Annual Planning Report (APR) Guidelines
Guidelines
The APR is required of all Arts & Science departments, programs, institutes, and centers each year unless an exception is made by the Dean's Office. A reminder will be sent to each academic unit by the Associate Dean for Fiscal & Administrative Affairs.
Preparation of the APR is the primary responsibility of the unit administrator, although certain sections (e.g. Faculty Staffing, Summer Study Away) will require direct consultation with the chair or director of the unit.
For your reference, a Departmental Profile will be available within the administrative section of ASIS beginning March 1st, with additional graduate program information available March 21st. Data are compiled from a variety of sources including ASIS, University systems, student surveys, and information provided by the department. Please contact the Senior Director of Institutional Research, David Vintinner, if you have any questions regarding the data.
The APR should be addressed to the Associate Dean for Fiscal & Administrative Affairs no later than April 20, 2012. One electronic copy should be sent as an email attachment, addressed to randall.say@nyu.edu. Please use the following naming convention: 13APR[unitname].doc.
The APR is both a progress report on the Strategic Planning Report (SPR) and an annual budget request. When preparing APR's, we ask that you adhere to the following principles:
Additionally, we ask that you adhere to the following formatting guidelines:
Annual Planning Report 2012-2013
The APR is reviewed by the Arts & Science Dean's Council, which includes the FAS Dean (Thomas Carew), the Acting CAS Dean (Gabrielle Starr), the GSAS Acting Dean (Mal Semple), the Dean of Humanities (Lauren Benton), the Dean of Science (Daniel Stein), the Dean of Social Science (Dalton Conley), the Associate Dean for Faculty Advancement and the Humanities (Jonathan Lipman), the Associate Dean for Fiscal and Administrative Affairs (Randall Say) and the Associate Dean for Administration (Lauren Holmes).
The timing of responses to the APR depends in part on when the FAS budget is finalized with the University Administration, but our intention is to have responses released by June 1, 2012.
1.0 Executive Summary
Provide a brief synopsis (no more than 500 words or one to two pages) highlighting the progress in the department or program in achieving its academic goals (e.g. snapshot of where the department stands, areas of strength, directions of where the department wants to go, etc.).
1.1 Rank and Priority of APR Requests
Provide a short bulleted summary of the department’s APR requests. Please rank your requests in priority order (with the first item being of the highest importance).
2.0 Accomplishments
In this section, we ask that you provide a list of major achievements by individual faculty, students, and the department as a whole. We are especially interested in achievements that reflect the goals articulated in your department's SPR. List only achievements earned in the twelve month period ending December 31, 2011. Please do not repeat information from prior years and please do not simply submit copies of faculty C.V.'s. The list need not be exhaustive; we are more interested in a list of especially notable achievements than a lengthy list.
2.1 National and international prizes, and other major honors bestowed on faculty.
2.2 Faculty publications that received awards or special notice, and especially notable grants.
2.3 Undergraduate majors who have been accepted into doctoral programs and the names of the institutions they are attending.
2.4 Honors, prizes, and fellowships secured by graduate and undergraduate students, including articles published by undergraduates in peer-reviewed journals or presentations at professional conferences.
3.0 Faculty Staffing
3.1 Provide a brief commentary on the results of any faculty searches conducted in the previous year indicating reasons for success or failure and any changes in recruitment strategies that may be suggested by the prior year experience.
3.2 Request faculty lines for the next recruitment cycle indicating rank and sub-field for each line. Provide a brief justification for each position as well as an explanation on how it will impact the development of the department or program. Please include any proposals for joint hires involving the Abu Dhabi and Shanghai portal campuses or the Global study away sites.
3.3 Provide information on anticipated faculty departures, retirements, leaves, and sabbaticals, and describe any significant impacts on the department's curriculum, administration, and research profile. Note that there is no automatic replacement of faculty who are on leave, retiring, or separating. In the case of faculty on leave, in particular, the first assumption will be that their academic duties (courses, advising, and committee service) will be absorbed.
4.0 Curriculum & Enrollment Planning
Course Enrollments
{Data entry in ASIS is required to complete section 4.1 and 4.2. Information should be kept up to date as enrollment projections and course offerings change throughout the spring and summer terms.}
4.1 Using the ASIS Courses Module, indicate the courses (new andexisting) you are proposing to offer next year. Project enrollment for each course being offered through Summer 2013. Please note that enrollment projections should not be the maximum listed in SIS but real projections based on past history and knowledge of student interest.
Please note that since summer 2009, graduate course offerings are included in departmental budgets rather than summer budgets. It is therefore important for departments to be sure to include requests for these costs in their APR submission as they will be built into 2012-2013 departmental budgets.
4.2 Using the Courses Module, please update the instructor field as you clarify teaching assignments. In order to evaluate your adjunct request, you should make provisional teaching assignments for the entire year (fall, spring, winter, May intensives and summer terms).
4.2.1 ASIS will automatically suggest minimum adjunct rates based on each adjunct's record and course schedule. Please review and confirm these amounts against the history shown in the Adjuncts Module. For questions about adjunct rate calculations, please contact Kristy Cusick, Senior Director of Fiscal Affairs.
4.3 Please include in the narrative of your APR submission a summary and justification for any changes related to adjunct funding requests. Following the review of your submission, Fiscal Affairs will be in contact with any questions or concerns. Once finalized, units will be provided with instructions and deadlines for submission of adjunct appointments.
5.0 Undergraduate Program Profile
5.1 How many students are engaged in undergraduate research (through honors, DURF grants, and independent study) with faculty in your department or elsewhere in the University?
5.2 How many and which faculty (provide names) are active in mentoring these undergraduate research projects?
5.3 How and by whom is undergraduate academic advising organized in the department?
5.4 Does the department have an undergraduate student group or club? Also is there an undergraduate publication or other activity (e.g., research conference, lecture series) that is run by undergraduates and supported by the department?
5.5 The College has asked all DUSes to describe the writing required in advanced undergraduate courses. Please append that information here.
5.6 Based on data (available in ASIS, under Departmental profile: “DEPT Students”), how will your department develop or refine study away opportunities (courses, internships, research) beyond Washington Square in light of NYU’s goal of increasing the number of students studying away in a given year?
6.0 Graduate Program Profile
{Data entry in ASIS is required to complete section 6.1 and 6.2. Please see the appendix with detailed instructions on the GPP data entry requirements. Information should be kept up to date as graduate student support plans change throughout the semester.}
6.1 Financial Aid
Update the Financial Aid screens of the Graduate Program Profile on ASIS following the instructions and guidelines provided in the Appendix.
6.2 Graduate Student Placement
Placement is an important measure of doctoral program success. Departments should be actively maintaining contacts with alumni and tracking their career progression. Section 6.2 of the appendix provides detailed instructions on updating this information in ASIS.
6.3 Doctoral Program Roadmaps
Now that FAR4 is in place, departments and programs are asked to review and provide an updated version of their doctoral program roadmaps.
7.0 Operating Budget
The Operating Budget section provides you the opportunity to request on-going increments or special allocations to enhance the administrative and capital infrastructure of the department.
7.1 Administrative Staffing Plan
Requests for new positions, upgrades, additional compensation and organizational restructuring (especially suggestions which may result in improved efficiency, delivery of services, and headcount or budgetary savings) may be submitted. Please contact the Associate Dean for Administration, Lauren Holmes, to discuss these ideas before including them in the APR. Please note that very limited resources may be available for such requests.
7.2 Operating Support
Departments should critically examine budgets for reprioritization or alternative funding sources before requesting any additional funds. A strong justification and statement concerning possible alternatives as well as the impact to the instructional or research missions of the department is required.
7.3 Technology
Please review the inventory of computers scheduled for replacement in 2012-2013 and confirm its accuracy.
It is strongly advised that you consult with the Director of Computing and Information Technology, Richard Israel, about hardware acquisitions before making a proposal.
7.4 Communications Planning
It is the policy of Arts & Science to limit the number and scope of print publications and instead to rely on the Web for outreach and communication materials. As part of this policy, we are re-examining all print materials and requesting that units provide justification for them. Failure to provide a justification in the APR will prevent these materials from being included in the 2012-2013 budget and will not be funded.
7.5 Space, Furniture, and Small Capital Improvements
This section is not intended for academic units to describe large scale renovations of facilities but for small capital improvements of $25K or less for painting, re-carpeting, furniture acquisition, etc. All small capital requests must be reviewed first by the Director of Space Planning and Management, Lisa Huntington to determine its appropriateness to be included in the limited budget available for small capital projects.
8.0 Global Network University (GNU Initiatives)
Please provide a brief commentary on the department or program's current participation or potential interest in working with the Office of Global Programs to develop proposals for new programs and related faculty and curricular synergies as part of the Global Network University (GNU) Initiatives. Please see http://www.nyu.edu/research/provosts-global-research-initiatives.html for more information.
8.1 In order to ensure a coordinated effort and communication among offices, please provide information on planned, proposed, or approved:
a. faculty circulation in the GNU.
b. curricular initiatives that your department may be involved with in the GNU.
c. graduate student circulation in the GNU.
Be advised that all staffing and curricular changes must first be approved within FAS, including circulation to portal campuses in Abu Dhabi or Shanghai.
See http://www.nyu.edu/research/provosts-global-research-initiatives.html for more information.
8.2 Proposals for New Study Away Programs
Study away programs require more extensive planning and additional administrative responsibility on the part of the program or department.
The viability of any proposals for new study abroad summer programs will be evaluated by Arts and Science in the context of University plans to expand global sites abroad. This means that proposals must not only have their own academic and budgetary justification but must also make strategic sense within the larger context of what the University is already offering or is planning to offer. Please note that data about student circulation in the GNU can be found in ASIS (under Departmental Profile, “DEPT Students”).
If a faculty member in your department wishes to propose a new study away program, a program proposal must be submitted along with the APR submission. You can download the proposal form and the budget template required for new study away programs by going to: http://as.nyu.edu/object/pp.summer.whatwedo and clicking on “program proposal” and “budget projection.”
Proposals received after the APR deadline will not be considered. For more information on the process and to review the guidelines and forms for new program proposals, please visit: http://as.nyu.edu/object/pp.summer.whatwedo.html.
9.0 Summer and Winter Sessions
9.1 Planning and Budgets for Summer and Winter Offerings
Arts and Science summer offerings are comprised of individual courses on-campus, programs both on-campus and away, and the pre-college program (on-campus).
At present, winter courses are offered on campus in New York each January for a three week period.
Included in the request for the APR are proposed summer and winter term budgets for 2013. These budgets are based on the approved budget for 2012 and include salaries and OTPS expenses for both on-campus and study away offerings (if applicable) for summer. Winter budgets include only salary for instruction and are included in the departmental budgets. Please review them carefully and provide a justification for any proposed changes, including changes in plans for staffing of summer and winter 2013 courses.
For each course that you plan to offer, we ask that you review the enrollment history under the Enrollment Trend Report section of the Courses Module in ASIS. In particular, please reconsider offering courses that have consistently low enrollments. Any summer course with fewer than ten students is reviewed and the department will be notified about cancellations a few weeks before the start of the session.
Masters course offerings in summer or winter sessions are considered as part of the annual departmental planning. Costs for any Masters offerings to be held during the summer or winter must be included in the APR to be incorporated in department budgets.
9.2 Proposals for New On Campus Courses and Programs
If your department is planning to offer any summer, May intensive, summer on campus programs, or winter courses on campus, please provide the following information:
Proposed Course Number (this should be a distinct number that has never been used before)
Proposed Course Description
Justification for why you think this course will generate interest and minimum enrollments
Anticipated Costs involved in running the course (include instructor's salary and information on faculty staffing for the course)
10.0 Restricted Fund Accounts Status
As the University has moved to an all funds budgeting approach, it is important for each unit to appropriately budget and manage their restricted funds (20, 21, and 22) for the coming year. Accordingly, Fiscal Affairs will be sending each chair/director and unit administrator a listing of all restricted funds to (1) identify any accounts in deficit which require resolution, and (2) to provide a provisional budget for the 2012-2013 year. Fiscal analysts will be available to provide guidance and assistance in helping departments with these matters.
11.0 Additional Comments
In this section, comment on any additional issues that will have a significant impact on the department and that have not been addressed in the above framework.
APPENDIX FOR SECTION 6 (COMPLETING GRADUATE PROGRAM PROFILE DATA ENTRY)
The importance of financial aid planning has become increasingly critical in the context of both resource allocations and compliance with Graduate School financial aid policies and commitments. The deadlines have been established in order to accomplish several things: synchronize better with University payroll deadlines to use the GPP/ASIS to process fellowship awards and research assistantship appointments as early as possible, plan and establish financial aid portfolio budgets, confirm MacCracken stipend eligibility, manage the MacCracken reserve process, and review assignments and planned appointments in order to identify potential problems (e.g. incorrect stipend levels, out of date visa information).
Once the departmental review process is complete, awards and appointments for your graduate students will be uploaded into the University Financial Aid and Payroll systems by the graduate school and FAS Fiscal. No paper-based payroll forms (i.e. PAFs) are required (except where employment documentation is required - for example, new students or those whose visa has been extended). Payroll forms will still be needed to make or cancel Research Assistantship appointments or make changes after the deadline of [June 3rd.]
As we increase our reliance on the rosters for purposes of portfolio planning and processing awards and appointments of graduate students, the importance of accurate and complete rosters cannot be understated. This is necessary to ensure appropriate resource allocations as well as compliance with Graduate School financial aid policies. While we understand that changes do occur, it is important to keep both Fiscal Services and Graduate Enrollment Services (GES) informed of them in a timely manner to avoid student support issues.
Below is a brief outline of the process for graduate student appointments.
3/16/2012 - The Graduate Student Support Roster section of ASIS is opened. Departments and programs should update rosters to reflect support plans for the 2012-2013 academic year. This will be the basis for the development of financial aid budgets, so it is important that departments prepare this information carefully; taking into account projected new students, attrition from existing students, leaves, external funding, etc.
Departments are encouraged to complete support plans as early as possible. If completed earlier than May 21st the department should notify the Senior Director of Fiscal Affairs, Kristy Cusick to begin the review process.
5/21/2012 - The updating of rosters should be complete. The process of portfolio and other reviews (for example: confirming stipend rates are correct, all MacCracken fellows are supported, etc.) begins. Fiscal services staff will be in contact if there are any questions or issues with roster submissions. Once complete, portfolio budgets will be established and department planning and updates should stay within these parameters. Rosters should continue to be updated as plans for student support change.
6/4/2012 - Departments will be blocked from editing the 2012-13 Financial Aid pages in ASIS. Fiscal will download roster information for review. Any actions - additions, cancellations, changes - must be processed via payroll (in case of assistantships) or by contacting GES (in case of fellowships). Note: this date may be adjusted depending on changes in University deadlines which have not been finalized.
6/11/2012 - Once secondary reviews are complete for changes to rosters, fiscal will forward the downloaded spreadsheets to the departments for a final review, and then information for continuing students will be entered into the payroll system. After this date, paper-based payroll forms will need to be submitted only for new students and RA's who have not had previous employment at NYU. Also, any changes to assistantships subsequent to final review and approval of rosters will require a PAF to be submitted to FAS Payroll. Likewise, your GES representative should be contacted for changes to fellowships.
Please remember that new students, including continuing students who have never been appointed on payroll, will require a PAF and other required employment forms such as I-9s and W-2s.
7/30/2012 - Departments will again be allowed to edit 2012-13 Financial Aid pages in ASIS.
APPENDIX 6.1 Graduate Student Support Roster
To access the Graduate Student Roster section of the GPP, please use the path shown below:
1. Visit ASIS (https://faswebserver.fas.nyu.edu) and enter your login and password.
2. Refer to the Financial Aid Process section in the "GPP Module Help" document available in the ASIS index.
3. Click on "Graduate Program Profiles (GPP)", then "Financial Aid Summary"
4. Ensure you are viewing Academic Year 2012-13.
The summary lists all graduate students currently enrolled in your program, and new students entering in Fall 2012 once their intent to enroll has been recorded with the Registrar. All masters, doctoral, and special students appear in the event that a student's designation may have changed or is changing but is not yet reflected in university systems. Financial aid eligibility will be updated by early April.
5. The name of each student flagged as eligible for financial aid will appear in bold.
6. Click on each student name to access that student's Support Plan Detail page.
7. Select appropriate awards from the drop-down boxes. Descriptions of award types are available by clicking on "Type of Award" and reviewing the pop-up help screen.
8. Enter award amounts. Where available, semester stipend amounts appear in the the grey header line for reference.
9. Select appropriate funding chartfields by first choosing the "Funding Department" associated with the organizational code that is part of the chartfield. (e.g. 94900 = "GSAS - SSE")
10. To document rationale for irregular awards, you may enter brief comments regarding a student's financial aid situation in the box labeled "Notes Regarding This Student's Financial Aid for AY 2013."
These comments will be visible to both your Fiscal and Graduate Enrollment representatives. Only notes that are not obvious from the award itself are necessary. For example, if you have properly listed the FAME account in the source field of the award record, then it is not necessary to repeat that same information in the notes.
11. After you have entered a student's award plan, press the "Update Financial Aid" button before leaving the page. The Mac Balance, LOA/Hold Balance, and Reserve Balance are all visible at the top of the page, and will change as you click this button.
12. To enter an award for a different student, click the link "Return to Student Roster" which appears above the student's name, and click on a different student's name.
Additional Roster Tips
Each MacCracken student should receive a financial aid award and/or an entry for fellowship reserve or hold that totals to the semester amount for each semester they are eligible, if they have a balance remaining on their MacCracken award.
The full history of financial aid for each student is available by clicking on their name at the top of this screen. Additional notes, and a place to mark a student as withdrawn, are available if you scroll down. From the Financial Aid History page, there is a button pointing to the student's Financial Aid Package Terms, which can be modified to reflect the student's overall award if it has changed.
New students are added to the roster on a weekly basis as they are officially recorded in university systems as intending to enroll. This means that they have completed and returned the Candidate Reply Form, and this form has been processed by Graduate Enrollment Services and Registrar records have been updated. Until this has occurred, the student's name will not appear on the roster. If a student still does not appear after the form has been submitted and the roster updated (typically on Fridays), please contact Institutional Research staff using the Comment Form at the bottom of any ASIS page.
Departments should keep in mind that information in ASIS reflects the data in the Registrar's PeopleSoft System. The following steps should be taken in order to correct the particular element of a student's record:
APPENDIX 6.2 Graduate Student Placement
Please enter the following information for each position that doctoral graduates in your department have held. It is important to track not only current employment, but also to provide historical positions and placement since graduation. Information that was collected as part of the process in 2006 has already been updated into ASIS. Please update this information as frequently as possible.
Please note that the drop down list includes both masters and doctoral degree recipients. At this point, we are focusing on doctoral students, but departments are free to update information on masters students as well.
Please note that the Placement is NOT locked as part of the GPP review process.
6.2.1 From the main GPP menu, select the "Update and View Placements, Dissertation Titles, Advisors" screen.
6.2.2 To begin, please click on the name of a student from the drop down menu that you are updating.
6.2.3 Enter the Dissertation Title and Advisor(s) in the appropriate sections.
6.2.4 Enter the start and end dates for each placement.
6.2.5 Select the type of employment from the drop down box. The types of jobs include:
Tenure Track Faculty
Non-Tenure Track Faculty/Academic Staff
Post-Doctoral Appointment
Private Sector Research
Government/Foundation/Non-Profit Research
Self-Employed
Other
6.2.6 Select the type of industry from the drop down box. The types of industry include:
Research University
Four Year College
University with Masters Programs
Junior/Community College
Foundation/Non-Profit Organization
Federal Government
State/Local Government
Secondary School
Private University
6.2.7 Enter the title of the position.
6.2.8 Enter the name of the employer.
6.2.9 Select the location of the employer from the drop down box. The categories include:
New York City
Greater New York Metropolitan Area
New York State
Other US State
Other Country
6.2.10 In the note section, please include further details for type of employment (when other is selected), employer location (when other US state or country is selected), and any other relevant information to this placement record.
6.2.11 Select "Update" or "Add Placement" to the appropriate sections when completed.
The APR is required of all Arts & Science departments, programs, institutes, and centers each year unless an exception is made by the Dean's Office. A reminder will be sent to each academic unit by the Associate Dean for Fiscal & Administrative Affairs.
Preparation of the APR is the primary responsibility of the unit administrator, although certain sections (e.g. Faculty Staffing, Summer Study Away) will require direct consultation with the chair or director of the unit.
For your reference, a Departmental Profile will be available within the administrative section of ASIS beginning March 1st, with additional graduate program information available March 21st. Data are compiled from a variety of sources including ASIS, University systems, student surveys, and information provided by the department. Please contact the Senior Director of Institutional Research, David Vintinner, if you have any questions regarding the data.
The APR should be addressed to the Associate Dean for Fiscal & Administrative Affairs no later than April 20, 2012. One electronic copy should be sent as an email attachment, addressed to randall.say@nyu.edu. Please use the following naming convention: 13APR[unitname].doc.
The APR is both a progress report on the Strategic Planning Report (SPR) and an annual budget request. When preparing APR's, we ask that you adhere to the following principles:
- Prioritize requests.
- Anticipate needs for the entire year (including the two summer sessions).
- Update planning data frequently.
Additionally, we ask that you adhere to the following formatting guidelines:
- Title APR at the top left corner of the first page as such:
Annual Planning Report 2012-2013
- No cover sheets or plastic covers.
- Follow the numbering system provided in the guidelines.
- Use Times New Roman, 12 point, black only.
- Set 1" margins (left and right) and justify paragraphs (except for budget sheets).
The APR is reviewed by the Arts & Science Dean's Council, which includes the FAS Dean (Thomas Carew), the Acting CAS Dean (Gabrielle Starr), the GSAS Acting Dean (Mal Semple), the Dean of Humanities (Lauren Benton), the Dean of Science (Daniel Stein), the Dean of Social Science (Dalton Conley), the Associate Dean for Faculty Advancement and the Humanities (Jonathan Lipman), the Associate Dean for Fiscal and Administrative Affairs (Randall Say) and the Associate Dean for Administration (Lauren Holmes).
The timing of responses to the APR depends in part on when the FAS budget is finalized with the University Administration, but our intention is to have responses released by June 1, 2012.
1.0 Executive Summary
Provide a brief synopsis (no more than 500 words or one to two pages) highlighting the progress in the department or program in achieving its academic goals (e.g. snapshot of where the department stands, areas of strength, directions of where the department wants to go, etc.).
1.1 Rank and Priority of APR Requests
Provide a short bulleted summary of the department’s APR requests. Please rank your requests in priority order (with the first item being of the highest importance).
2.0 Accomplishments
In this section, we ask that you provide a list of major achievements by individual faculty, students, and the department as a whole. We are especially interested in achievements that reflect the goals articulated in your department's SPR. List only achievements earned in the twelve month period ending December 31, 2011. Please do not repeat information from prior years and please do not simply submit copies of faculty C.V.'s. The list need not be exhaustive; we are more interested in a list of especially notable achievements than a lengthy list.
2.1 National and international prizes, and other major honors bestowed on faculty.
2.2 Faculty publications that received awards or special notice, and especially notable grants.
2.3 Undergraduate majors who have been accepted into doctoral programs and the names of the institutions they are attending.
2.4 Honors, prizes, and fellowships secured by graduate and undergraduate students, including articles published by undergraduates in peer-reviewed journals or presentations at professional conferences.
3.0 Faculty Staffing
3.1 Provide a brief commentary on the results of any faculty searches conducted in the previous year indicating reasons for success or failure and any changes in recruitment strategies that may be suggested by the prior year experience.
3.2 Request faculty lines for the next recruitment cycle indicating rank and sub-field for each line. Provide a brief justification for each position as well as an explanation on how it will impact the development of the department or program. Please include any proposals for joint hires involving the Abu Dhabi and Shanghai portal campuses or the Global study away sites.
3.3 Provide information on anticipated faculty departures, retirements, leaves, and sabbaticals, and describe any significant impacts on the department's curriculum, administration, and research profile. Note that there is no automatic replacement of faculty who are on leave, retiring, or separating. In the case of faculty on leave, in particular, the first assumption will be that their academic duties (courses, advising, and committee service) will be absorbed.
4.0 Curriculum & Enrollment Planning
Course Enrollments
{Data entry in ASIS is required to complete section 4.1 and 4.2. Information should be kept up to date as enrollment projections and course offerings change throughout the spring and summer terms.}
4.1 Using the ASIS Courses Module, indicate the courses (new andexisting) you are proposing to offer next year. Project enrollment for each course being offered through Summer 2013. Please note that enrollment projections should not be the maximum listed in SIS but real projections based on past history and knowledge of student interest.
Please note that since summer 2009, graduate course offerings are included in departmental budgets rather than summer budgets. It is therefore important for departments to be sure to include requests for these costs in their APR submission as they will be built into 2012-2013 departmental budgets.
4.2 Using the Courses Module, please update the instructor field as you clarify teaching assignments. In order to evaluate your adjunct request, you should make provisional teaching assignments for the entire year (fall, spring, winter, May intensives and summer terms).
4.2.1 ASIS will automatically suggest minimum adjunct rates based on each adjunct's record and course schedule. Please review and confirm these amounts against the history shown in the Adjuncts Module. For questions about adjunct rate calculations, please contact Kristy Cusick, Senior Director of Fiscal Affairs.
4.3 Please include in the narrative of your APR submission a summary and justification for any changes related to adjunct funding requests. Following the review of your submission, Fiscal Affairs will be in contact with any questions or concerns. Once finalized, units will be provided with instructions and deadlines for submission of adjunct appointments.
5.0 Undergraduate Program Profile
5.1 How many students are engaged in undergraduate research (through honors, DURF grants, and independent study) with faculty in your department or elsewhere in the University?
5.2 How many and which faculty (provide names) are active in mentoring these undergraduate research projects?
5.3 How and by whom is undergraduate academic advising organized in the department?
5.4 Does the department have an undergraduate student group or club? Also is there an undergraduate publication or other activity (e.g., research conference, lecture series) that is run by undergraduates and supported by the department?
5.5 The College has asked all DUSes to describe the writing required in advanced undergraduate courses. Please append that information here.
5.6 Based on data (available in ASIS, under Departmental profile: “DEPT Students”), how will your department develop or refine study away opportunities (courses, internships, research) beyond Washington Square in light of NYU’s goal of increasing the number of students studying away in a given year?
6.0 Graduate Program Profile
{Data entry in ASIS is required to complete section 6.1 and 6.2. Please see the appendix with detailed instructions on the GPP data entry requirements. Information should be kept up to date as graduate student support plans change throughout the semester.}
6.1 Financial Aid
Update the Financial Aid screens of the Graduate Program Profile on ASIS following the instructions and guidelines provided in the Appendix.
6.2 Graduate Student Placement
Placement is an important measure of doctoral program success. Departments should be actively maintaining contacts with alumni and tracking their career progression. Section 6.2 of the appendix provides detailed instructions on updating this information in ASIS.
6.3 Doctoral Program Roadmaps
Now that FAR4 is in place, departments and programs are asked to review and provide an updated version of their doctoral program roadmaps.
7.0 Operating Budget
The Operating Budget section provides you the opportunity to request on-going increments or special allocations to enhance the administrative and capital infrastructure of the department.
7.1 Administrative Staffing Plan
Requests for new positions, upgrades, additional compensation and organizational restructuring (especially suggestions which may result in improved efficiency, delivery of services, and headcount or budgetary savings) may be submitted. Please contact the Associate Dean for Administration, Lauren Holmes, to discuss these ideas before including them in the APR. Please note that very limited resources may be available for such requests.
7.2 Operating Support
Departments should critically examine budgets for reprioritization or alternative funding sources before requesting any additional funds. A strong justification and statement concerning possible alternatives as well as the impact to the instructional or research missions of the department is required.
7.3 Technology
Please review the inventory of computers scheduled for replacement in 2012-2013 and confirm its accuracy.
It is strongly advised that you consult with the Director of Computing and Information Technology, Richard Israel, about hardware acquisitions before making a proposal.
- Describe proposals for upgrading teaching equipment or computers in the coming academic year. Provide an optimal time line. If you are proposing new equipment/computers, describe available resources and how the additions will be integrated with them. Please project on-going support personnel and maintenance costs.
7.4 Communications Planning
It is the policy of Arts & Science to limit the number and scope of print publications and instead to rely on the Web for outreach and communication materials. As part of this policy, we are re-examining all print materials and requesting that units provide justification for them. Failure to provide a justification in the APR will prevent these materials from being included in the 2012-2013 budget and will not be funded.
7.5 Space, Furniture, and Small Capital Improvements
This section is not intended for academic units to describe large scale renovations of facilities but for small capital improvements of $25K or less for painting, re-carpeting, furniture acquisition, etc. All small capital requests must be reviewed first by the Director of Space Planning and Management, Lisa Huntington to determine its appropriateness to be included in the limited budget available for small capital projects.
8.0 Global Network University (GNU Initiatives)
Please provide a brief commentary on the department or program's current participation or potential interest in working with the Office of Global Programs to develop proposals for new programs and related faculty and curricular synergies as part of the Global Network University (GNU) Initiatives. Please see http://www.nyu.edu/research/provosts-global-research-initiatives.html for more information.
8.1 In order to ensure a coordinated effort and communication among offices, please provide information on planned, proposed, or approved:
a. faculty circulation in the GNU.
b. curricular initiatives that your department may be involved with in the GNU.
c. graduate student circulation in the GNU.
Be advised that all staffing and curricular changes must first be approved within FAS, including circulation to portal campuses in Abu Dhabi or Shanghai.
See http://www.nyu.edu/research/provosts-global-research-initiatives.html for more information.
8.2 Proposals for New Study Away Programs
Study away programs require more extensive planning and additional administrative responsibility on the part of the program or department.
The viability of any proposals for new study abroad summer programs will be evaluated by Arts and Science in the context of University plans to expand global sites abroad. This means that proposals must not only have their own academic and budgetary justification but must also make strategic sense within the larger context of what the University is already offering or is planning to offer. Please note that data about student circulation in the GNU can be found in ASIS (under Departmental Profile, “DEPT Students”).
If a faculty member in your department wishes to propose a new study away program, a program proposal must be submitted along with the APR submission. You can download the proposal form and the budget template required for new study away programs by going to: http://as.nyu.edu/object/pp.summer.whatwedo and clicking on “program proposal” and “budget projection.”
Proposals received after the APR deadline will not be considered. For more information on the process and to review the guidelines and forms for new program proposals, please visit: http://as.nyu.edu/object/pp.summer.whatwedo.html.
9.0 Summer and Winter Sessions
9.1 Planning and Budgets for Summer and Winter Offerings
Arts and Science summer offerings are comprised of individual courses on-campus, programs both on-campus and away, and the pre-college program (on-campus).
At present, winter courses are offered on campus in New York each January for a three week period.
Included in the request for the APR are proposed summer and winter term budgets for 2013. These budgets are based on the approved budget for 2012 and include salaries and OTPS expenses for both on-campus and study away offerings (if applicable) for summer. Winter budgets include only salary for instruction and are included in the departmental budgets. Please review them carefully and provide a justification for any proposed changes, including changes in plans for staffing of summer and winter 2013 courses.
For each course that you plan to offer, we ask that you review the enrollment history under the Enrollment Trend Report section of the Courses Module in ASIS. In particular, please reconsider offering courses that have consistently low enrollments. Any summer course with fewer than ten students is reviewed and the department will be notified about cancellations a few weeks before the start of the session.
Masters course offerings in summer or winter sessions are considered as part of the annual departmental planning. Costs for any Masters offerings to be held during the summer or winter must be included in the APR to be incorporated in department budgets.
9.2 Proposals for New On Campus Courses and Programs
If your department is planning to offer any summer, May intensive, summer on campus programs, or winter courses on campus, please provide the following information:
Proposed Course Number (this should be a distinct number that has never been used before)
Proposed Course Description
Justification for why you think this course will generate interest and minimum enrollments
Anticipated Costs involved in running the course (include instructor's salary and information on faculty staffing for the course)
We encourage you to think about offering courses with a potential for high enrollment in the summer, May intensive and winter terms. Proposals for new courses on campus for 2012-2013 must be included in the APR in order to be considered.
10.0 Restricted Fund Accounts Status
As the University has moved to an all funds budgeting approach, it is important for each unit to appropriately budget and manage their restricted funds (20, 21, and 22) for the coming year. Accordingly, Fiscal Affairs will be sending each chair/director and unit administrator a listing of all restricted funds to (1) identify any accounts in deficit which require resolution, and (2) to provide a provisional budget for the 2012-2013 year. Fiscal analysts will be available to provide guidance and assistance in helping departments with these matters.
11.0 Additional Comments
In this section, comment on any additional issues that will have a significant impact on the department and that have not been addressed in the above framework.
APPENDIX FOR SECTION 6 (COMPLETING GRADUATE PROGRAM PROFILE DATA ENTRY)
The importance of financial aid planning has become increasingly critical in the context of both resource allocations and compliance with Graduate School financial aid policies and commitments. The deadlines have been established in order to accomplish several things: synchronize better with University payroll deadlines to use the GPP/ASIS to process fellowship awards and research assistantship appointments as early as possible, plan and establish financial aid portfolio budgets, confirm MacCracken stipend eligibility, manage the MacCracken reserve process, and review assignments and planned appointments in order to identify potential problems (e.g. incorrect stipend levels, out of date visa information).
Once the departmental review process is complete, awards and appointments for your graduate students will be uploaded into the University Financial Aid and Payroll systems by the graduate school and FAS Fiscal. No paper-based payroll forms (i.e. PAFs) are required (except where employment documentation is required - for example, new students or those whose visa has been extended). Payroll forms will still be needed to make or cancel Research Assistantship appointments or make changes after the deadline of [June 3rd.]
As we increase our reliance on the rosters for purposes of portfolio planning and processing awards and appointments of graduate students, the importance of accurate and complete rosters cannot be understated. This is necessary to ensure appropriate resource allocations as well as compliance with Graduate School financial aid policies. While we understand that changes do occur, it is important to keep both Fiscal Services and Graduate Enrollment Services (GES) informed of them in a timely manner to avoid student support issues.
Below is a brief outline of the process for graduate student appointments.
3/16/2012 - The Graduate Student Support Roster section of ASIS is opened. Departments and programs should update rosters to reflect support plans for the 2012-2013 academic year. This will be the basis for the development of financial aid budgets, so it is important that departments prepare this information carefully; taking into account projected new students, attrition from existing students, leaves, external funding, etc.
Departments are encouraged to complete support plans as early as possible. If completed earlier than May 21st the department should notify the Senior Director of Fiscal Affairs, Kristy Cusick to begin the review process.
5/21/2012 - The updating of rosters should be complete. The process of portfolio and other reviews (for example: confirming stipend rates are correct, all MacCracken fellows are supported, etc.) begins. Fiscal services staff will be in contact if there are any questions or issues with roster submissions. Once complete, portfolio budgets will be established and department planning and updates should stay within these parameters. Rosters should continue to be updated as plans for student support change.
6/4/2012 - Departments will be blocked from editing the 2012-13 Financial Aid pages in ASIS. Fiscal will download roster information for review. Any actions - additions, cancellations, changes - must be processed via payroll (in case of assistantships) or by contacting GES (in case of fellowships). Note: this date may be adjusted depending on changes in University deadlines which have not been finalized.
6/11/2012 - Once secondary reviews are complete for changes to rosters, fiscal will forward the downloaded spreadsheets to the departments for a final review, and then information for continuing students will be entered into the payroll system. After this date, paper-based payroll forms will need to be submitted only for new students and RA's who have not had previous employment at NYU. Also, any changes to assistantships subsequent to final review and approval of rosters will require a PAF to be submitted to FAS Payroll. Likewise, your GES representative should be contacted for changes to fellowships.
Please remember that new students, including continuing students who have never been appointed on payroll, will require a PAF and other required employment forms such as I-9s and W-2s.
7/30/2012 - Departments will again be allowed to edit 2012-13 Financial Aid pages in ASIS.
APPENDIX 6.1 Graduate Student Support Roster
To access the Graduate Student Roster section of the GPP, please use the path shown below:
1. Visit ASIS (https://faswebserver.fas.nyu.edu) and enter your login and password.
2. Refer to the Financial Aid Process section in the "GPP Module Help" document available in the ASIS index.
3. Click on "Graduate Program Profiles (GPP)", then "Financial Aid Summary"
4. Ensure you are viewing Academic Year 2012-13.
The summary lists all graduate students currently enrolled in your program, and new students entering in Fall 2012 once their intent to enroll has been recorded with the Registrar. All masters, doctoral, and special students appear in the event that a student's designation may have changed or is changing but is not yet reflected in university systems. Financial aid eligibility will be updated by early April.
5. The name of each student flagged as eligible for financial aid will appear in bold.
6. Click on each student name to access that student's Support Plan Detail page.
7. Select appropriate awards from the drop-down boxes. Descriptions of award types are available by clicking on "Type of Award" and reviewing the pop-up help screen.
8. Enter award amounts. Where available, semester stipend amounts appear in the the grey header line for reference.
9. Select appropriate funding chartfields by first choosing the "Funding Department" associated with the organizational code that is part of the chartfield. (e.g. 94900 = "GSAS - SSE")
10. To document rationale for irregular awards, you may enter brief comments regarding a student's financial aid situation in the box labeled "Notes Regarding This Student's Financial Aid for AY 2013."
These comments will be visible to both your Fiscal and Graduate Enrollment representatives. Only notes that are not obvious from the award itself are necessary. For example, if you have properly listed the FAME account in the source field of the award record, then it is not necessary to repeat that same information in the notes.
11. After you have entered a student's award plan, press the "Update Financial Aid" button before leaving the page. The Mac Balance, LOA/Hold Balance, and Reserve Balance are all visible at the top of the page, and will change as you click this button.
12. To enter an award for a different student, click the link "Return to Student Roster" which appears above the student's name, and click on a different student's name.
Additional Roster Tips
Each MacCracken student should receive a financial aid award and/or an entry for fellowship reserve or hold that totals to the semester amount for each semester they are eligible, if they have a balance remaining on their MacCracken award.
The full history of financial aid for each student is available by clicking on their name at the top of this screen. Additional notes, and a place to mark a student as withdrawn, are available if you scroll down. From the Financial Aid History page, there is a button pointing to the student's Financial Aid Package Terms, which can be modified to reflect the student's overall award if it has changed.
New students are added to the roster on a weekly basis as they are officially recorded in university systems as intending to enroll. This means that they have completed and returned the Candidate Reply Form, and this form has been processed by Graduate Enrollment Services and Registrar records have been updated. Until this has occurred, the student's name will not appear on the roster. If a student still does not appear after the form has been submitted and the roster updated (typically on Fridays), please contact Institutional Research staff using the Comment Form at the bottom of any ASIS page.
Departments should keep in mind that information in ASIS reflects the data in the Registrar's PeopleSoft System. The following steps should be taken in order to correct the particular element of a student's record:
- In cases where Degree information appears to be incorrect, you should contact the Registrar's Office to update this information.
- In cases where Major Code information appears to be incorrect or where a student has changed departments, please contact your GES representative who will advise you on the procedures necessary to correct the information.
- Yrs. Enrolled is calculated from the initial term as recorded in SIS. In general, it reflects the number of years enrolled in the current degree program. In some cases the information may be incorrect because of prior enrollment in another degree at NYU. In such cases, the number cannot be corrected.
- The rosters reflect all students who have enrolled in your department since Fall 1995 and who may possibly enroll in the next year. Therefore, the rosters may include students who have graduated or no longer maintain matriculation. If you are aware of students who have no intention to continue to pursue a degree in your program, please report their withdrawal on the lower portion of the students' support plan page.
APPENDIX 6.2 Graduate Student Placement
Please enter the following information for each position that doctoral graduates in your department have held. It is important to track not only current employment, but also to provide historical positions and placement since graduation. Information that was collected as part of the process in 2006 has already been updated into ASIS. Please update this information as frequently as possible.
Please note that the drop down list includes both masters and doctoral degree recipients. At this point, we are focusing on doctoral students, but departments are free to update information on masters students as well.
Please note that the Placement is NOT locked as part of the GPP review process.
6.2.1 From the main GPP menu, select the "Update and View Placements, Dissertation Titles, Advisors" screen.
6.2.2 To begin, please click on the name of a student from the drop down menu that you are updating.
6.2.3 Enter the Dissertation Title and Advisor(s) in the appropriate sections.
6.2.4 Enter the start and end dates for each placement.
6.2.5 Select the type of employment from the drop down box. The types of jobs include:
Tenure Track Faculty
Non-Tenure Track Faculty/Academic Staff
Post-Doctoral Appointment
Private Sector Research
Government/Foundation/Non-Profit Research
Self-Employed
Other
6.2.6 Select the type of industry from the drop down box. The types of industry include:
Research University
Four Year College
University with Masters Programs
Junior/Community College
Foundation/Non-Profit Organization
Federal Government
State/Local Government
Secondary School
Private University
6.2.7 Enter the title of the position.
6.2.8 Enter the name of the employer.
6.2.9 Select the location of the employer from the drop down box. The categories include:
New York City
Greater New York Metropolitan Area
New York State
Other US State
Other Country
6.2.10 In the note section, please include further details for type of employment (when other is selected), employer location (when other US state or country is selected), and any other relevant information to this placement record.
6.2.11 Select "Update" or "Add Placement" to the appropriate sections when completed.
Updated on 03/22/2012