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Guide to the Scientific Appointments Process and the Appointments Review Group Procedures - 2006
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The scientific appointments process at NCAR provides the institution with the intellectual leadership necessary to identify, direct, and contribute to solving the most important and challenging problems in atmospheric science. The scientific appointments ladder at NCAR has four levels: scientists I and II are term appointments made by the NCAR divisions and programs, while the scientists III and senior scientist appointments are without term. Advancement or appointment to scientist III or senior scientist is based on a process of confidential review and recommendation that involves both the senior scientific staff and senior management through the Appointments Review Group. The criteria for appointment, the review process, and the procedures used by the ARG during the annual appointments process are described in this guide. The Supplemental Materials defining criteria for Appointment have recently been added to this site in response to input from staff. These provide greater explanation and description of the appointment criteria and outline the measures used to evaluate nominations.
Additional questions should be directed to your division or program director.
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General Information
Scope
The Appointments Review Group is an advisory body to the Director of NCAR, and is responsible for reviewing all upper level scientific appointments. The body meets twice annually, in the early and late spring, to consider nominations to Scientist III and Senior Scientist appointments. A chair is elected from the group to run the meetings. The deliberations of the ARG are assisted by the appointment of investigative subcommittees which are responsible for an in-depth analysis of the nominating materials, the letters of reference, and any other issues raised by the ARG regarding a nominee. These subcommittees conduct a review of publications, attend presentations by the nominee, if possible, and conduct interviews with the nominee and appropriate colleagues. A written report of their findings is presented to the ARG members before the second meeting.
Membership
Terms of Office: ARG members are appointed for a 3 year term by the Director of NCAR
Representation: Each Division is represented by the Director and two additional members who are Senior Scientists.
Roster: 2006 Membership Roster
Calendar
The calendar is set each year by the Director's office, but conforms to the following general schedule:
- Call for Nominations Late December
- Nominations Due mid JanuaryFirst Meeting Early February
- Reference Letters Early May
- Second Meeting Late May
- Scientist III appointed June, by Director of NCAR
- Senior Scientists appointed after approval by Board of Trustees.
Confidentiality
The following documents and procedures must remain confidential throughout the process:
- Minutes of the ARG meetings
- Reports of the Investigative Subcommittees
- Letters of reference for all nominees
- All discussions about nominees
Electronic mail should not be used to communicate confidential information regarding any of the nominees.
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Nominating Materials
The following materials are to be prepared by the nominating division for each nominee for Scientist III and Senior Scientist. Candidates are encouraged to participate in the development of the nominating materials, and should work closely with the division director on presenting the most compelling case for their appointment. Please number pages for easy reference and begin new sections on new pages.
Please note: items asterisked (*) are sent to the referees.
Curriculum Vitae*
- Educational information including dates of degrees, granting institution, title of thesis
- Work History including post-doctoral appointments and fellowships, other appointments
- Scientific/Technical Accomplishments including models or instrumentation developed
- Community Service including educational, mentoring, editorial or advisory activities
- Honors and Awards, including fellowships, appointments to professional groups, and prizes
- Research Grants including collaborations with university colleagues
- Publications List*. Please see guidelines for publication lists.
Narrative
This statement must address each aspect of the criteria for appointment as outlined in policy 2-2-1, Scientific Appointments. The highest level of scientific excellence in areas of NCAR's interests is the fundamental requirement for a Senior Scientist appointment. Therefore, in addition to the requirements at the Scientist III level, Senior Scientists will have achieved an international reputation for scientific accomplishment and leadership through recognized and influential scientific publications, participation in national and international programs, and service to the scientific community. In addition, the candidate must be judged to possess the breadth, flexibility, and judgment needed to sustain a role in the long-term scientific and technical leadership of NCAR.
The Division shall prepare a statement of nomination for the nominee which describes past areas of research conducted by the nominee, development of complex research capabilities, leadership and management duties, and the percent of time spent in each area.
The narrative should also include an evaluation of the community service and advisory activities of the nominee including teaching, mentoring, and other educational activities, the candidate's work on the dissemination of scientific information to the general public, and comments on the nominee's reputation among peers.
Types of achievements to be described should include individual and collaborative research, development of instruments or software including exploitation of these tools for scientific research; leadership at NCAR, on national and international scientific and technical committees and advisory bodies, leadership in providing scientific services for users of NCAR facilities, and contributions to the nation's educational infrastructure.
Statement of Expectations
The division director should describe the role the nominee will play at the higher level of appointment, and give reasons for believing that the nominee will be successful. Expected collaborations should be identified.
Two Selected Publications*
Copies of two published papers, selected by the nominee, with a brief statement on how they relate to the nominee's accomplishments.
Position Description
A position description, applicable for the first year of the intended level of appointment for the nominee should be attached.
List of Referees
Divisions should prepare a list of 12 referees including 5 international for Senior Scientists; a list of 10 including 3 international referees should be prepared for Scientist III nominees. For Senior Scientist nominees, no more than 10, with up to 5 international referees, will be selected; for Scientist III nominees, no more than 8, with up to 3 international referees. Of the 10 referees for Senior Scientist, four (4) will be selected by the nominating divisions, with the remainder chosen by ARG. Of the eight (8) for Scientist III, three (3) will be selected by the nominating division with the remainder chosen by ARG. The ARG may augment the list of referees in making its selection. |
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Guidelines for the Publication List
These are guidelines for preparing publication lists for the Appointments Review Group in order to facilitate the citation search conducted on all nominees. Publications should be numbered, beginning with the nominee's earliest work first. Careful attention to accuracy and completeness of each bibliographic entry will greatly help the citation searcher in his/her work.
Section 1
Thesis title, date, institution. Publications resulting from theses should be identified in the subsequent list by an asterisk. If the Master's thesis was also published, this should be included.
Section 2
External refereed journal articles, including those accepted and in press.
Section 3
Other external refereed publications, e.g. book chapters, synopses, reports, either published or in press.
Section 4
Publications submitted or in preparation
Section 5
Internally refereed publications such as NCAR Technical Reports and Notes.
Section 6
Non-refereed publications including conference presentations and papers, synopses of meetings, symposia, abstracts, popular press publications.
There is an NCAR standard bibliographic format and an American Meteorological Society format which can be followed; either is acceptable. "In press", "accepted", "submitted", and "in preparation" should be used as necessary to identify the current status of unpublished work.
Citation indices will be distributed soon after they are completed. The Director's office will provide both individual counts and a table comparing the citation rates of nominees at both levels of appointment.
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First Meeting
The following activities are required at the first meeting of the annual Appointments Review Group process and are governed by the following rules. The first meeting of the ARG is held in late winter.
Rules of Attendance
It is a responsibility of all members of the ARG to attend its meetings and participate in fulfilling all aspects of the ARG's responsibilities. However, if a member of the ARG is unable to carry out all of his/her ARG duties during the appointed three-year term, the Division or Program Director may nominate a replacement. The designated replacement must participate in one full annual cycle. No replacements will be allowed once the annual ARG cycle has begun. The designated replacement is authorized to fulfill all aspects of the ARG's responsibilities.
Definition of Quorum
A quorum consists of three-quarters (3/4) of all voting members. A quorum is required to proceed with the activities of the committee.
Election of Chair
The chair of the ARG is chosen from among the voting members. The chair is elected prior to the beginning of the annual ARG cycle, serves as chair-elect during that year's cycle, and becomes chair during the following year's cycle. Normally, the chair serves a one-year term.
Nominating Remarks
Remarks are made by the Division Director or appropriate scientist, introducing and in support of each nomination.
Identification of Issues
Additional issues regarding a nomination are to be identified at the first meeting. ARG members should come prepared to offer or comment on additional aspects of a nominee's case. These issues will be forwarded to the investigative subcommittee for exploration.
Selection of Referees and Solicitation of Reference Letters
The ARG will select references for each nominee, primarily from previously provided lists; 12 referees, including 5 international, for Senior Scientists, and 10 referees, including 3 international, for Scientist III nominees. The ARG may augment the lists in making its selection.
For Senior Scientist nominees, no more than 10, with up to 5 international referees, will be selected. Of the 10 referees for Senior Scientist, four (4) will be selected by the nominating divisions and the remainder by ARG.
For Scientist III, no more than 8, with up to 3 international referees will be selected . Of the 8 referees for Scientist III, three (3) will be selected by the nominating division and the remainder by the ARG.
The Director's office solicits the letters of reference from identified referees, receives and collects them as they arrive, and distributes them to the ARG in a timely manner.
Establishment of Investigative Subcommittees
A subcommittee will be established for each nomination. Please see guidelines for investigative subcommittees.
Record of Meeting
Detailed notes on the discussions are taken by the Recording Secretary, but official minutes do not contain subjective description unless such discussion leads directly to a specific action by the ARG.
Disposition of Materials/Confidentiality
Materials from the first meeting are to be retained by ARG members. Nominating materials should be held closely. Referees names are to be strictly confidential, as are all matters discussed by ARG during its deliberations.
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Guidelines for Investigative Subcommittees
Investigative subcommittees for each candidate are chosen by the ARG. The responsibilities of the subcommittees are to evaluate the nomination with respect to the appointment criteria, evaluate the letters of recommendation received, and investigate specific issues and questions posed by the ARG.
Membership of Subcommittees
Each investigative subcommittee must have three members, two of whom are expected to be current ARG members. All subcommittee members must be NCAR Senior Scientists or voting members of the ARG, and none may be from the candidate's nominating division(s). One resource person, selected by each candidate's nominating division(s), is appointed to provide expertise and assistance to the investigative subcommittee.
ARG members are not required to serve on more than one investigative subcommittee. If having two ARG members on each subcommittee would require multiple service, subcommittees may be formed with just one ARG member.
Activities of the Subcommittee
The investigative subcommittee shall investigate in detail the qualifications of the nominee, covering all aspects of the nominee's work. Specific activities may include:
- Reading and discussion of nominee's scientific publications
- Speaking with colleagues at NCAR
- Interviewing the nominee
- Attending any seminars given by the nominee
- Carefully considering the opinions of the external referees
- Investigating any significant gaps in documentation with the nominator
- Investigating particular issues raised by the ARG
- Seeking external oral advice and opinion. Consult first with Director's Office/Chair of the ARG.
Letters of recommendation are sought and received by the Director of NCAR, and copies distributed to the investigative committee members, who make any further investigations indicated, including asking the Director of NCAR to seek clarification or explanation from the referees. The investigative committee then makes a final written report that is distributed to the ARG, along with the letters of reference.
Reporting to the ARG
The investigative subcommittee should report in writing to the ARG in advance of the second meeting. The following should be included in the report:
- Description of the activities of the subcommittee
- A direct discussion of the issues and questions raised by the ARG
- Specific references to the subcommittee's investigation of the letters
- Address each of the appointments criteria specifically
Conduct of the Investigation
The subcommittee should seek clarification of comments written by external referees, consult with colleagues in a nominee's division, and meet with the nominee as a group. Subcommittees will abide by Equal Opportunity rules. Please consult with Human Resources if you have any questions about these rules.
The subcommittee should not make personal contact with the external referees. The NCAR Director will make such contacts in response to requests.
The subcommittee should not make a formal recommendation on the appointment.
Subcommittee Attendance at the Second Meeting
Subcommittee members are invited to attend during discussion of their nominee's case at the second meeting to answer questions or provide clarification.
Disposition of Materials/Confidentiality
The reports of the investigative subcommittees are to be strictly confidential and are to be returned at the end of the process with all the other ARG materials. |
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Second Meeting
The following activities are required at the second meeting of the annual Appointments Review process and are governed by the following rules. The second meeting is usually held in May.
Candidates for appointment to either Scientist III or Senior Scientist are considered as a group. Should the number of candidates for both appointments be large enough to take more than one day to consider, all the candidates in one category are considered and balloted on the same day. The remaining category of candidates is considered and balloted on at the next day's meeting.
Rules of Attendance
Membership is comprised of Division Directors and Senior Scientists. ARG members must make every attempt to attend all meetings. Subcommittee members who are not ARG members are invited to attend during discussion of their nominee's case at the second meeting to answer questions or provide clarification.
Definition of Quorum
A quorum consists of three-quarters (3/4) of all voting members. A quorum is required to proceed with the deliberations and cast ballots.
Approval of Minutes
Minutes of the first meeting, previously distributed, are reviewed and approved.
Presentation of the Report of the Investigative Subcommittee
The chair of each investigative subcommittee gives a brief summary of the report on the candidate. Members may ask for specific clarification or amplification of points in the report. After this discussion, any non-ARG members of the investigative subcommittee who are present are excused.
General Discussion of the Candidate
At this time, the Members enter into a general discussion of the merits of the nomination, considering all materials presented to date.
Secret Balloting
The ARG votes on each nomination by secret ballot and makes a recommendation to the Director of NCAR. Favorable votes by two-thirds of those present are required to support a recommendation for appointment.
ARG members are encouraged to write in the ballot the reasons for their recommendation. In the case of a negative vote such written comments are mandatory. The comments are transcribed to preserve anonymity and communicated to the candidate regardless of whether the recommendation of the ARG as a whole is positive or negative.
No abstentions are allowed on the ballots for appointments.
In the event that a conflict of interest would prevent an ARG member from voting on a particular candidate, the ARG member can state so in advance of the first meeting of the ARG cycle and be excused from that cycle by the Director of NCAR with the advice and consultation of the ARG chair. The appropriate Division Director will make a replacement for the duration of the ARG cycle.
Notification of Results
Candidates to the position of Scientist III who are recommended for appointment by the ARG may be appointed by the Director of NCAR by letter. Letters of appointment will include the effective date of the appointment and the salary for the first year.
Candidates to the position of Senior Scientist who are recommended for appointment by the ARG may be appointed by the Director of NCAR with authorization by the UCAR Board of Trustees. These appointments are reviewed by the Personnel Committee at the Summer meeting. Letters of appointment from the Director of NCAR are sent immediately after this meeting, and will include the effective date of the appointment and the salary for the first year.
Candidates who are not recommended for appointment will be informed by their Division Director. Additional communication from both the Director of NCAR and the ARG Chair on the specifics of the ARG discussions and recommendations for future actions will be made on an individual basis.
Record of Meeting
Detailed notes on the discussions are taken by the Recording Secretary, but official minutes do not contain subjective description unless such discussion leads directly to a specific action by the ARG. The resutls of the secret ballot are not included in the minutes.
Disposition of Materials/Confidentiality
Materials from the second meeting are to be returned to the Recording Secretary for proper disposal. One copy (original) of all materials for each candidate are kept in permanent, closed Archive at NCAR.
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