Cooperative Institute for Research in the Atmosphere (CIRA) Handbook
Last Update: September 22, 2009
Note: This is a dynamic “working” document and additions and corrections are available when issued by CIRA Management.
Updates since last revision: a. Staffing Plan Procedures- see page 31 b. Satellite Earthstation Naming Conventions removed. c. Page 23- note about presentations in the CIRA Director’s Conference Room d. Page 11- note that CIRA Fellows may serve as supervisors in special cases
I. PREFACE: The purpose of this manual is: (a) to aid CIRA and its staff to efficiently complete their research objectives, and (b) to set forth policies and procedures applicable to The Cooperative Institute for Research in the Atmosphere (CIRA) at Colorado State University. It is not the intent of this manual to restate policies and procedures established by the University, the College of Engineering or available elsewhere (such as the Academic Faculty and Administrative Professional Staff Manual, the State Classified Personnel Handbook, and the Human Resource Services Manual). The organization of this manual is straightforward. After a brief welcome to CIRA identifying its Mission, History, Major Research Initiatives and Organization, the manual focuses on four policy and procedures sections. The first section ―New Employee Information‖ describes CIRA’s working environment and the general policy and procedures that are followed. Next, the manual focuses on developing a ―Research Orientation‖ within CIRA including the technical editing of proposal and reports. The third section addresses the ―Administrative Orientation‖ of the Director’s Office and overall CIRA budgeting and costing. Lastly, a website reference is made to ―Infrastructure Matters,‖ the key to obtaining and using your CIRA computer system whether in a research or administrative mode. Please note that all policies and procedures are developed and distributed by the CIRA Manager with review and approval by the Director of CIRA. They are also periodically reviewed and approved by CIRA’s Advisory Board.
Mary McInnis-Efaw Assistant Director and Manager August 2008
II. WELCOME TO CIRA A. The overarching Vision for CIRA is: To conduct interdisciplinary research in the atmospheric sciences by entraining skills beyond the meteorological disciplines, exploiting advances in engineering and computer science, facilitating transitional activity between pure and applied research, leveraging both national and international resources and partnerships, and assisting NOAA, Colorado State University, the State of Colorado, and the Nation through the application of our research to areas of societal benefit. B. Expanding on this Vision, our Mission is: To serve as a nexus for multi-disciplinary cooperation among CI and NOAA research scientists, University faculty, staff and students in the context of NOAAspecified research theme areas in satellite applications for weather/climate forecasting. Important bridging elements of the CI include the communication of research findings to the international scientific community, transition of applications and capabilities to NOAA operational users, education and training programs for operational user proficiency, outreach programs to K-12 education and the general public for environmental literacy, and understanding and quantifying the societal impacts of NOAA research. C. History The Cooperative Institute for Research in the Atmosphere (CIRA), originally established under the Graduate School, was formed in 1980 by a Memorandum of Understanding between Colorado State University (CSU) and the National Oceanic and Atmospheric Administration (NOAA). In February 1994, the Institute changed affiliation from the Graduate School to the College of Engineering as part of a CSU reorganization plan. D. Major Research Initiatives CIRA’s research support comes from a variety of sponsors, but primarily the National Oceanic and Atmospheric Administration (NOAA), the Department of Defense (DOD), the National Aeronautics and Space Administration (NASA) and the National Science Foundation (NSF). CIRA’s research effort is focused on the following 5 themes and 2 cross-cutting areas: 1. 2. 3. 4. 5. Satellite Algorithm Development, Training and Education Regional to Global Scale Modeling Systems Data Assimilation Climate-Weather Processes Data Distribution
1. Assessing the Value of NOAA Research via Societal/Economic Impact Studies 2. Promoting Education and Outreach on Behalf of NOAA and the University 4
E. Organizational Chart
III. NEW EMPLOYEE INFORMATION Human Resource Services All CIRA Human Resource services are the responsibility of CIRA’s HRS Manager, Linn Barrett. 1. Screening and Selection of New Employees CIRA adheres to all CSU and state new-hire screening and selection processes and regulations. When hiring Administrative Professional employees, CIRA complies with Affirmative Action and follows regulations established by the CSU Office of Equal Opportunity and Diversity http://oeod.colostate.edu/search_procedures.aspx. When hiring State Classified employees, CIRA follows the State of Colorado screening and selection process http://www.colorado.gov/dpa/dhr/select/index.htm. When hiring Postdoctoral Fellows and Hourly employees, CIRA follows all processes and regulations stipulated in the CSU Human Resource Services Manual http://www.hrs.colostate.edu/hrsman/manual.html. All new CIRA Administrative Professional, State Classified, and Postdoctoral positions must be approved by the Director via the CIRA New Position Request Form before any screening and selection activities may begin. All screening and selection activities must route through the HRS Manager. All Hourly employee appointments must be approved by the Assistant Director (for hourly rates <$20) or the Director (for hourly rates >$20) via the CIRA Hourly Employee Request Form before any screening and selection activities may begin. All screening and selection activities must route through the HRS Manager. When new positions become available they will be posted to the CIRA website at the following location as well as in various advertising venues: http://www.cira.colostate.edu/personnel/employment_opportunities. Additionally, interested parties may submit their email address at the above referenced website to register for automatic alerts as new opportunities at CIRA are posted. 2. Appointments All CIRA appointments and re-appointments are approved by the Director and processed by the HRS Manager. a. Administrative Professionals CIRA hires all Administrative Professional employees on a 12-month appointment (assignment category ―special‖), which is renewed via reappointment at the start of each CSU fiscal year (July 1). All re-appointments are contingent upon sufficient research funding and in collaboration with the Director. 6
CIRA conducts re-appointments in accord with the timeline and guidelines published by the CSU College of Engineering. CIRA further stipulates that supervisors of CIRA Administrative Professional employees complete a CIRA Reappointment Form, rate the employee’s performance and route the form to the Director for review. Each year in approximately February, the HRS Manager initiates the reappointment of CIRA Administrative Professional employees via email prompt to supervisors. On or before July 1, all Administrative Professional employees receive a letter from the Director in which the employee’s duration of re-appointment, percentage of Full-Time Equivalence, and salary are stated, and to which a copy of the employee’s CIRA Reappointment Form (completed by the employee’s supervisor) is attached. All re-appointments must be certified via employee signature on a CSU Academic Faculty/Administrative Professional Certification Form, and failure to sign a certification form will result in automatic assignment termination (on existing appointment end date) and delay in receipt of future pay check(s). Should an employee be remotely located or out of office at the time of reappointment, the HRS Manager will fax or e-mail the certification form to the employee. The employee can then sign the document and return via USPS land mail. Faxed or scanned versions of the signed form will not be accepted since original signature is required. Detailed information about the rights, responsibilities and benefits of Administrative Professional employees may be found in the CSU Academic Faculty and Administrative Professional Manual: http://www.facultycouncil.colostate.edu/files/manual/table.html and the CSU Benefits Summary Plan Booklet: http://www.hrs.colostate.edu/benefits/afap/Current/CurrentElig.htm. The payroll schedule for Administrative Professional employees may be found at this link: http://www.hrs.colostate.edu/payroll/Salary/PaySchedSlry.pdf b. State Classified Employees As per state and university policy, State Classified assignments do not require annual re-appointment, however all new State Classified employees are required by the State of Colorado to successfully complete a 12-month probationary period. All State Classified employees are required to complete monthly time sheets, attain supervisors’ signatures, and submit to the HRS Manager. Each State Classified employee is individually responsible for updating his/her timesheets (HRS Manager does not distribute updated timesheets each month). Fully-executed timesheets are filed centrally. Detailed information about the rights, responsibilities and benefits of State Classified employees may be found in the CSU State Classified Handbook http://www.hrs.colostate.edu/relations/handbook.html and the State of Colorado Employee Benefits Home Page http://www.colorado.gov/dpa/dhr/benefits/index.htm. The payroll schedule for
State Classified employees may be found at this link: http://www.hrs.colostate.edu/payroll/Salary/PaySchedSlry.pdf c. Postdoctoral Fellows CIRA hires all Postdoctoral Fellows on a 12-month appointment (assignment category ―temporary‖), which is renewed annually and coincides with the date of hire. All re-appointments are contingent upon sufficient research funding, positive recommendation by the Technical Advisor, and in collaboration with the Director. The HRS Manager initiates the reappointment of Postdoctoral Fellows via e-mail prompt to the Technical Advisor and supervisor. Postdoctoral Fellowships are deemed by the University as temporary assignments, intended to last ideally no more than four years. When fellowships adjourn, and contingent on available research funding, CIRA may provide outstanding Postdoctoral Fellows an opportunity to enter a permanent CIRA position within the Research Scientist/Scholar career track found at this link: (http://www.hrs.colostate.edu/employment/research.html). Entry into the Research Scientist/Scholar career track is not an automatic transition, nor is it a promotion; it is a new CIRA position that is reserved for cases in which Postdoctoral Fellows have demonstrated exceptional performance during their fellowship. CIRA Fellows within 6 months of the end of their fellowship who desire to be considered for a permanent position at CIRA as a Research Scientist/Scholar must submit the following application materials to the HRS Manager: 1. Letter of Request for Promotion to permanent position 2. Letter of Support from Technical Advisor and/or Supervisor 3. Curriculum Vitae 4. List of Publications including Invited Presentations The Director reviews all application materials, performance evaluations, and past contributions to the Annual Report and awards or rejects promotion requests within 45 days. Postdoctoral Fellows are notified of his decision via e-mail. Detailed information about the rights, responsibilities and benefits of Postdoctoral Fellows may be found in the CSU Academic Faculty and Administrative Professional Manual http://www.facultycouncil.colostate.edu/files/manual/table.html and the CSU Benefits Summary Plan Booklet http://www.hrs.colostate.edu/benefits/afap/Current/CurrentElig.htm. Sections of the manuals that do not apply to postdoctoral fellows (ie. leave policies) specifically state that Postdoctoral Fellows are not eligible. The payroll schedule for Postdoctoral Fellows may be found at this link: http://www.hrs.colostate.edu/payroll/Salary/PaySchedSlry.pdf
d. Hourly Employees CIRA hires Student and Non-Student Hourly employees on an as-needed basis contingent upon the availability of funds. Hourly Employees are not subject to annual reappointment. The payroll schedule for hourly employees may be viewed at this link: http://www.hrs.colostate.edu/payroll/Hourly/PaySchedHrly.pdf 1. Student Hourly Employees CSU defines the term ―Student Hourly‖ as an undergraduate or graduate student of CSU in good standing, accepted for enrollment in a regular, certificate/degree-seeking program, and carrying at least 1 Resident Instruction (RI) credit per term during the academic year (RI = in a classroom and seated at a desk; not on-line or distance learning). Individuals enrolled in the CSU GUEST program do not qualify for Student Hourly employment. During the summer, students are not required to register for credits if they were registered the prior spring and are registered for the coming fall, or are admitted for fall. Per state regulation, any time a student hourly employee takes less than 6 RI credits during the academic year, and/or takes less than 3 RI credits during the summer semester, SERP (7.5% of gross earnings) and Medicare (1.45% of gross earnings) are withheld from each paycheck during that semester. Students who withdraw from school and/or fail to register for at least 1 Resident Instruction (RI) credit per term during the academic year, are no longer eligible to work as a Student Hourly employee. They are, however, eligible to work as a Non-Student Hourly employee, subject to the CSU terms and conditions of that employee category. Likewise, students who graduate and do not immediately enroll in a regular, certificate/degreeseeking program (i.e, do not go to CSU Graduate School), are no longer eligible to work as a Student Hourly employee, but may work as a NonStudent Hourly employee. 2. Non-Student Hourly Employees CSU defines the term ―Non-Student Hourly‖ as a student of an institution of learning that is not CSU, such as Fort Collins High School, Front Range Community College, etc. This includes individuals enrolled in the CSU GUEST program. CIRA adheres to CSU policy in that non-student hourly employment is restricted to those individuals employed to meet unexpected work loads or other short-term situation, and that non-student hourly employment is limited to six months in any twelve month period. This is a per-employee limit and all time worked for CSU, whether for one department (CIRA) or several, is counted toward the allowance. No person under the age of FOURTEEN is permitted employment at CSU. CIRA adheres to federal 9
child labor laws and the employment standards for 14- and 15-year olds at this link: http://www.hrs.colostate.edu/employment/childlabor.html e. Associates CSU defines an associate as an individual who is affiliated with the university such that access to CSU’s network and computing resources is required. Associates cannot be paid through the CSU Oracle HRS computer system. To establish network and computing resources, the HRS Manager registers Associates in the CSU Oracle HRS computer system and then Associates register for an eID the day after the assignment is fully approved. Associate appointments are renewed via re-appointment at the start of each CSU fiscal year (July 1), and the HRS Manager initiates reappointment via e-mail prompt to the associate. All re-appointments must be certified via associate signature on a CSU Associate Certification Form, and failure to sign a certification form results in automatic assignment termination (on existing appointment end date) and suspension of associate privileges. Should an associate be remotely located or out of office at the time of reappointment, the HRS Manager will fax or e-mail the certification form to the associate. The associate will sign the document and return via USPS land mail. Faxed or scanned versions of the signed form will not be accepted (original signature required). f. Affiliates of CIRA CSU defines an affiliate as an individual employed outside of CSU who has a strong and continuing relationship with CSU and whose training, experience, and activities contribute actively to the program of the department. The CIRA definition of an affiliate differs slightly from the CSU definition in that CIRA Affiliates sometimes include individuals employed within CSU. CIRA recognizes several types of affiliates as follows: g. Advisory Board Members The CIRA Advisory Board consists of the Director of ESRL, the Director of NOAA/ NESDIS/STAR, the CSU Vice President for Research (VPR, chair of the board), the Dean of the CSU College of Engineering, the Head of the CSU Department of Atmospheric Science, the Director of CIRA (a non-voting member), and a scientist, well qualified to evaluate the program of CIRA, judge its performance, and suggest changes, to serve as an ad hoc advisor. The board meets at least once per year and is responsible for making recommending directorship of CIRA to the CSU VPR, reviewing and approving policies, research themes, and priorities of CIRA, preparing the biennial evaluation of CIRA programs and activities, and reviewing the CIRA budget. h. Fellows CIRA Fellows are scientists of established national and international reputation who are either members of the CSU teaching/research faculty 10
or are staff members of NOAA. Fellows normally hold office for three years and are selected and appointed by the Director (with advice of the CIRA Advisory Council). Their charge is to serve as members of the CIRA Advisory Council and they are responsible for maintaining cooperation between sponsoring institutions, creating and maintaining high scientific standards in CIRA, considering Postdoctoral Fellows for appointment, and adopting and/or modifying appropriate by-laws for the operation of CIRA. In essence, the Fellows are a distinguished group of scientists whose expertise and experience represent a key underpinning to the success of CIRA. *Note that CIRA Fellows (who are not on CIRA payroll) may serve as supervisors to CIRA employees in special situations.
i. Advisory Council Members Members of the Advisory Council consist of CIRA Fellows appointed as follows: A member of CSU staff appointed by the head of CSU Department of Atmospheric Science A member of NOAA staff appointed by the Director of ESRL A member of NOAA staff appointed by the director of NOAA/ NESDIS/STAR A member of NOAA staff appointed by the Fellows of NOAA Staff A member of the CSU staff appointed by the fellows of CSU Staff The director of CIRA. j. Emeriti Academic faculty members who have completed ten years or more of regular fulltime or regular part-time service as faculty of CSU are eligible at the time of their retirement for an emeritus/emerita title equivalent to their highest professorial rank. At CIRA, a similar designation may be assigned by the Director to an individual who retires from the Institute. Such a designation is a means to acknowledge significant contributions to the overall CIRA mission, and to permit them ongoing privileges. Among these would be use of CIRA facilities for continued research collaboration as needed, participation in any future CIRA colloquia/seminars, etc. 3. Core Business Hours CIRA employees are CSU professionals. As such, they do not qualify for overtime and are expected to work, at a minimum, 40 hours a week if they are employed fulltime. CIRA follows the holiday schedule set by CSU. All CIRA employees are expected to be at the worksite during core business hours, set by the Director as 9:00 a.m. to 3:00 p.m. of each business day. These hours are established so meeting attendance and collaborative activities can be conducted effectively. CIRA employees are expected to follow the spirit of this policy in accomplishing their own work assignments. Exceptions to these core business hours may be approved by the 11
Director upon justification in writing by the individual's supervisor. A general exception to these hours is provided to CIRA employees who work directly with National Park Service employees. 4. Lunch Breaks CIRA employees are expected to take a lunch break (one half-hour minimum) away from their normal work space. Leaving early at the end of the day in lieu of taking a lunch break is not permitted. 5. Office Closures CIRA adheres to the CSU policies and procedures outlined in the Emergency and Severe Weather Notification Policies and Procedures Manual. Snow days and other publicly announced exceptions to normal business hours are determined by local facility managers. In Fort Collins, exceptions to normal business hours are determined by either the Director, Acting Director, or Deputy Director (contingent upon the circumstances) in concert with CSU managers and coordination with the Department of Atmospheric Science. In Boulder, exceptions to normal business hours are determined by the Associate Director in concert with the local NOAA laboratory managers. CIRA employees located elsewhere will follow the direction of federal managers since the issue may concern workplace safety. Office closures will be announced via e-mail to CIRA employees located in Fort Collins, and employees in Boulder will receive similar notification from the Associate Director. 6. Leave of Absence/ Vacation CSU regulation forbids unauthorized absence of employees from the campus. It is the responsibility of the Director to have at their offices at all times, information on the whereabouts of employees (such as dates of leave of absence/vacation, dates, location and contact information during official CSU/CIRA travel) so that they may be reached in the event of administrative necessity or family emergency. This responsibility is delegated by the CIRA Director to the HRS Manager. Furthermore, each employee is responsible for notifying his or her supervisor of any absence. At CSU, only Faculty, Administrative Professional, and State Classified employees are eligible for leave of absence. All leave of absence from CIRA must be requested and approved. Even unplanned sick leave must be properly documented after-thefact. All Central Services employees must post their approved leave to the Staff Calendar located in the online Public Folders. Leave may not be posted to the Staff Calendar before an employee’s supervisor has approved the absence. All leave of absence records are maintained by the HRS Manager. *In the special case of Postdoctoral Fellows who do not have the opportunity to earn leave, arrangements for time away from the workplace should be made in cooperation with the Federal technical advisor with the caveat that the CIRA supervisor be made aware. a. Annual Leave and Sick Leave 12
Annual and sick leave for Administrative Professional and State Classified employees is accrued as defined in the CSU Academic Faculty and Administrative Professional Manual and CSU State Classified Handbook (respectively). Unless special circumstances exist, annual leave must be planned and requested as far in advance as possible. Those CIRA employees working on collaborative projects with local federal managers (technical managers of the federal project) are expected to inform federal managers of the intended leave. Employees who request annual and/or sick leave must complete and submit to their supervisor, a Request for Leave of Absence Form (―leave card‖). At CIRA in Fort Collins, Request for Leave of Absence Forms are located atop the mailboxes, at the reception desk by the front door of the CIRA Building, and in Marilyn Watson’s office. At CIRA in Boulder, Request for Leave of Absence Forms may be obtained from the departmental secretary. Employees of the Boulder branch who are located off-site use an electronic version of the Request for Leave of Absence Form. Upon completion of the Request for Leave of Absence Form, employees certify that they have checked their current leave balances and accrual rates and sufficient balances exist to cover the requested leave. Hence employees who request leave are understood to have personally verified their leave balances. (Recall this tally may be reviewed each month on the CSU pay stub- which is one month behind- see below). Supervisors must approve or reject leave requests based upon current work demands and document such action on the Request for Leave of Absence Form. Data on all approved leave cards are entered into the into the CSU Oracle HRS computer system. Annual leave balances are updated each pay period with the previous month’s data and are reported on CSU pay stubs (with the exception of employees with accrued annual leave who change employment status to less than half-time (49% FTE or less) without a break in service; their annual leave balances do not appear on pay stubs). It is CIRA policy to encourage employees to use annual leave regularly so that a good balance may be attained between work time and time away from the office. CSU regulations mandate that Administrative Professional employees may accrue a maximum of 384 hours (48 days) of annual leave and that hours accumulated in excess of that limit be forfeited on July 1 of each year. b. Tracking Holiday Leave for Part-Time Employees Per CSU policy, employees earn leave in proportion to the percentage of FullTime Equivalency (FTE) of their appointment. For example, an employee who works 60% FTE earns annual leave at the rate of 12.8 hrs/month versus the 16 hours/month earned by an employee who works 100% FTE. Employees at 49% FTE or less earn no leave.
In respect to holidays, CSU policy states that for employees who work less than full-time as a short work-week (ie. in Mon, Tue, Wed, out Thur & Fri) and whose normal ―day-out-of-office‖ falls on a CSU holiday, holidays ―float‖ into their normal work schedule. (This does not apply to employees who work less than 100% FTE as a regular, 5-day work-week.) As in the case of annual leave, parttime employees earn a percentage of holiday time in proportion to the percentage of their appointment. For example, an employee who works 75% FTE earns 6 hours of time off for a holiday versus the 8 hours earned by an employee who works 100% FTE. CIRA policy requires that the supervisor and part-time employee working a short work-week create their own agreement as to how they track and use holiday leave time. 7. Compensatory Time CIRA policy corresponds to CSU policy in that comp time is not permitted for Administrative Professionals, Postdoctoral Fellows, Non-Student Hourly employees, or Student Hourly employees, and acceptance of compensatory time off in lieu of cash payment for overtime is a condition of employment for CSU State Classified employees. CIRA policy agrees with CSU policy in that that State Classified employees may accumulate up to 40 hours of overtime (60 hours of compensatory time) at any point, but further stipulates that State Classified employees must attain their supervisor’s approval via completed State Classified Comp Time Request Form prior to working overtime. 8. Dress Code CIRA is a professional workplace with a ―business-casual‖ standard. Employees are expected to wear clean and well-maintained attire appropriate to the type of work they do. Supervisors should take employees’ varied work assignments and working conditions into consideration and discuss appropriate dress with individual employees as needed. Unacceptable attire includes, but is not limited to the following: ripped clothing any garments shorter than mid-thigh bare midriffs extremely low-rise pants t-shirts with explicit or offensive messages 9. Personnel Forms The HRS Manager is responsible for the control and availability of all forms relating to Human Resource issues and activities. 10. Personnel Records Pertinent personnel information for each employee (i.e. appointment documents, position descriptions, resume, miscellaneous notes and correspondence, performance evaluations) is collected, maintained, and stored in a personnel binder by the HRS Manager. Only CIRA Management has the authority to review an individual’s personnel binder. Requests for specific employee information must be directed to the Assistant Director who evaluates each request on a case-by-case basis. 14
Personnel binders under lengthy review by CIRA Management must be returned to the office of the HRS Manager at the close of each business day. 11. Hourly Payroll Hourly Payroll is processed by the HRS Manager. All hourly employees must submit time sheets by the close of business on the Friday prior to the Tuesday payroll deadline. Timesheets require both employee and supervisor signatures. 12. Conflict of Interest Disclosure The State of Colorado, the Board of Governors, Colorado State University, and the Federal Government (where Federal contracts and grants are involved) all have policies that require disclosure in respect to employees’ associations with businesses and organizations external to the CSU (potential conflicts of interest). CIRA requires all Administrative Professional employees and Postdoctoral Fellows to complete an Annual Role and Responsibility Survey upon initial employment and by May 15 of each subsequent year. In approximately February of each year, the HRS Manager prompts the Annual Role and Responsibility Survey via e-mail and concurrently provides the required form. Should an employee’s commitments change throughout the year, it is that employee’s responsibility to request an Annual Role and Responsibility Survey and to record changes in commitment on the form. Annual Role and Responsibility Survey forms are available from the HRS Manager. 13. Performance Evaluations a. Annual Evaluations 1. Administrative Professional Employees The annual performance evaluation of CIRA Administrative Professional employees is conducted in accord with the timeline and guidelines published by the CSU College of Engineering. CIRA further stipulates that Administrative Professional employees complete self-evaluation forms, route to supervisors who add comments to the form, and route to the Director for review and signature. Each year in approximately February, the HRS Manager initiates the evaluation of CIRA Administrative Professional employees via e-mail prompts to employees. 2. State Classified Employees The annual performance evaluation of CIRA State Classified employees is mandated by the State of Colorado via the Performance Management Program (PMP). CIRA adheres to the regulations and follows the protocol of the PMP. Information relevant to the annual evaluation of State Classified employees may be found at this link: http://www.hrs.colostate.edu/relations/PPP/UserGuide07-08.pdf. Each year in approximately March, the HRS Manager initiates the evaluation of CIRA State Classified employees via e-mail prompts to employees. 3. Postdoctoral Fellows 15
The annual performance evaluation of CIRA Postdoctoral Fellows is similar to that of Administrative Professional employees in terms of procedure and timeline. Postdoctoral Fellows complete self-evaluation forms, route to Technical Advisors who add comments to the form, route to supervisors who add comments to the form, and route to the Director for review and signature. Each year in approximately February, the HRS Manager initiates the evaluation of Postdoctoral Fellows via e-mail prompts to employees. 4. Hourly Employees It is CIRA policy to evaluate Student Hourly employees and Non-Student Hourly employees annually every June via hardcopy Hourly Evaluation Report form, which may be attained from the HRS Manager. Each year in June, the HRS Manager initiates the evaluation of hourly personnel via e-mail prompts to supervisors. b. Mid-Year Evaluations All new employees at CIRA receive a mid-year review by their supervisor halfway through their first year of employment. Beyond the first year, mid-year reviews are conducted only on an as-needed basis. For existing employees at CIRA who transition into new positions (ie. transition from Postdoctoral Fellow to Research Scientist), mid-year evaluation is conducted or evaded at the discretion of the supervisor. The HRS Manager initiates mid-year reviews via e-mail prompts to supervisors. 14. Salary Adjustments a. Administrative Professional Employees CIRA considers Administrative Professional employees for salary adjustment twice each year: once during the annual evaluation process to coincide with the University Salary Raise Exercise (SALX), and once mid-year. Candidates are considered based upon one or any combination of the following reasons: 1. Promotion 2. Equity 3. Added duties/responsibilities 4. Exceptional performance 5. Critical retention Supervisors may request details in respect to the submission of candidates for consideration for salary increases from the HRS Manager and then recommend candidates to the Assistant Director. The means by which a supervisor may request consideration of their supervisee is by the annual review process (for new FY start) or via communication with the Assistant Director for mid-year consideration. b. State Classified Employees Salary adjustments (―Achievement Pay‖) for State Classified employees are strictly regulated by the State of Colorado, and CIRA adheres to those regulations and 16
follows protocol mandated by CSU. Information relevant to salary adjustments for State Classified employees may be found at this link: http://www.hrs.colostate.edu/relations/PPP/UserGuide07-08.pdf. c. Postdoctoral Fellows Except in cases of unique circumstance, CIRA considers salary adjustments for Postdoctoral Fellows annually at the time of reappointment, which coincides with date of hire. (The HRS Manager initiates the reappointment of CIRA Postdoctoral Fellows via e-mail prompts to Technical Advisors and supervisors.) Technical Advisors recommend salary adjustments (and reappointments) to the Deputy Director (who is also the supervisor of most CIRA Postdoctoral Fellows) via email. Salary adjustment recommendations should be stated in this format: ―I recommend that Dr. Doe’s annual salary be raised x% from $x,xxx to $x,xxx effective upon reappointment.‖ d. Hourly Employees Except in cases of unique circumstance, CIRA considers salary adjustments for Student Hourly employees and Non-Student Hourly employees annually every June. (The HRS Manager initiates the evaluation of hourly personnel via e-mail prompts to supervisors.) Supervisors recommend salary adjustments in the ―General Comments‖ section of the Hourly Evaluation Report form at the time of the employee’s annual evaluation. Recommendations should be stated in this format: ―I recommend that John’s hourly wage be raised x% from $x.xxx to $x.xx effective (state date).‖ Supervisors are encouraged to consult with the HRS Manager in respect to matching effective dates of salary adjustments with pay periods. 15. Visas and US Permanent Residency Petitions In regard to processing employment authorization documents for foreign national employees, CIRA works with the CSU Office of International Programs www.international.colostate.edu, and complies with all guidelines and procedures mandated by that office. Contingent upon the type of petition, CIRA provides limited financial support and administrative assistance. This breaks down as follows: a. H-1B Visa, including portability and extension The HRS Manager assists employees with assembly of the H1B visa petition packet, and CIRA pays the $320 USCIS processing fee and $400 CSU ISSS administrative fee. Employees are required to pay the $300 USCIS I-539 application processing fee for dependents, and any additional costs incurred during petition (couriers, credential evaluations, etc.). As required by law, CIRA pays the $500 anti-fraud fee for 1st-time H1B petitions. In situations in which ―rush‖ visa processing is desirable, CIRA pays the $1,000 USCIS premium processing fee only upon Director’s approval of a memo from the employee’s supervisor in which the business need for premium processing is clearly defined and justified. 17
b. J-1 Visa, including extension The HRS Manager assists employees with completion of USCIS DS2019 form, and employees pay either the $90, $45, or $20 ISSS exchange visitor administrative fee (dependent upon J1 classification), $180 Homeland Security SEVIS fee, $340 USCIS dependent employment authorization fee, and any additional costs incurred during petition (consulate processing fee, couriers, credential evaluations, etc.). c. O-1 Visa The HRS Manager assists employees with completion of USCIS I-129 form and employees pay the $400 CSU ISSS administrative fee, $320 USCIS I129 processing fee, and any additional costs incurred during petition (consular processing fee, couriers, credential evaluations, etc.). d. E-3 Visa: The HRS Manager assists employees with the required verification of employment letter but CIRA does not provide financial support of any processing/filing fees. e. TN Visa The HRS Manager assists employees with the required verification of employment letter but CIRA does not provide financial support of any processing/filing fees. f. Permanent Residency Petitions In respect to permanent residency, the CSU Office of International Programs assists employees in permanent positions with employment-based permanent residence. The Office of International Programs does not assist employees in temporary positions (hourly positions or postdoctoral fellowships) and likewise does not assist employees filing in categories in which they can self-petition, such as the ―extraordinary ability‖ or ―national interest waiver‖ categories. CIRA adheres to the policies of the CSU Office of International Programs, but when an individual is self-petitioning, CIRA allows the HRS Manager to provide employees with administrative assistance in attaining needed letters of support from CIRA supervisors and/or colleagues. Also relevant to cases in which an individual is self-petitioning, if the CIRA Director determines that the employee’s permanent residency is in the best interest of the research project for which the employee works, CIRA will pay to the employee up to $1,250.00 to help defer the costs of preparing the petition, conditional upon submission of receipts(s). For petitions requiring employer sponsorship, CIRA provides limited financial support and administrative assistance. This breaks down as follows: 1. Basic Labor Certification The HRS Manager places required position announcements and assists employees with the DoL ETA9089 questionnaire packet and USCIS I140 form. CIRA pays for the cost of advertising, and as required by law, the $2500 CSU ISSS administrative fee. CIRA does not assist 18
employees in filing the USCIS I-485 application, and employees pay for the $1010 USCIS I-485 application fee, $475 USCIS I-140 filing fee, and all other associated fees (for medical exams, credential evaluations, couriers, optional legal council, etc.). 2. Outstanding Professor/Researcher The HRS Manager assists employees with the USCIS I-140 form. Employees pay for the $475 USCIS I-140 filing fee, $2500 CSU ISSS administrative fee, and all other associated fees (for credential evaluations, couriers, optional legal council, etc.). If the Director determines that the employee’s permanent residency is in the best interest of the research project for which the employee works, then CIRA will pay to the CSU Office of International Programs, $1,250.00 (half of the ISSS administrative fee). 16. Visitors CSU defines a visitor as an individual who participates as a member of the academic faculty for a short period of time while on leave from another institution of higher education or private agency. Visitors do not participate in a retirement program and are not eligible for fringe benefits or the CSU study privilege. CIRA adheres to CSU’s definition of a visitor and further clarifies that CIRA visitors include individuals who participate as members of CIRA research teams while on leave from other institutions of higher education or private agencies. CIRA categorizes visitors as follows: a. Guest Visitors Visitors who enter CIRA for a few hours or daily during core business hours to attend meetings, conferences, symposia, etc. are considered guest visitors. Generally these visitors require no work space or travel arrangements; however when CIRA-funded travel is requested and approved by the Director, the meeting/conference/symposium organizer should coordinate travel arrangements with the CIRA Travel Coordinator. It is the responsibility of the meeting/conference/symposium organizer to host, accommodate, and account for guest visitors, and they do not need to register with the HRS Manager. b. Partially-Accommodated Visitors Visitors who are hosted by a CIRA researcher, require a work space and associated accommodations (fax machine, telephone, computer) while at CIRA, but do not require CIRA-funded travel arrangements are considered partiallyaccommodated visitors. It is the responsibility of the hosting CIRA researcher to plan the arrival of the partially-accommodated visitor at least one week in advance, announce the planned visit to the HRS Manager at least one week in advance of arrival, and work with the Facilities Manager to arrange for a work space and associated accommodations. All partially-accommodated visitors must register with the HRS Manager, and all foreign national, partially-accommodated visitors must show proof of authorized US entry (stamped passport, visa, etc.). 19
c. Fully-Accommodated Visitors Visitors who are invited to CIRA, require a work space and associated accommodations (fax machine, telephone, computer) while at CIRA, and require CIRA-funded travel arrangements are considered fully-accommodated visitors. It is the responsibility of the hosting CIRA researcher coordinate travel arrangements with the CIRA Travel Coordinator at least one month in advance, announce the planned visit to the HRS Manager at least one week in advance of arrival, and work with the Facilities Manager to arrange for a work space and associated accommodations. All fully-accommodated visitors must register with the HRS Manager, and all foreign national, fully-accommodated visitors must show proof of authorized US entry (stamped passport, visa, etc.). Upon approval by the Director, fully-accommodated visitors who require access to CSU’s network and computing resources can be registered as CSU Associates. To establish network and computing resources, the HRS Manager registers Associates in the CSU Oracle HRS computer system and then Associates register for an eID the day after the assignment is fully approved. 17. The CIRA Biz Hub The concept of the Hub is to be the point of contact for any administrative support tasks CIRA scientists require including: printing, copying, faxing, errands, typing, editing, meeting coordination, etc. The Biz Hub is located at the front desk in the main CIRA building and is run by the Biz Hub Coordinator who is responsible for coordinating reception coverage, signing out the parking passes and coordinating front desk support. The Biz Hub Coordinator will ensure all requested work is completed on time and to the requestor’s satisfaction. The Hub may be reached via an email to: email@example.com or by phoning the main line: 491-8448 or the current Biz Hub Coordinator, Laura Leinen. 18. Departures (Resignations or Terminations) When an employee separates from CIRA via resignation, termination, or retirement, s/he must inform the immediate supervisor and the HRS Manager. Appropriate actions are taken to ensure a smooth transition. Individuals separating from CIRA must complete the following actions: 1. Meet with the immediate supervisor and discuss finalization of research activities and/or reports. 2. Capture all hard drive information on DVD for storage, and submit to the Assistant Director. 3. Meet with the HRS Manager and discuss the departure process and payment of accrued leave balances. 4. Return keys and entry cards to the Facilities Manager on the last physical day at CIRA. 5. Return the CSU Travel Visa credit card to the HRS Manager on the last physical day at CIRA. 6. Return the CSU Acquisition Card (ACARD) to the Procurements Coordinator and Accounting Assistant on the last physical day at CIRA. 20
CIRA does not provide email for employees after retirement. Exceptions are for employees doing active consulting or working part time.
*All Facilities issues are the responsibility of the Facilities Manager, Marilyn Watson. 1. Office Keys/Entry Card Keys CIRA offices should be locked after hours or if the individual is away for an extended time during regular office hours. The Facilities Manager maintains control of keys throughout CIRA. Keys are ordered upon request of the supervisor or by direction of the Department Manager. The CIRA building is unlocked Monday through Friday from 7:30 A.M. to 5:00 P.M., except for holidays when the doors remain locked. Entry to the CIRA building is by card key after business hours and all day on holidays. All card key holders are automatically granted access to the CIRA building Monday through Friday from 7:00 A.M. to 7:30 A.M. and 5:00 P.M. to 6:00 P.M. Extended hours of access need to be approved by the supervisor of the staff member and by CIRA management. The Facilities Manager issues cards, sets up and changes access, and maintains the card key system. The Director or Manager determines who is issued a card key. 2. Security CIRA has installed a video camera security system throughout the CIRA building and in other areas where CIRA staff have offices. This is to provide heightened security for CIRA/CSU property. The Infrastructure Manager is responsible for both the imagery collection and maintenance of the system. Please also note that to ensure security, computer room access in approved by CIRA management on a case-by-case basis. 3. Telephone All regular CIRA employees are to have access to a telephone. Telephone service to an office is ordered by the Facilities Manager upon request from the supervisor. Whether it will be an individual or shared line is decided by the Director or Department Manager. Student hourly staff members are not assigned their own telephones. a. Long Distance Authorization Codes The Facilities Manager can order Long Distance Authorization Codes for new employees and for current employees working on new projects. A request from the employee’s supervisor and a fund number should be provided for this service. Each request is subject to Director-level approval.
b. Voicemail The Facilities Manager can also order Voicemail service for a phone line upon request from the employee’s supervisor and pending Director-level approval. Each request must be accompanied by a fund number for the monthly charges. 4. Faxing A department code is required to use the fax machine. The Facilities Manager or the Assistant to the Director can provide this code. Long distance faxes require a CSU long distance authorization code that will assign charges for the calls to a CIRA account specific to the individual using the fax machine (see Long Distance Authorization Code under Telephones). 5. Copiers Copying equipment is available to all CIRA personnel for assigned duties. The copy machines require an account code to initialize each use. The digital copier also requires a code for copy jobs sent from an employee’s workstation. The Finance Team will set up these codes in the machines and is responsible for retrieving the copy count each month to charge to the various CIRA projects. 6. Equipment loans (including media equipment) CIRA equipment is not to leave the building without authorization from the Director’s Office. The Facilities Manager can direct an individual to the correct source for permission. Media equipment may be checked out as well. Media equipment is located in the CIRA Director’s Conference Room. Various means of projection are available for presentation: the slide projector, overhead projector, television with VCR and computer with video projector connected to the CIRA LAN are kept ready to be used-- even on short notice. The setup of equipment is to be arranged through the Facilities Manager. Testing of equipment with the presentation software/materials is requested in advance to avoid problems at the time of the conference. 7. Cell Phones for Projects CIRA maintains cell phones not only for management use, but also for science project use in the field. The Facilities Manager can arrange cell service to support project needs and will check out the equipment with accessories for the period of the project. Advance notice of two weeks is requested to allow time for preparation of service and equipment. 8. Video-teleconferencing equipment The Video-teleconferencing system is located in the CIRA Director’s Conference Room (Room 113). This room may be scheduled online. If problems arise, the Infrastructure Team is to be notified to remedy the problem prior to the conference call. 9. Director’s Conference Room (Room 113)
All reservations are entered into an online calendar system. This room is usually used for technical or administrative meetings of 5 or more persons and will remain locked when not in use. This room is not to be used for individual lunches or breaks, but will be used for organized departmental functions. 10. Presentations: CIRA provides a projector, computer, and screen for presentations. Presenters can bring a notebook computer or use the CIRA provided computer. CIRA highly recommends that presenters verify projector operation, computer operation and compatibility, sound, and Internet connectivity at least 20 minutes prior to meetings. Presenters using a laptop should allow additional time to setup Wifi and video operation. This allows any problems to be discovered and remedied before guests arrive. 11. Mail services Incoming mail is received and outgoing mail is picked up at the CIRA mailbox area Monday through Friday at approximately 2:15 PM. Personal mail cannot be sent through the university mail system. Outgoing mail must have a university fund number designated for postage billing. Central Receiving on main campus should be informed ahead of pickup time for any large box(es) or bulk shipments that are to be sent out (call: 1-6529). 12. Department vehicle CIRA keeps a state fleet vehicle for business use (ie, trips to main campus, to scientific meetings, etc). This vehicle is checked out to the staff and is maintained by the Facilities Manager. 13. Main campus parking passes CIRA keeps CSU ―A‖ lot parking passes to be used by personnel in the pursuit of their interactions with the main CSU campus departments. The Biz Hub staff can check out these passes to the staff. 14. Special cleaning requests The Facilities Manager can arrange for special cleaning for important meetings at the CIRA building. Advance notice is requested to allow time to prepare the facility as needed. 15. Maintenance issues CIRA building maintenance and repair issues are to be dealt with by the Facilities Manager. 16. Temperature Controls The Facilities Manager is responsible for the temperature control within the building. Any temperature problems are to be directed to that individual. 17. Furniture All furniture is purchased through consultation and arrangement by the Facilities Manager. 23
IV. RESEARCHER ORIENTATION
A. Principal Investigator Responsibilities For a complete guide on Principal Investigator responsibilities, please review the Principal Investigator’s Manual at: http://www.research.colostate.edu/policy/ B. Funding Opportunities One aspect of the Proposal Coordinator’s responsibilities is to inform CIRA team leaders of the latest Requests for Proposals (RFP). By enrolling in a service provided by OSP, the Proposal Coordinator can receive email notifications of the latest RFP’s and pass them along to team leaders. PIs can also enroll. Simply go to the OSP website, and choose the ―SMARTS/GENIUS‖ program at the following address: http://www.research.colostate.edu/preaward/ C. Proposal Coordination and Tracking *Handled by the CIRA Proposal Coordinator, Laura Leinen. The Proposal Coordinator assists all CIRA PIs in the submission of proposals to a sponsor. When all the necessary components of a proposal are assembled, the CIRA technical review has been completed, and the Finance Team has approved the budget, the proposal goes to the CSU Office of Sponsored Programs (OSP) for a final review prior to its submission. 1. In order that the proposal progresses smoothly through the aforementioned steps, the following proposal sections should be turned in to the Proposal Coordinator at least 10 days prior to the due date: a. A statement of work (the body of the proposal). b. A budget (the Proposal Coordinator can assist in the budget creation/formatting). c. A budget comments section providing an explanation of why each cost is included in the budget, and the details showing the cost calculations. d. The proposed start and end dates of the proposal. e. The sponsor’s due date (when it must be received by the sponsor). f. A name and address to which the complete proposal will be sent.
2. Once those materials have been gathered, the Proposal Coordinator shall: a. Review the budget. b. Enter the proposal into the automated PASS system on OSP’s website. c. Prepare the OSP ―PBS Budget Sheets.‖ d. Prepare the necessary cover sheets. e. Submit the proposal for review by the Finance Manager.
f. Once approved, the ―business section‖ of the proposal is sent to
firstname.lastname@example.org for their review. g. Collect the signatures of the P.I., the CIRA Director, and the Dean of Engineering. h. Take the completed proposal to OSP for signature and for remaining certifications to be included in packet. i. Take the final packet for copying and mailing to sponsor. j. Answer any questions and serve as an intermediary between OSP and the P.I. k. Maintain the hard copy files and programs to track proposals and projects.
D. Editorial Services Editorial services are available to all CIRA staff through coordination with the Biz Hub staff. This can include editing manuscripts for grammatical structure, readability and flow, coordinating graphics, reviewing galley proofs and possible web publishing. E. Publicity and Interviews Periodically, CIRA employees are contacted by the local media for an interview regarding some weather-related subject or about our research activities. As professionals, it is CIRA policy to welcome and accept these opportunities to inform the general public on environmental issues. We must also recognize the responsibility of giving correct and reliable information. If you are not the best person to respond to an inquiry, please refer inquiries to the appropriate person. Always give proper credit to others within the organization who are associated with the subject, as well as those from other organizations. Issues associated with CIRA research need to be treated in a different manner than general professional topics. Two specific instances will help clarify the policy. First, any time you receive a contact from the media because you are a CIRA employee (you were called at work), you need to let CIRA management know about the request (through the Deputy Director or the Assistant to the Director). Preferably, this should be done before the interview. The concern is that the entire story is told; most researchers and staff are not aware of the total activities of CIRA. We want to insure that old news is not propagated and that everyone involved in a specific research area receives the appropriate credit. CIRA management has established a special liaison with the CSU Public Relations Department to improve our total communication to the media and general public, and Assistant to the Director has the responsibility for interacting with the Public Relations Department at CSU regarding interviews. (In Boulder, contact the appointed public affairs officer.) If you are engaged in a discussion as a weather (or other) professional while on your personal time, you are not representing CIRA. In this situation, your comments or viewpoints are made as a professional, and do not represent CIRA. If the discussion were to continue and eventually involve CIRA programs or policies, then the same policy as 25
stated above concerning media interviews would become applicable. Reference internal memo from the Director dated [5/30/97] F. Release of Data/Software/Hardware Designs Reference internal memo from the Director dated [5/30/97] No CIRA employee may provide software, data, engineering designs, etc to anyone outside of the organization without the written permission of the Director. Please see the memo in the Appendix. G. Finances 1. Project/Proposal Budget Review The Finance Team is responsible for reviewing each new proposal budget for appropriateness of cost items and accuracy of the budget presentation. 2. Infrastructure Billing All Infrastructure costs are divided into the following categories. Base Infrastructure & Consulting—charged to everyone who works in Fort Collins. It includes ACNS charges (fiber and Internet), the cost of central servers (domain, web, FTP, DNS, print server, support, etc), e-mail, networking, central printers, and high level IT consulting for strategic planning. Support is provided by the Infrastructure manager. Backup support is provided by the IT professional and/or Linux professional. IT--includes hardware, software, and support to operate and maintain the Windows desktop systems in CIRA. Support is provided a full time IT professional. Backup support is provided by the Infrastructure manager and/or Linux administrator. It does not include hardware associated with Linux or the Earth Station. Linux—Includes hardware, software, and support to operate and maintain the Linux cluster and Linux desktop systems. Support is provided by a full time Linux professional. There is no backup. Earth Station—Includes hardware, software, and support to operate and maintain the satellite and internet collected Meteorological data. It also includes all archive and retrieval costs. Support is provided by the Infrastructure manager. There is no backup. Actual expenses are computed within each category. Each includes hardware, fees, and salary associated with those activities. Next we compile the work hours of time used by each individual by project and by cost center area. We do this by analyzing every individual and every project and the coverage of each individual by project. This gives us a total sum of work hours for each cost center that could then be divided by the cost center costs. This gives us the actual rates for each cost center.
3. Procurement *All Procurement Requests are handled by CIRA’s Procurement Coordinator, Christopher Musgrave. Requests for office supply products, office machines, furniture, services for repair or retrofitting electrical, mechanical or other building products for the department should be routed to the Facilities Manager (Marilyn Watson). Requests for computer hardware/software for the department should be routed to the CIRA Infrastructure Manager (Michael Hiatt); Requests for items for employees associated with NPS should be routed to their Administrative Assistant (Helene Bennett); Requests for items for the employees working with the RAMM Branch should be routed to their Administrative Assistant (Kathy Fryer); Requests for items for CG/AR should be routed to the CG/AR Program Assistant (Loretta Wilson); and Requests for all other CIRA items (publications, books, continuing education tuition, etc.) for the department should be routed to the Assistant Manager of Finance and Accounting (Chris Musgrave); A CIRA/CSU Purchase Request Form will be completed for every CIRA/CSU procurement involving an ACARD or IMO. Procurement Coordinators may skip this step when initiating a purchase via SciQuest, but individual requesters must submit a Purchase Request Form in all cases. The forms are available from the Procurement Coordinators. Completed purchase request forms and photocopies of vendor's sales information will be turned in to Procurement Coordinators. NOTE: Requesters may not directly create Purchase Requisitions or IMO's. Procurement Coordinators will then complete the purchase via SciQuest if possible, or via ACARD or IMO if SciQuest is impractical for the transaction. Once the purchase has been approved, Coordinators will forward copies of the transaction documents to the initial requester. Once the product arrives, requesters will forward all available documents (receipts, invoices, etc) to the appropriate Procurement Coordinator for handling. Procurement Coordinators will forward original invoices to Accounts Payable and will forward other purchase paperwork and copies of invoices to department Finance Manager for storage in department files.
Certain purchase requisitions requests require a sole source justification be attached. This is required when ordering specific furniture, media equipment, or externally contracted research services. 4. Official Function Expenditures The general policy on Official Functions at CIRA (as advised by internal CSU auditors) is that official function expenditures are to be kept to a minimum. Some of the guidelines to steer these decisions are as follows: In general, official functions expenditures will not be drawn from research project funds. The exception would be for large group activities, including external reviews, specifically identified in the original research proposal. The large majority of CIRA official functions will fall into the category of refreshments for seminars and staff meetings. Occasional expenditures are allowed if we are hosting visitors contributing to CIRA’s mission. These lunches, dinners and related activities require explicit written approval by the Director in advance. *It is important for all individuals who might be approached by some requesting expenditures to understand and communicate this situation. * As each of the authorized ACARD holders for official functions carry out their duties, they are direct representatives of the Director. The Director must serve the official functions needs of all groups in CIRA and therefore the others must do the same. General information pertaining to DPO's, Purchase Requisitions, or IMO's can be found at: http://www.purchasing.colostate.edu.
5. CIRA Travel Procedures These travel procedures are designed to aid in effective coordination and processing of all CSU/CIRA travel documents as required by the Travel Desk of the CSU Business and Financial Department. A. A CIRA/CSU Pre-Travel/Training Request Form must be completed for every Traveler, for every CIRA/CSU business trip. Forms are available from Travel Coordinators. Completed forms must be submitted to Travel Coordinators. Travel Coordinators must route completed CIRA/CSU Pre-Travel/Training Request Forms to travelers' supervisors and to the Principal Investigator of the project by which the travel is funded. Approval must be obtained from both the Traveler's supervisor and the Principal Investigator prior to commencement of travel. B. Except in rare cases to be pre-arranged with CIRA Travel Coordinators, only CIRA Travel Coordinators may purchase airline tickets. Travelers are 28
encouraged to access the internet, identify preferred flights, and provide preferred flight information to CIRA Travel Coordinators. C. If meeting/conference registration is required, Travelers must complete registration paperwork and submit to Travel Coordinators. Travel Coordinators must procure conference registration fee payments and must forward registration paperwork and payments to conference hosts. D. Other Travel Issues: 1. Passports: CIRA will approve the purchase of passports only if the travel is at the request of the sponsor. Purchase of a passport for optional travel, such as to an international conference, will not be approved. 2. Rental cars must be purchased via CSU travel VISA Credit Card, not the traveler’s personal credit card. 3. To the greatest extent possible, all official CIRA travel should be arranged so as to minimize loss of both personal and normal work-day time. In most cases involving out of state destinations, travel to the meeting site on the previous day is necessary. However, in some cases travel to the meeting site on the day of the meeting (e.g., trips to Boulder from Fort Collins, depending on meeting time) is practical. Returning from the meeting site on the last day of the meeting, when practical in lieu of annual leave, is also required. In accord the professional appointment at CIRA and in adherence to CSU policy, there is no compensatory time allowed for travel occurring outside the time of normal business hours, or for travel that necessarily occurs on a weekend or CSU-recognized holiday. All circumstances involving special requests, exceptions, allowances, or other arrangements established between employees and their supervisors in this regard are subject to review and final decision by the Director of CIRA. Also in adherence to CSU policy, for non-local travel the traveler must declare annual leave for any additional days required as a result of elected alternative travel that is less expedient than travel by commercial air. In addition, whenever a mode of transportation is chosen for the convenience of the traveler, amounts claimed for lodging, meals and other allowable miscellaneous expenses are limited to the equivalent of those that would have been incurred using the more expedient means of travel. E. Travel Preparation Procedure: 1. Prior to Travel: a. Traveler will fill out a CIRA/CSU Pre-Travel/Training Request Form and submit to Travel Coordinator. b. Travel Coordinator will obtain signature approval from Traveler's supervisor and CIRA Director. 29
c. Travel Coordinator will prepare CSU Pre-Trip/Travel Voucher form. d. Travel Coordinator will obtain signature approval on completed CSU Pre-Trip/Travel Voucher form from CIRA Account Approver (Lance Noble). e. CIRA Account Approver (Lance Noble) will route CSU PreTrip/Travel Voucher from to Travel Coordinator. f. Travel Coordinator will obtain signature approval on completed CSU Pre-Trip/Travel Voucher form from CIRA Dept. Higher Authority (Mary McInnis-Efaw or Steve Miller or Graeme Stephens). g. Travel Coordinator will make travel arrangements for Traveler and will purchase electronic airline tickets (e-tickets) via CSUapproved Travel Agency with the CSU Ghost Card. h. Except in cases in which a Traveler indicates no need/desire for a travel itinerary, Travel Coordinator will provide Travelers with a travel itinerary, including reservation confirmation numbers and eticket record locator numbers. 2. Upon Completion of Travel: a. Traveler will submit original, itemized receipts to Travel Coordinator. b. Travel Coordinator will complete CSU Post-Trip/Travel Voucher form. c. Travel Coordinator will review completed CSU Post-Trip/Travel Voucher form with Traveler and will obtain Traveler's signature approval. d. Travel Coordinator will obtain signature approval on completed CSU Post-Trip/Travel Voucher form from CIRA Account Approver (Lance Noble). e. CIRA Account Approver (Lance Noble) will route CSU PostTrip/Travel Voucher form to Travel Coordinator. f. Travel Coordinator will attach original receipts and original, fully signed CSU Pre-Trip /Voucher form to CSU Post-Trip/Voucher form and will route all documents to CSU Travel Desk for reimbursement processing. g. CSU Travel Desk personnel will review and approve the CSU Post-Trip/Voucher form and attached documents and will process
Traveler's reimbursement for payment via electronic funds transfer within 30 days. h. CSU Travel Desk personnel will send a completed Notice of Adjustment form Travel Coordinator via campus mail, should adjustments be made to Traveler's reimbursement. i. Travel Coordinator will provide Traveler with a copy of completed Notice of Adjustment form immediately upon receipt. F. All Travel Coordinators will maintain detailed files on all Travelers' trips. G. Travel Coordinators: The Traveler will work with the Coordinators below to arrange their trip: *If the trip is funded by a CIRA project, but the Traveler is not a CIRA employee, s/he should work with their own department’s travel coordinators. *If the trip is funded by a non-CIRA project, the Traveler should still work with a CIRA Travel Coordinator. *If the trip is funded by more than one CIRA project, the Traveler should work with the Coordinator whose project represents the greater funding portion of the trip. Biz Hub Staff (Holli Knutson) for most CIRA research travel. Jennifer Raab for all Boulder employees’ travel. Helene Bennett for all National Park Service-associated travel. Kathy Fryer for all RAMM Branch-associated travel. Loretta Wilson for all GeoSciences and Vonder Haar travel.
V. ADMINISTRATIVE ORIENTATION A. Budgeting and Staffing Patterns The Finance Manager, together with the Director of CIRA, is responsible for the preparation of the annual Departmental, Revolving, and External Sales Budgets. The Finance Manager is also responsible for the preparation of the continually evolving staffing pattern for all CIRA employees. 1. The Staffing Pattern process begins with: a. A definition of specific research themes and programs of CIRA and selecting appropriate staff to fill them; b. Recognition that all areas and persons in the Dept. of Atmospheric Research do not fit in CIRA; c. Recognition that all research in CIRA is proposed and funded by external sponsors; and 31
d. Recognition that the participation of CIRA supervisors and PIs/Project Leaders in the Staffing Pattern Process is critical as a function of CIRA’s ―matrix management‖ approach. 2. These above points lead to an understanding that every appointment within CIRA is specified as ―subject to available funds in research collaboration with the Director of CIRA.‖ In short, this acknowledges the unique nature of the soft money environment and the necessity of collaboration between project leaders and CIRA management in conscientiously supervising all staff. 3. Items 1 and 2 focus and delimit the research staff at CIRA to allow orderly staff planning. 4. Additional guidelines include: a. The administrative and infrastructure support staff at CIRA is limited to 7-10% of the volume of ongoing CIRA research; excluding those funded directly from research projects via direct charges for special support services required by (and passing audit by) the research projects. b. All major research institutes such as CIRA require discretionary IR&D funds to explore new areas and collaborations. This is accomplished via scientific visitors and post-docs collaborating with CIRA research leaders and/or federal research partners. Expectations 5. Expectations of Research Staff must be clearly communicated at the time of selection and appointment of all staff; and must be reviewed and discussed individually at least once per year. 6. Within the Research Scientist ranks the expectations (at the middle and upper levels) are: a. Participation and co-leadership about ½ time in a major research program or theme of CIRA; b. Professional development and interaction with peers (worldwide) in the individual’s specialty area; c. At least 3 peer-reviewed journal publications of research results each year with related reports and presentations; d. Ability to independently author and co-author research proposals within CIRA’s mission to support about ½ of their appointment each year; and e. Work well in a research team environment as required. 7. Within the Research Associate ranks the expectation (for middle and upper levels not associated with infrastructure support) are: a. Participation and (occasional) co-leadership in one or more of the major research themes or programs of CIRA; b. Ability to provide unique research skills to enable the CIRA research to attain high performance and competitiveness; c. Work well in a research team environment; and d. Maintain and enhance their professional skills of special value to CIRA research. 32
8. Items 6 and 7 ensure that orderly and prudent staffing of research can be done. They also provide the basis for annual review of reappointment; with part-time, limited term, LWOP or non-reappointment options. Employees who perform to expectations are the key to the entire process. 9. In the sponsored research (―soft money‖) environment of CIRA and other such institutes, the timing of external research project initation, renewal and ending is highly variable. Thus, the Annual Research Staffing Plan- while developed for the CSU fiscal year- must be drafted 3-4 months in advance; put into action; then reviewed 3-4 months later with appropriate actions taken. 10. The Staffing Plan should include appropriate notes meta-data distinguishing between research funds in hand; those pending a submitted proposal approval; and those merely in the discussion/proposal writing phase. Other information on individual staff past and current performance; and the status of the budgets of current and potential external sponsors are also used by CIRA leaders to develop the plan. Procedures The staffing process is very complex and differs from employee to employee. In the spring of each year we begin with the current staffing plan and use that to develop the plan for the next year. 1. NPS: For the NPS group the majority of the employees are funded by a single project and they continue on that project. If necessary we contact the NPS assistant to request information on specific employee staffing. 2. NOAA-Boulder: For the NOAA-Boulder group the majority of the employees are funded by a single project and they continue on that project. If necessary we contact the Associate Director to request information on specific employee staffing. 3. NOAA-Ft Collins: The administrative assistant for the RAMM group provides a staffing plan for their employees. 4. CG/AR: CG/AR CIRA staff representative provides the staffing for the CG/AR projects. For employees that don't fit one of those categories we piece together a first draft staffing plan from the information we have and send it to either the employee supervisor or the employee themselves to review and provide feedback/approval. Once the initial plan is in place it requires constant monitoring throughout the year to input changes, watch for problems and request updates for employees that were not fully staffed at the beginning.
All communications regarding staffing are kept a notebook organized by employee so that we can quickly find documentation in case questions arise and also to use in developing the initial staffing plan for each year. B. Master Spreadsheet Prepared on a monthly basis, the Master Spreadsheet summarizes most of the active projects within CIRA and projects additional costs by expense category through the remainder of the CSU fiscal year. The staffing pattern is integrated into the Master Spreadsheet. C. Records Retention The retention of administrative support records will be consistent with university and federal audit policies. Technical records will be maintained as long as practical at the direction of the Director of CIRA. The Financial Manager maintains all the financial files for back-up expense and revenue documentation and works closely with the Department Manager on Internal and External audits. D. Director’s Office Concerns The Office of the Director shall provide administrative support to the Director or Acting Director, Deputy Director and Associate Director as well as overall support to the Institute, the CIRA Advisory Board and the CIRA Advisory Council. This Office provides first line of response on general Institute matters and matters directly related to the Director and Deputy Director. The Assistant to the Director shall be the initial point of contact relating to the administrative support function for the Director’s Office and shall, on behalf of the Director or his/her designee, be responsible for the following functions: a. Activities calendar The Assistant to the Director is responsible for making all entries to the Director’s calendar. In the absence of the Assistant to the Director, a member of the Department Manager’s staff or the Assistant to the Director’s administrative assistant (respectively) are responsible for making entries. Whenever there is an update to the calendar, 2 copies are printed: 1 (3-holed punched) copy goes to the Director for his binder; 1 goes into the calendar binder kept by the Assistant to the Director. The Director’s electronic version of the calendar is backed up into the Director’s ―Calendar‖ personal folder whenever a change is made. b. Correspondence All Correspondence prepared for the Director or Deputy Director is either filed in electronic or hard copy form. The electronic copy is kept by the Assistant for the Director in a folder under the Director’s or Deputy Director’s name entitled ―Correspondence‖ by year.
c. Mail All mail for the Director is either reviewed if electronic, or opened and screened if physical, by the Assistant to the Director who decides if other personnel in the Institute can handle the correspondence or if it needs to go directly to the Director. d. Travel All Director’s Office travel is handled by the Central Services Travel Coordinator. See section IV. G. 4. (page 15) for policy and procedures relating to CIRA travel. e. Committees All information regarding Committees and Boards on which the Director serves is kept in individual files. These files are kept in the office of the Assistant to the Director. The Assistant to the Director also maintains a current list of all Committees and Boards on which the Director serves. f. NOAA Annual Report A compulsory CIRA Annual Report is due to NOAA each year by September 30th. This report consists of research highlights, research project updates, reports on fellows, personnel, any special items, and a detailed bibliography for all projects active during the past fiscal year (July 1-June 30). The Assistant to the Director is responsible for the compilation of the information, the composition of some sections, the coordination of the printing, and the submission to NOAA. Preparation assistance is also obtained for data entry, technical proofreading, and cover design. g. Special reports 1. The Associate Director of CIRA Boulder submits a Boulder Group Research Update 2. The CIRA National Park Service Supervisor submits a Research Update 3. The Deputy Director submits a Center for Geosciences Research Update 4. The NOAA/NESDIS/RAMM Team Leader submits a Research Update 5. The CIRA Infrastructure Manager submits a Research Update 6. The NOAA/NESDIS/RAMM Team Administrative Assistant submits a listing of all Seminars/Classes/Meeting Presentations for the Team 7. The National Park Service Administrative Assistant submits a listing of all Seminars/Classes/Meeting Presentations for the NPS 8. The Assistant Manager for Human Resources submits the Personnel Listing and the short bios on the Post Doctoral Fellows 9. The NOAA Project Manager compiles and submits the Project Bibliography (See below for procedure) The Assistant to the Director is responsible for compiling or writing the following:
1. Working with the Deputy Director on choosing items for the Research Highlights 2. Preparing the Board and Council Listings 3. Seminars, Meetings, Workshops, Courses 4. The NOAA annual and five year report which includes compiling all components putting in printer-ready format, assisting on the cover design, interfacing with the printer, and final transmittal to NOAA by September 30 th. h. Office Space Assignments The Director of CIRA has the responsibility for all office and space assignments at CIRA. The Department Manager working with the Facilities Manager and the Assistant to the Director carry out these assignments. E. Infrastructure Matters The intent of this information is to provide a short overview, policies, and who to contact for assistance. CIRA’s Infrastructure contains over 200 workstations, a gigabit network, dozens of specialized servers, a satellite earthstation, modeling clusters, and associated IT staff. Michael Hiatt is the Manager of the Infrastructure and Satellite Earthstation. Email: email@example.com, Office: ACRC 101
1. CIRA Website The number one place to get information about CIRA is through CIRA’s webpage at www.cira.colostate.edu. 2. Windows Network CIRA’s primary computer platform is a network of Windows XP/2003 workstations and servers. Please contact Michael Hiatt to get an account. Karll Renken is CIRA’s primary workstation IT person. He is available to help with computer hardware, software, and printers: Email: firstname.lastname@example.org, Office: ACRC 101 Phone: 970-556-2913 3. Satellite Earthstation The earthstation collects and archives GOES, AVHRR, and MSG data. CIRA also archives other Meteorological data sets from tape and the Internet. Please contact Michael Hiatt for assistance on using the earthstation. 4. Linux Workstations and Clusters
In addition to Linux workstations, CIRA operates a 32-bit and 64-bit Linux modeling cluster. Adam Carheden provides support for Linux users. Email: email@example.com, Office ARCR 004 Phone: 970-491-8956 (office), 970-556-2914 (cell) 5. Email Please refer to the web document at http://www.cira.colostate.edu/services/email/ 6. File Management The best way to organize files is to keep them in one central place. Please create a top-level folder by your last name either at the root of the C: drive or in the My Documents folder. Sub-folders provide a good way to further organize the files. 7. FTP vs. Attachments The easiest way to share a file is to attach it in email. CIRA’s internal mail system can handle attachments up to 35MB. Outside mail servers are much more restricted, sometimes as low as 1MB. Please keep this in mind when sending attachments to external recipients. Also note that sending files with extensions like ―exe‖ or ―bat‖ will be rejected by the mail servers since they appear to be viruses. In cases where files are larger than 35MB, CIRA provides an FTP server (ftp.cira.colostate.edu). Again, please only create a single root folder by your last name. Outside users can access this server using the username ―guest‖ and the password ―orion‖.
8. Backups All data, including e-mail, is your responsibility to backup! CIRA will provide USB memory devices. Please contact Karll Renken to get backup hardware. 9. Internet Help Google! Please don’t underestimate how much Google can help you in your day to day tasks. Most computer problems are well documented on the Internet. 10. Upon Your Departure: Please backup your data and take it with you. Unless you instruct otherwise, your computer workstation will be ―re-cycled‖ for the next user and your account(s) closed. I. Distribution of CIRA Data, Software, and Hardware
ISSUED May 30, 1997 TO: All CIRA Personnel 37
FROM: Tom Vonder Haar RE: Distribution of CIRA Data, Software, and Hardware There is a long-standing policy at CIRA regarding no release of CIRA-related data, software, or hardware designs to anyone outside of CIRA without the WRITTEN permission of the CIRA Director. What you ARE able to release to your colleagues throughout the scientific community would be any final report, any publication or reprint, the CIRA Newsletter, CIRA website information, and samples of data that CIRA can produce. The difficulty arises if one gives datasets, software, or hardware/firmware to outside groups wherein a normal competitive research environment these assists may become competitive with ideas and proposals from CIRA. We cannot be benevolent gift-givers to the outside world because it might cause difficulties with the funding of a research proposal that would pay the salaries of your coworkers. We simply cannot take any chances. Therefore, the release of these items must be authorized and forwarded through the Director's Office. II. This is an important policy for many obvious reasons; and, if you have any questions regarding this policy, I urge you to contact your supervisor immediately or contact the Director's Office. CIRA E-Mail Policy Electronic Mail represents important information exchanged to conduct business. CIRA uses Microsoft’s Exchange Server to host local and Internet mail. The following is an extract of the VPRIT’s policy dated July1, 1997. These policy issues are still valid and should be understood by all CIRA employees: All e-mail, received or posted through CSU’s internet services, are public. There is no such thing as private communications using CSU services. As such the University retains the right to read or ―inspected‖ by the University. As a public record e-mail communications should be backed up and retained according to State law. Currently retention of e-mail is only for technical and operational purposes i.e., not for document archival purposes. You are encouraged to delete e-mail that is not considered public. All though e-mail is considered public record for purposes of University management and monitoring, there is also an expectation that the documents are considered confidential. This means the documents are by definition intended to be shared by sender and named recipients. Only the sender and recipient can disclose the contents. Use of CSU’s internet is considered a privilege and not a right. As such abuse of the system can become a matter of legal action or disciplinary procedures. Some 38
of the instances of abuse are as follows: o Misrepresentation of identity. (Use your own address and no other) o Using e-mail for purposes that violate federal law. This would include pornography and pirating copy righted material (music for example) o Using the system for commercial purposes o Sending patently harassing, intimidating, or abusive/offensive material. An example would be getting into a ―flame‖ war with someone on a chat room. You are entitled for free speech but using a CSU address means you are representing the University. A complaint from your ―flame war‖ adversary can lead to the termination of your e-mail privilege. o Intercepting, disrupting, or altering e-mail. o Volume abuse – propagation of chain letters, broadcasting inappropriate material etc. o Accessing, copying or modifying other’s e-mail or computer files without permission. o Interfering with other’s work by the use of viruses, worms etc.
III. Note that personal use of e-mail is permitted but it must be done with prudence and discretion.General Infrastructure Policies No one in CIRA is allowed to open up their computer for inspection, repair, or upgrades. This is for safety as well as consistency in computer configuration. Furthermore, no one in CIRA is allowed to reconfigure or load operating systems. These tasks are performed by the Infrastructure Group. CIRA is primarily a Windows based infrastructure. Support for other operating systems should be checked before used. Hardware requirements need to be requested to the Infrastructure Group and are provided based on funded research. No one is allowed to load applications on their computers without permission. If you want a new application, please ask first. CIRA uses a standard software suite including Microsoft Office. Unless other arrangements have been made, you must use these software applications. This makes systems administration and document exchange easier. CIRA does not allow any software package to be copied or taken for use outside of CIRA. This is a violation of vendor software licenses and is illegal. If you have a justified use for a software package outside of CIRA, please get permission and additional licenses will be purchased. No games shall be installed or played on CIRA computers for any reason. 39
Any employee caught downloading or viewing pornography will be terminated. All of the computers systems have CD-ROM readers. These CD-ROM units can read both digital and audio CDs. You may play audio CDs using headphones as long as you are not bothering anyone around you and you are still able to perform your work duties. The use of headphones in the common areas is not permitted. No food or drink is allowed in any of the common lab areas. Students who work at CIRA may use the computer labs to do school work as long as permission has been obtained from your supervisor and it does not interfere with official business. Please log out of computer when you are done using it by using "CTRL-ALT-DEL". This allows others to use the computer. In the event of a facility wide power outage: 1. Save your work and close all programs. 2. If the power is off for more than 1 minute, please shutdown the computer. 3. You may shut off the UPS if the beeping is bothering you. 4. When reliable power is restored, turn the UPS and computer back on and resume work. 5. Central systems (Internet, web, FTP, email, data collection, etc) will be restored as soon as possible, typically within 30 minutes. Please be patient.
CIRA maintains various Linux Clusters for use by the research groups that funded their purchase. Access If you need access to Linux machines or clusters, please contact Adam Carheden <firstname.lastname@example.org>. Linux clusters may be accessed by ssh or NoMachine. Data on the clusters may also be mounted on CIRA-provided Linux workstations via the NFS protocol. Please contact Adam Carheden <email@example.com> if you wish to access data on the clusters via NFS. Submitting Jobs The MPICH parallelization library is available on CIRA’s clusters , but we do not use job scheduling software. When submitting MPI jobs, please be respectful of others by using a machinefile to run your jobs on nodes not already in use. When running non-paralle/nonmpi jobs, please run them on the highest number nodes as MPI uses the lower number nodes by default. Please e-mail Adam Carheden <firstname.lastname@example.org> if you need assistance in submitting jobs or working with others to use cluster resources. Backups Data on CIRA’s clusters follow the same backup policy as all other machines at CIRA. The IT Infrastructure group only backups up the operating system and applications, not user data. Users are responsible for backing up their own data. Please contact Adam Carheden <email@example.com> if you need assistance. Documentation a. Further documentation can be found at http://www.linux.cira