 2.5. Educational and Mentoring Work | |||
| 2.5.1 | Fulfilling the duties of a curator of an academic group | (the corresponding sum is transferred from the individual plan) | 1 point per 1 hour for a maximum of 100 hours |
| 2.5.2 | Individual educational and mentoring work (second half of the day) | of the deputy dean (the corresponding sum is transferred from the individual plan) | 1 point per 1 hour; maximum 50 hours |
| of the teacher (the corresponding sum is transferred from the individual plan) | 1 point per 1 hour; maximum 50 hours | ||
| 3. Professional Development, Awards, and Grants | |||
| 3.1 | Obtaining an academic degree in the reporting period | Candidate of Sciences | 1000 |
| Ph.D. (at a foreign university) | 1000 | ||
| Doctor of Sciences | 2000 | ||
| 3.2 | Obtaining an academic title in the reporting period | Senior Researcher (s.n.s.) | 150 |
| Associate Professor (Docent) | 150 | ||
| Professor | 250 | ||
| 3.3 | Receiving a State Prize in the reporting period | State Prize of Ukraine in the field of Science and Technology, Taras Shevchenko National Prize of Ukraine, State Prize of Ukraine in the field of Education | 4000 |
| 3.4 | Receiving a scholarship/fellowship in the reporting period | of the President of Ukraine | 50 |
| of the Verkhovna Rada | |||
| of the Cabinet of Ministers of Ukraine | |||
| 3.5 | Receiving an honorary title of Ukraine in the reporting period |
| 200 |
| 3.6 | Obtaining membership in the National Academy of Sciences or in sectoral academies of sciences in the reporting period | Full Member (Academician) of the National Academy of Sciences | 1000 |
| Corresponding Member of the National Academy of Sciences | 750 | ||
| Full Member or Corresponding Member of a sectoral academy of sciences (National Academies of: Pedagogical Sciences, Legal Sciences, Agrarian Sciences, Medical Sciences, Arts) | 500 | ||
| 3.7 | State awards (in the reporting period) |
| 100 |
| 3.8 | Departmental/agency awards (in the reporting period) |
| 75 |
| 3.9 | Personal victory in competitions (international, all-Ukrainian, regional, city) in the reporting period |
| 25 |
| 3.10 | Personal receipt of a Presidential grant for scientists, or a Regional State Administration (ODA) grant for young scientists in the reporting period |
| 150 |
| 3.11 | Receiving an international grant (with KhAI as a co-executor) in the reporting period |
| 1000 |
| 3.12 | Receiving a grant from the SFFR (DFFD) in the reporting period |
| 1000 |
| 3.13 | Applications submitted in the reporting period | For a State Prize | 50 |
| For a scholarship/fellowship (President, Verkhovna Rada, Cabinet of Ministers) | 10 | ||
| For a grant (Presidential grant for young scientists, ODA grant for young scientists) | 25 | ||
| For an SFFR (DFFD) grant | 50 | ||
| 3.14 | Certificate/Diploma of professional development (internal or external) with official status in the reporting period |
| 50 |