ARG Overview

LINKS:
ECSA ARG Meeting Notes,
PowerPoint Presentation (2008).

ARG Tools by Role

ARG: The 2010 Scientific and Research Engineer Appointments Review Process

Table of Contents

I. Charge to the Committee from the NCAR Director
II. ARG Overview
III. UCAR Appointments Policy
IV. Roles and Responsibilities

A. ARG Universal Roles & Responsibilities
B. Voting Members & Voting Members Selection
C. Ex-Officio/Non-Voting Members
D. Chair
E. Vice Chair/Chair-Elect
F. NCAR Director
G. ARG Administrator
H. Investigative Subcommittee Members
I. Investigative Subcommittee Resource Person

V. Calendar

A. 2010
B. 2009

VI. Procedures

A. ARG Meeting Procedures

VII. ARG Archive

Charge to the Committee from the NCAR Director (top)

The NCAR Director charges the Appointments Review Group (ARG) with conducting a review of level III and senior level scientific and research engineering candidates for promotion. Using a consistently applied, rigorous review of the individual accomplishments of the candidates within NCAR policy and procedures, the ARG makes recommendations for promotion to the NCAR Director.

ARG Overview (top)

The scientific and research engineering 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 and related sciences.

The ARG is a committee of Senior Scientists and Senior Research Engineers charged by the NCAR Director to review nominations of level III and senior level ladder-track scientists and research engineers and make recommendations to the NCAR Director. ARG membership is a three year term. The Chair and Vice Chair/Chair-Elect are elected by the ARG; each position is a one year term.

The ARG receives the nomination materials from the Lab/Observatory Directors and meets in January to conduct the initial review, create list of referees and an Investigative Sub-Committee for each candidate. The NCAR Director requests letters of reference from the referees. The Investigative Subcommittees investigate in detail the qualifications, references and work of the candidate throughout the spring.

The ARG meets in May to review the references, hear the reports of the Investigative Subcommittees, evaluate the nominations, vote and make recommendations to the NCAR Director. The NCAR Director makes level III appointments after the meeting, and senior level appointments with the authorization of the Board after the UCAR Board of Trustees meeting in May.

UCAR Appointments Policy (top)

UCAR Policy 6-5

ARG Roles & Responsibilities (top)

Universal ARG Roles & Responsibilities

All ARG Members, ARG Investigative Subcommittee Members and Resource persons:

Equal Employment Opportunity Rules and Policies - Shall abide by Equal Employment Opportunity rules and policies. Please consult with Human Resources if you have any questions about these rules.
Confidentiality - Shall keep all the reports of the investigative subcommittees, nomination materials, reference letters, and proceedings of the ARG confidential. All materials are to be kept confidential and hardcopies returned to the ARG Administrator at the end of the process.
Conflict of Interest - Shall disclose any conflict of interest the NCAR Director and ARG Chair prior to the commencement of ARG activities. A conflict interest may exist or appear to exist whenever an ARG or Investigative Subcommittee member has an interest, direct or indirect, financial, familial, or personal, in any transaction or activity of the ARG. For example, a conflict of interest exists when an ARG or Investigative Subcommittee member is in business with or related to a nominee. That member will be recused from specific ARG activities as required.

ARG Voting Members:

Must be Senior Scientists or Senior Research Engineers.
Division Directors are eligible to be voting members (NCAR Executive Committee decision 11/10/09).
Lab/Observatory Directors are not eligible to be voting members.
Elect the Vice Chair/Chair-Elect from the current, eligible and voting ARG membership prior to the beginning of the annual ARG cycle.
Shall attend both ARG meetings, participate in review and discussion, may make or second motions and must vote "in favor" or "opposed" on all motions for which they are eligible.
Failure to attend an ARG meeting shall result in the ineligibility to vote during the remainder of that years ARG cycle.
Review the nominations for promotion to level III and senior level and make appropriate recommendations to the NCAR Director.
Shall serve on an Investigative Subcommittee for a candidate outside of their reporting unit each ARG cycle.
May participate on ad-hoc ARG Guidelines Subcommittees responsible for the review and revision of ARG Guidelines.

Voting Member Selection:

Under the leadership of the ARG Chair - the Chair, Vice Chair/Chair-Elect and NCAR Director work together to set and balance ARG voting member membership with the goal of ensuring appropriate representation of labs and the observatory, scientific expertise and committee membership demographics. The NCAR Director then asks Lab/Observatory Directors to fill any open ARG member positions.
If an ARG Voting Member position is vacated during the annual ARG cycle, a new member will be named by the Chair, Vice Chair/Chair-Elect and NCAR Director at the start of the next years cycle.

ARG Ex Officio- Non-voting Members:

The NCAR Director, NCAR Deputy Director, UCAR Human Resources Director or delegate, NCAR Lab and Observatory Directors, the ASP and ISP Directors, and the Manager, Directorate Operations serve as Ex Officio Non-Voting Members. Substitutes are not permitted.
Attend both ARG meetings and participate in ARG review and discussion.
Lab/Observatory Directors may serve on Investigative Subcommittees of candidates outside their reporting units

Chair:

Serves as the liaison to the ARG members, NCAR Director, Subcommittee Chairs and Lab Directors.
Leads the review and revision of ARG Guidelines and is responsible for ARG Guidelines interpretation.
Leads the collaboration with Vice Chair/Chair-Elect and NCAR Director to set and balance ARG membership with the goal of ensuring appropriate representation of the labs and the observatory, scientific expertise and committee membership demographics.
In collaboration with the NCAR Director, develops a draft list of Investigative Subcommittee members for consideration and finalization by the ARG.
Schedules meetings and sets agendas.
Shall determine that a quorum of at least three-quarters of all eligible voting members are present in person or via technology at each meeting before proceeding with the activities of the ARG.
Presides at all meetings, calls the ARG to order, and causes the business of the meeting to proceed in an expedient manner.
Declares the results of all open and ballot votes and when any member shall call for a recorded vote, the count of "in favor" and "opposed" votes shall be entered upon the notes by the ARG Administrator.
Votes with the other members on all questions and participates in discussion and review as a member.
Coordinates with the ARG Administrator and Manager of Directorate Operations to administer the ARG process and deadlines.
Serves a one-year term as Chair.
A Senior Scientist or Senior Research Engineer may serve more than one term as Chair but each term must be separated by three years or more.

Vice Chair/Chair-Elect:

Serves as the Chair's Vice Chair and performs, on the Chairs behalf, such duties as may be delegated by the Chair.
Serves as Chair-Elect.
In the absence of the Chair, the Vice Chair/Chair-Elect presides, and while presiding has all the powers of the Chair. If the Chair and the Vice Chair/Chair-Elect are absent, a Chair is appointed by the members present, who will preside at the meeting, or until the arrival of the Chair or the Vice Chair/Chair-Elect.
Votes with the other members on all questions and participates in discussion and review as a member.
Participates in the review and revision of ARG Guidelines.
Collaborates with Chair and NCAR Director to set and balance ARG membership with the goal of ensuring appropriate representation of the labs and the observatory, scientific expertise and committee membership demographics.
Serves a one year term as Vice Chair/Chair Elect followed by a consecutive one-year term as Chair.
Coordinates with the Chair, ARG Administrator and Manager of Directorate Operations to administer the ARG process and deadlines.
If the Vice Chair/Chair-Elect is vacated prior to the expiration of the term, a special election shall be held.

NCAR Director

Issues the call for nominations.
Under the leadership of the Chair, collaborates together with the Chair and Vice Chair/Chair-Elect to set and balance ARG membership.
Works with Lab Directors to appoint new ARG members after setting the balance with the Chair and Vice Chair/Chair-Elect.
Solicits letters of reference and contacts external referees on the behalf of the ARG.
In collaboration with the Chair, develops a draft list of Investigative Subcommittee members for consideration and finalization by the ARG.
Makes level III appointments after review and recommendation by the ARG.
Makes presentations to the Board of Trustees on Appointment topics.
Makes senior level appointments authorized by the UCAR Board of Trustees after review and recommendation by the ARG.
Issues level III and senior level offer letters.

ARG Administrator:

Ensures compliance with internal and external procedures.
Works closely with the Chair, Vice Chair/Chair-Elect, NCAR Director and Manager, Directorate Operations to ensure the integrity, confidentiality, and accountability of the ARG process.
Works with the Chair and Manager, Directorate Operations to lead the documentation, evaluation, and improvement of the ARG process.
Manages the content of the ARG web pages.
Administers support of ARG meetings, communication and reporting.
Responsible for coordinating agenda and meeting documentation.
Develops and tracks supporting budgets.
Manages the ARG Tools Database and works closely with the NCAR Web Producer to innovate and improve the tool.
Coordinates the orientation of new ARG members and leadership.

Investigative Subcommittee Members:

Must be an NCAR Senior Scientist or Senior Research Engineer.
Investigate in detail the qualifications and work of the candidate. Specific activities may include:
- Reading and discussing the nominee's scientific publications
- Speaking with colleagues at NCAR
- Interviewing the nominee
- Attending 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
Must have the written approval of the NCAR Director and ARG Chair before seeking additional external advice and opinion.
May call upon the Subcommittee Resource Person to identify other NCAR personnel with relevant knowledge of the Candidate's work and clarify scientific issues.
After reviewing the letters of recommendation, may ask the Director of NCAR to seek clarification or explanation from the Candidate's referees.
Shall not make direct contact with the external referees regarding this process.
Shall share a draft of the report with the subcommittee's appointed Resource Person and the Lab Director Nominator for review of factual accuracy before submission to the ARG.
Write a final report that shall include:
- A 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
- Specifically address all of the appointment criteria
Write a final report that shall not include:
- A formal recommendations on the appointment.
Shall upload the final report using the ARG Tools Database.
The Subcommittee Chair shall attend the second ARG meeting in the annual cycle during discussion of their nominee's case to answer questions or provide clarification. Other subcommittee members may also attend.

Investigative Subcommittee Resource Person:

Selected by each candidate's nominating management unit, the resource person is typically an NCAR Senior scientist.
May be called upon by the Investigative Subcommittee to identify other NCAR personnel with relevant knowledge of the candidates work and clarify expert-level scientific or engineering issues.
May be called upon by the ARG Administrator to provide referee contact information.
May be requested to attend the second ARG meeting in the annual cycle during discussion of the Candidate's case to answer questions or provide clarification.

2010 Calendar Summary (top)

Call for Nominations - Memo from the NCAR Director issued December 4
Nominations Due - January 4
First Meeting - January 14-15
Seminars - March 1-31
Reference Letters - Due March 31
Second Meeting - April 29-30
Level III appointments appointed by the NCAR Director - May
Board of Trustees review of senior level nominations - mid-May
Senior level appointments appointed by the NCAR Director - June

Link to ARG 2009 Calendar

ARG membership rosters

ARG Leadership 1998-Present

List of ARG Chairs from 1998 - Present

Calendar Overview

SUMMER, FALL:

NCAR labs and observatory review ladder track scientists and engineers
On request of the Early Career Scientists Assembly or other interested parties, the ARG Chair will give an overview of the ARG process

DECEMBER

Call for ARG Nominations memo from NCAR Director
In response to request from ARG Administrator, Lab/Observatory Directors estimate number of nominees.

JANUARY

Lab/Observatory Directors submit nominations via ARG Tools Database
First ARG Meeting

Collect questions for further investigation
Establish Investigative Subcommittees
Finalize list of referees

FEBRUARY

Initial meetings of Investigative Subcommittees

MARCH

Candidate Seminars
Follow-up meetings of Investigative Subcommittees
Reference Letters Due

APRIL/MAY

Mid-April: Investigative Subcommittee Reports due
April/May: Second ARG Meeting
May: Level III appointments by the NCAR Director
May: Board of Trustees review of Senior nominations

JUNE

Senior appointments by the NCAR Director

Procedures (top)

ARG Meeting Procedures

Confidentiality

The ARG proceedings, including the names of selected referees, nomination materials, letters and reports, are confidential.

Conflicts of Interest

A conflict of interest may exist or appear to exist whenever an ARG or Investigative Subcommittee member has an interest, direct or indirect, financial, familial or personal, in any transaction or activity of the ARG. For example, a conflict of interest exists when an ARG or Investigative Subcommittee member is in business with or related to a nominee. The relationship must be disclosed to the NCAR Director and ARG Chair prior to commencement of committee activities. That member will be recused from specific ARG activities as required.

Withdrawing a Case

While some circumstances may warrant withdrawing a case, the practice is strongly discouraged. To withdraw a case, the nominating Lab/Observatory Director must submit a written request to the NCAR Director for his/her approval of the request. The request will outline the circumstances that warrant the withdrawal.

If the withdrawal of a nomination is approved, this does not preclude a future nomination for that Candidate.

Definition of Quorum

A quorum consists of three-quarters (3/4) of all eligible voting members. A quorum is required to proceed with the activities of the committee.

ARG Meeting Notes

Notes include start and end times of the meeting, and summarize actions taken by the ARG including related motions, outcome of votes, and action items set by the ARG Chair. Notes do not include a transcription or summary of the discussion. Notes are prepared and distributed to ARG Members in advance of the next meeting, and are reviewed and approved the ARG.

ARG Committee 1st Meeting: preliminary review

Approval of ARG Meeting Notes

The Chair requests approval of the meeting notes from the last meeting of the ARG.
Presentation of the Nomination(s)

The nominating Lab/Observatory Director or their delegate presents the nomination. (NEW: Click here to see a sample presentation).
Discussion of the Nomination Case and Identification of Issues

ARG Members discuss the nomination to the extent needed to identify issues for Investigative Subcommittees to consider. At the second ARG meeting, full discussion of the case will occur when complete information is available.
Selection of Referees (NEW: Note changes made at ARG 2009 Retreat)

ARG members make recommendations to augment and finalize the list of referees submitted with the nomination.
- Level III nominations: a total of eight (8) referees are selected. The nominating lab/observatory selects three (3) referees, and proposes 5 7 additional names for the ARG to consider. The ARG may add names to the proposed referee list, and will choose the final five referees, for a total of 8. In the final list, at least three (3) of the referees must be international.
- Senior appointment nominations: a total of ten (10) referees are selected. The nominating lab/observatory selects four (4) referees and proposes 6 8 additional names for the ARG to consider. The ARG may add names to the proposed referee list, and will chose the final 6 referees, for a total of 10. In the final list, at least five (5) of the referees must be international.
Solicitation of Referee Letters

The NCAR Director solicits the letters of reference. Letters are collected and distributed via the ARG Tools Database.
Selecting the Membership of Investigative Subcommittees

The ARG convenes an Investigative Subcommittee for each nomination. Subcommittee members are selected as follows:
- The NCAR Director and ARG Chair will develop a draft subcommittee membership list, including chairs who have ARG experience.
- The ARG is responsible for final selection of subcommittee membership.
- Each Investigative Subcommittee must have three members. All members must be NCAR Senior Scientists, and at least one member must be an ARG member.
- No member may be from the Candidate's ~~nominating entity~~ home division or program.
- Resource Person: One resource person, selected by the Candidate's nominating lab/observatory, is appointed to provide expertise and assistance to the Investigative Subcommittee.

ARG Committee 2nd Meeting: final review

Attendance

A quorum consisting of three-quarters (3/4) of all eligible voting members is required to proceed with the activities of the committee. Subcommittee members who are not ARG members are invited to attend during discussion of their Candidate's case at the second meeting to answer questions or provide clarification.

Approval of Meeting Notes

The Chair requests approval of the meeting notes from the previous ARG meeting.

Presentation of the Investigative Subcommittee Reports

Each Investigative Subcommittee Chair gives a brief summary of the report on the candidate. ARG 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

Members discuss the merits of the nomination, considering all materials presented to date.

Balloting

The ARG votes on each nomination by secret ballot. No abstentions are allowed. The ARG will first consider all level III nominations. A vote will then be conducted. Next, senior level nominations will be considered, followed by a vote.

ARG members are encouraged to write in the ballot the reasons for their recommendation. The comments are transcribed and given to the NCAR Director. These comments may be communicated to the Candidate at the discretion of the NCAR Director.

Ballot Count

The Human Resource Director and the ARG Administrator count the ballots and provide the results to the ARG Chair who announces the vote totals to the ARG. Favorable votes by two-thirds of voting members present are required to support a recommendation for appointment. The ARG conveys these results as a recommendation to the NCAR Director.

Election of the Vice Chair/Chair-Elect

ARG members elect the Vice Chair/Chair-Elect from the current, eligible and voting ARG membership. The Vice Chair/Chair-Elect is elected prior to the beginning of the annual ARG cycle. The Vice Chair/Chair-Elect serves as Chair-Elect during that year's cycle, and then becomes chair during the following year's cycle. Normally, the chair serves a one-year term. The Vice Chair/Chair-Elect is selected from: current ARG members who are in the second year of their term; or members who are in the first year of their term and have previous ARG experience.

Notification of Results

Level III Appointments: After review of the recommendations of the ARG, The NCAR Director shall make offers by letter to the successful level III Candidates within one month of the second ARG meeting. The ARG Administrator coordinates the development of the terms of the offers.

Senior Appointments: After review of the recommendations of the ARG, the NCAR Director shall make a preliminary decision on the promotion of senior level candidates. After presenting the preliminary list to the UCAR Board of Trustees for review and authorization, the NCAR Director then makes offers by letter to the successful senior level candidates within one month of the Board of Trustees meeting. The ARG Administrator coordinates the development of the terms of the offers.

All promotions are effective July 1.

In the event of an unsuccessful nomination, the NCAR Director, ARG Chair, and nominating lab/observatory director shall meet with the candidate to communicate the results and discuss and make recommendation for future steps.

Out-of-Cycle Expedited Review Procedures (NEW) (top)

For new hires of Scientist or Research Engineer level III or IV, the ARG can conduct an expedited review. These cases will follow normal ARG procedures except as called out in the Expedited Review Procedures document (LINK to procedures document to be provided). (NEW: Out-of Cycle Expedited Review was approved at the ARG 2009 Retreat).

Nomination Instructions (top)

The NCAR Directorate accepts nominations from Lab/Observatory Directors via the ARG web application site.

The following materials are to be prepared by the nominating Lab/Observatory for each Candidate. Candidates are encouraged to participate in the development of the nominating materials.

Please refer to the following documents when preparing the nomination:

NCAR Scientific and Research Engineering Appointments Policy
Criteria for Promotion to understand the policy and criteria requirements for promotion to level III and Senior level. (NEW: Research Engineer Table has been added per the September 2009 ARG Retreat)

Nomination Components:

Curriculum Vitae including Publication List (NEW: Click here to see a sample CV outline).
Narrative (NEW: Click here to see a sample narrative outline).
Statement of Expectations
Two (2) Selected Publications, and a brief overview
~~Position Description~~ (Removed per the September 2009 ARG Retreat; the document is now part of Personnel Profile Process)

Candidate Bio
List of Potential Referees: use form to upload information
Candidate Seminar: use the ARG Tools Database to schedule a seminar date (NEW: Click here to see the upload form).

The following table shows nomination components and who they are distributed to:

	ARG	Referee	BOT
CV and publications list	x	x	x
Narrative	x
Statement of Expectations	x
2 selected publications	x	x	x
Overview of the two selected pubs	x
Candidate bio	x	x	x
List of potential referees	x
Candidate seminar	x
Other materials:
Citation Analysis	x		x
Referee Letters	x		x
Investigative Subcommittee Reports	x		x

Curriculum Vitae:

Section 1: Educational information
Include dates of degrees, granting institution, and title of thesis.
Section 2: Work History
Include post-doctoral appointments and fellowships, and other appointments.
Section 3: Scientific/Technical Accomplishments
Include models or instrumentation developed and a brief description.
Section 4: Community Service
Include educational, mentoring, editorial or advisory activities.
Section 5: Honors and Awards
Include fellowships, appointments to professional groups, and prizes.
Section 6: Proposals and Grants
Include proposals and grants, including collaborations with university colleagues.
Section 7: Publications List
Use the American Meteorological Society format to prepare the publications list. "In press", "accepted", "submitted", and "in preparation" should be used as necessary to identify the current status of unpublished work. Publications should be numbered, beginning with the Candidate's earliest work first.
7.1. Thesis
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.
7.2 Refereed Journal Articles
External refereed journal articles, including those accepted and in press.
7.3 Other Refereed Publications
Other external refereed publications, e.g. book chapters, synopses, reports, either published or in press.
7.4. Journal Articles In Preparation or Submitted
Publications submitted or in preparation.
7.5. Internally Refereed Publications
Internally refereed publications such as NCAR Technical Reports and Notes.
7.6. Non-refereed Publications
Non-refereed publications including conference presentations and papers, synopses of meetings, symposia, abstracts, popular press publications.

Narrative

The narrative must address each aspect of the criteria for appointment as outlined in Policy 6-5, Scientific and Research Engineering Appointments. Additional instructions are given below:

Achievements: Describe achievements including individual and collaborative research, development of instruments or software including exploitation of these tools for scientific research.
Research: Describe past areas of research conducted by the Candidate and any development of complex research capabilities.
Leadership and management duties: Describe leadership and management duties, and time spent in each area.
Mentoring: Include a paragraph describing the mentoring activities. In a separate paragraph identify the publications first-authored by a nominee’s student or postdoctoral fellow (identifying each publication by number as labeled in the CV publications list), as these demonstrate the nominee's mentoring skills.

Statement of Expectations

Provided by the Lab/Observatory Director, this statement:

describes the role the Candidate will play at the higher level of appointment;
gives reasons for believing that the Candidate will be successful; and
identifies expected future collaborations.

Two (2) Selected Publications and Overview Statement

Copies of two published papers, selected by the Candidate, with a brief statement on how they relate to the Candidate's accomplishments.

Position Description

Removed per the September 2009 ARG Retreat. This document is now part of the Personnel Profile process. ~~A position description for the potential appointment. Click here to download a template, or for a word document click here.~~

Candidate bio:

One-page biography. Click here for a sample.

List of Potential Referees (NEW: Note changes made at ARG 2009 Retreat)

Lab/Observatory Directors should prepare a list of potential referees as follows:

For Senior Appointment Nominations, include the following:

10 12 potential referees: 5 6 U.S. referees and 5 6 international referees.
A short biography should be included for each referee named (2-3 sentences, including affiliation, ~~and indications~~ description of the referee’s standing in the field ~~such as~~ including awards or memberships in prestigious organizations, and the relationship to the candidate, if any). Please see referee list upload form for information needed on each referee.
The Lab/Observatory Director is permitted to select four (4) referees to be included in the ARG's final list of referees and should indicate these selections in the nominating materials.

For Level III Appointment Nominations, include the following:

8 10 potential referees: 5 7 U.S. referees and 3 international referees.
A short biography should be included for each referee named (2-3 sentences, including affiliation, ~~and indications~~ description of the referee’s standing in the field ~~such as~~ including awards or memberships in prestigious organizations, and the relationship to the candidate, if any). Please see referee list upload form for information needed on each referee.
The Lab/Observatory Director is permitted to select three (3) referees to be included in the ARG's final list of referees and should indicate these selections in the nominating materials.

NEW: Click here to see the upload form.

Candidate Seminar

Describe the Candidate seminar including date, time, location, and title. The seminar should focus on a specific scientific topic (rather than being a general summary of the Candidate’s career, although some historical context may be appropriate), and should be aimed at an audience consisting of NCAR scientists and research engineers from different disciplines. The nominating lab/observatory will advertise the seminar as a part of their seminar program. ARG will advertise the seminar to ARG members and Investigative Subcommittee members, using the ARG web site.