Doherty Research Staff Bylaws
General principles
The research staff of the Lamont-Doherty Earth Observatory includes Officers of Research in three University-wide ranks: Associate Research Scientist, Research Scientist and Senior Research Scientist. In each rank a scientist may qualify to receive salary support from the Observatory's endowments, in which case the titles Doherty Associate Research Scientist, Doherty Research Scientist and Doherty Senior Research Scientist apply to designate that the support comes from endowment sources. Additionally, scientists who are Doherty Senior Research Scientists are eligible for appointment as Doherty Senior Scholars, the highest distinction available in the research staff at the Observatory. Other named research positions supported by specific endowments currently exist (e.g., the Langseth-PGI Senior Scientist, and PGI-Doherty Junior Scientist), and others can be added.
The Doherty Junior Staff of the Observatory comprises Doherty Associate Research Scientists (or equivalent named Associate Research Scientists) plus untenured full-time Assistant and Associate Professors in the Department of Earth & Environmental Sciences whose research base is at Lamont-Doherty.
The Doherty Senior Staff of the Observatory comprises Doherty Research Scientists, Doherty Senior Research Scientists and Doherty Senior Scholars (or equivalent named position associated with an endowment provided to the Observatory) plus full-time tenured Associate and Full Professors in the Department of Earth & Environmental Sciences whose research base is at Lamont-Doherty.
The Doherty Senior Staff and the Doherty Junior Staff together comprise the Doherty Research Staff of the Observatory. The Doherty Research Staff forms the core research staff of the Observatory.
On occasion, a tenured full-time professor at Columbia University (including Barnard College and Teachers College), who maintains a research presence at Lamont-Doherty but whose teaching affiliation is with a department other than DEES, may be considered for membership in the Doherty Senior Staff.
Scientists whose titles do not carry a Doherty or similar modifier will normally be those who are associated with major multi-year projects at Lamont or an Earth Institute unit located at Lamont, and receive sustained support through those projects & grant or contract funding. In the latter case, they may use titles such as IRI Research Scientist where the modifier designates the project. Scientists appointed to research positions without Doherty (or equivalent) titles can request transfer to Doherty positions or, in some special cases, apply for a Doherty title supported by sources other than the Observatory's endowments. To do so they are evaluated by the same process of promotion into the appropriate position as described herein. Those scientists who are not members of the Doherty Research Staff do not have voting rights with regard to appointments and promotions of the Doherty staff as set out below, but may participate in the governance of the Observatory through membership on standing and ad hoc committees, and in other ways.
Doherty Associate Research Scientists (DARS's), Doherty Research Scientists (DRS's), Doherty Senior Research Scientists (DSRS's), and Doherty Senior Scholars (DSS's) are provided a fixed amount of salary insurance, increasing as the scientists are promoted to higher levels of the staff. The Observatory does not normally provide support for non-salary research expenditures, which are secured by scientists through government contracts and grants or other external means. For the Observatory to function as a world class research institution it must maintain an aggressive posture in external research support. The salary insurance plan which supports the Doherty positions is designed to allow Observatory scientists to compete effectively for external grant support. All members of the Doherty research staff are expected to raise from external sources salary and other income sufficient to fully support their research activities. At the same time, it is recognized that some areas of research will often be better supported than others, and it is possible for a scientist whose work is excellent and highly regarded both internally and externally to experience a shortfall in support. In addition, it is recognized that, during a successful research career, scientists might want to change the direction of their research. This can be very difficult to achieve without the ability to invest unfunded time to develop ideas and expertise in new areas. The salary plan recognizes these variables and represents a scheme which, taken as a whole, may be viewed as a group salary insurance apparatus in which those scientists performing well in fields where funding is plentiful are rewarded for their efforts, while contributing to the support of colleagues in fields that are important to the Observatory but may not be well funded for some period of time.
Scientists supported under the Doherty plan described herein are expected to participate in service activities for the Observatory, including membership on national or international advisory bodies, committees in the Observatory's governance structure or ad-hoc committees, or groups developing proposals for major centers or new activities, without further salary compensation.
Described below are the promotion and appointment processes that apply to all Doherty scientists appointed within Lamont Divisions and Program areas. They may also apply to scientists in Earth Institute units under special circumstances. Appointment and promotion procedures will be conducted by the Promotions and Careers Subcommittee of the Executive Committee (see Governance) in association with the Executive Committee and the Observatory Directorate.
Faculty Membership on Doherty Staff
Eligibility
All full-time faculty in the Department of Earth & Environmental Sciences who base their research at Lamont-Doherty will be automatically granted membership in the Doherty Junior Staff or Doherty Senior Staff, depending on their tenure status within DEES (see general principles, above).
A tenured professor at Columbia University (including Barnard College or Teachers College), who maintains a research presence at Lamont-Doherty but whose teaching affiliation is with a department other than DEES, may be considered for membership in the Doherty Senior Staff. A tenured professor who holds a joint appointment between DEES and another department is also eligible for consideration under this procedure.
Criteria
The proposed individual will contribute in substantial ways, over a sustained period of time, to the achievement of the Observatory's mission.
Procedure
Consideration of a non-DEES Columbia tenured professor for inclusion in the Doherty Senior Staff will begin with nomination by a member of the Doherty Senior Staff. A dossier will be prepared consisting of a current CV, sample publications, a letter from the candidate stating plans and aspirations , a seconding letter from another member of the Doherty Senior Staff, and a supporting letter from the appropriate Associate Director. The letters should emphasize the advantages to the Observatory of making this appointment.
The dossier will be forwarded to the Director, who will offer the case for vote by mail ballot of the Doherty Senior Staff. The vote will be considered as a recommendation in favor of the appointment if two thirds of those voting yes or no vote yes, and the affirmative votes constitute a majority of those eligible to vote. Informed by the Senior Staff vote, the Director will make a final decision on the appointment.
Each appointment of a non-DEES Columbia tenured professor as a member of the Doherty Senior Staff will be for a term of five years. After four and half years, the appointment will be reviewed by the Observatory Director and the appropriate Associate Director, to ascertain whether the individual is still contributing in substantial ways to the Observatory's mission. There is no limit on number of re-appointments.
Doherty Associate Research Scientist (DARS)
Eligibility
Scientists having completed the Ph.D. degree. Normally follows from a Post-doctoral appointment at Columbia or other institution, but appointment can be made without post-doctoral experience.
Criteria for promotion or appointment
Doherty Associate Research Scientists (DARS) are individuals who, while in the early stages of their career, have successfully established themselves to be independent scientists and demonstrated potential for significant research contributions in the future by having published in peer-reviewed journals, and by having obtained outside research funding.
Term
Appointment is renewed yearly for up to six years with mid-term review in the third year (see below). A DARS may request, from the Director, two separate extensions of the DARS appointment beyond the usual six years, each request for up to one year, due to medical, maternal, or family leave, or other compelling circumstances.
Procedure for appointment or promotion to DARS
Promotion to DARS
Applies to individuals holding post-doctoral appointments at Lamont. Can be initiated at any time during the year. Note that an individual may hold post-doctoral appointments (Postdoctoral Fellow and/or Postdoctoral Research Scientist) at Columbia for a maximum of three years. Thus, promotion procedures should be initiated no later than 2.5 years after the date of original appointment to a Postdoctoral Fellow or Postdoctoral Research Scientist position.
The candidate must be nominated to the Chair of the Promotions and Careers Subcommittee by a member of the Doherty Senior Staff (defined above). The nomination must be accompanied by a curriculum vita and four seconding letters from scientists on the Doherty Junior Staff or Doherty Senior Staff. A seconding letter from a senior staff member in another Earth Institute unit, or tenured faculty member of a different Columbia University Department, may on occasion be appropriate; acceptability of such seconding letters is decided by the Promotions and Careers Committee Chair in consultation with the Director. The Associate Director of the candidate's division, the Observatory Director, and the Co-Chairs of the Promotions and Careers Committee cannot be nominators or seconders. The Promotions and Careers Subcommittee will review the nominations.
If the Subcommittee does not accept the nomination, it may: request additional information and reconsider the nomination when that information is provided; recommend to the candidate and nominator that the promotion be considered at a later date; or for candidates who are approaching their limit of three years in Postdoctoral positions, recommend to the Director that the nomination for promotion to DARS has failed.
If the Subcommittee passes positively on the nomination, the Associate Director of the appropriate Division or head of appropriate Project area compiles a dossier for the Promotions and Careers Subcommittee comprising the curriculum vita and letters from the nominating step plus the following:
a statement of research interests, areas of research development, and other areas of interest such as teaching, public education, or service to the scientific community;
statement of current and pending support from all sources;
at least six letters of support including at least two from outside the Observatory. Names of external reviewers must be agreed upon by the Subcommittee Chair. Letters from within the Observatory submitted as seconding letters during the nomination procedure may be used as letters of support in the full dossier, if they provide substantive insight into the candidate's accomplishment and potential.
The Subcommittee members who are members of the scientific staff review the dossier of successfully nominated candidates. The appropriate Associate Director or Project head providing the dossier may be asked to provide a written or verbal statement in support of the promotion to the Subcommittee chair. The Subcommittee will do one of the following:
Recommend promotion or denial of promotion to the Director who reviews the recommendation with the Executive Committee and makes the decision. Director may request additional information from the Subcommittee.
Request additional information and reconsideration when that information is provided.
Recommend that the promotion be considered at a later date, for candidates who are not approaching their 3-year limit as a Postdoc.
In the case that a promotion to DARS is not successful, the candidate may remain in his/her existing position until the scheduled expiration of eligibility for that position, taking into account Columbia University's three year limit on total eligibility for postdoctoral positions (Postdoctoral Research Scientist and/or Postdoctoral Fellow).
Appointment to DARS
The appointment process begins with an external search for an advertised position. Because a Doherty appointment involves institutional support, an external search for a Doherty Associate Research Scientist may be initiated only with the consent of the Director.
For appointments, the recommendation of the search committee is equivalent to the nomination for internal promotion. Thereafter essentially the same procedure applies for appointment from outside the Observatory as for promotion from within the Observatory. Of the six letters of support in the full dossier, at least two must be from within the Observatory; these may be from members of the search committee. At least three of the letters of support must be from outside the Observatory; these may include letters solicited by the Search Committee. A memo documenting the candidate's funding status may substitute for a formal current and pending support statement in the dossier.
Note that scientists holding an externally-funded Postdoctoral Fellow position, or a term PDRS appointment, must be considered for appointment, rather than for promotion, to DARS, in order to accommodate affirmative action requirements.
Mid-term review
After three years, the Doherty Associate Research Scientist is reviewed for research performance. The DARS midterm review process begins in September, and concludes by November. The cohort to be reviewed extends from scientists who were appointed on July 1 three years earlier (i.e. scientists approximately 3.2 years into their DARS appointment) through scientists who were appointed on July 2 four years earlier (i.e. scientists approximately 4.2 years into their DARS appointment). A delay of up to one year in the timing of the mid-term review may be requested from the Director, due to medical, maternal, or family leave, or other compelling circumstances; such a delay in the timing of the mid-term review will delay the deadline for consideration for promotion to Research Scientist by a like amount.
The goals of the midterm review are: to provide the DARS with feedback about progress in the research career track, to provide the DARS with a chance to reflect upon and advocate his or her ideas and agenda, to open a channel of communication between the Observatory management and the DARS's, to identify people whose capabilities are best suited to a different track, and to identify high-achievers who should be considered for early promotion.
The review is conducted by a committee comprising an advocate, two Associate Directors, and the Observatory Director. An Associate Director who is not from the DARS's division chairs the committee. The candidate is offered the opportunity to suggest Doherty Senior Staff or DEES tenured faculty members to be the advocate, and also to indicate people who would not be desired as the advocate.
In preparation for the review, the DARS should assemble:
a CV with complete publication list
[optional] a letter of support from a close collaborator outside of Lamont-Doherty
reprints or preprints of papers based on work done as an DARS (maximum 4)
statement of past, present and future research interests
statement of any other contributions, past, present, and potential, as applicable: development and implementation of important research initiatives,
development and implementation of important education initiatives;
technical innovation in the pursuit of science;
service to the Observatory and to the scientific community at large
annotated current and pending support statement
The committee reviews the materials prepared by the DARS, and interviews the DARS. At the interview, the DARS presents an overview of past/present/future work, and answers questions from the committee.
The committee produces a written report to the DARS, the Promotions & Careers Committee, and ExCom, comprising:
(1) a statement of the outcome of the review, from among the following three possible outcomes:
(a) Performance is satisfactory and the individual continues in the Doherty Associate Research Scientist position.
(b) Performance is considered exceptional and the individual is offered the opportunity for consideration for early promotion to Doherty Research Scientist.
(c) Performance is considered marginal. The individual is permitted to remain in the Dohery Associate Research Scientist position but is counseled on necessary mid-course corrections.
(d) Performance is considered unsatisfactory and the Doherty appointment is terminated. The individual has up to 12 months to establish a non-Doherty position at the Observatory, or an appointment elsewhere. No further access to institutional support is provided, apart from any accumulation in his/her personal account.
(2) For all candidates who will be remaining at the Observatory, an evaluation of the candidate's standing with respect to each of the Sr. Staff promotion criteria.
(3) For all candidates who will be remaining at the Observatory, concrete suggestions for the remaining time as a DARS.
(4) For all candidates, a clear and thorough description of their strengths and weaknesses.
The report should be drafted by the Review Committee Chair, and reviewed and approved by the other committee members. The report should be given to the DARS and discussed in person by the Director of the Observatory with the Advocate present.
Doherty Research Scientist (DRS)
Eligibility
Those eligible are Doherty Associate Research Scientists and other Associate Research Scientists at Lamont who have been in that position for six years, or scientists from other Earth Institute units or other institutions having at least six years post-Ph.D. experience in independent research. Exceptional individuals can be advanced for promotion or offered for appointment at an earlier time.
Criteria for promotion or appointment
Outstanding contribution to science as evidenced through scholarly publications and the recognition of one's peers. Further factors that will be considered include: development and implementation of important research initiatives, development and implementation of important education initiatives, technical innovation in the pursuit of science, demonstrated ability to generate and maintain funding independently, and service to the Observatory and to the scientific community at large.
Term
Three year rolling tenure (see below under "Re-appointment as DRS".)
Procedure for promotion or appointment to DRS
Promotion to DRS
Candidates will usually be considered for promotion beginning in the fifth year of appointment at the DARS level, or in the seventh year following award of Ph.D.
A DARS may request, from the Director, a delay in consideration for promotion to DRS due to medical, maternal, or family leave, or other compelling circumstances. A DARS who had an approved delay in the timing of his or her mid-term review due to medical, maternal, or family leave, or other compelling circumstances, will have the deadline for consideration for promotion to DRS automatically pushed back by an amount equal to the mid-term review delay. All delays together may not exceed two years. For candidates who have had such a 'stop the clock' delay, both the Senior Staff and the outside reviewers should be informed that there has been an approved stop-the-clock delay and informed that they must consider the candidate's accomplishments according to the same standards as a candidate who had proceeded directly to promotion consideration without delay.
Candidates may request consideration for earlier promotion. Such requests shall be made to the Director who will proceed with early consideration on advice from the Executive Committee and the Promotions and Careers Subcommittee.
The Promotions and Careers Subcommittee Chair is responsible for advising the appropriate divisional Associate Director or Project head, which scientists are eligible for promotion in their area of responsibility. The eligible scientists themselves will also be notified. The process is initiated if the candidate is nominated by a member of the Doherty Senior Staff with the nominating letter accompanied by seconding letters from four members of the Doherty Senior Staff. A seconding letter from a senior staff member in another Earth Institute unit, or tenured faculty member of a different Columbia University Department, may on occasion be appropriate; acceptability of such seconding letters is decided by the Promotions and Careers Subcommittee Chair in consultation with the Director. The Associate Director of the candidate's division, the Observatory Director, and the Co-Chairs of the Promotions and Careers Subcommittee cannot be nominators or seconders. The Subcommittee Chair may request the nomination. Nominations should be received before the end of November of the calendar year prior to which a successful promotion would occur. The Promotions and Careers Subcommittee will review the nomination, and advise the Director whether the candidacy is ready to move on to the request for external letters.
For those successfully nominated, the Director in consultation with the nominator, divisional Associate Director or Project head, and the Promotions and Careers Subcommittee, will then obtain outside letters on the candidate from not less than 10 qualified scientists, who should have a full-time position at a rank equal to or above Research Scientist at their own institution. A packet of materials, prepared by the candidate, will accompany the request for external letters. This packet will contain: a complete CV, a complete list of publications, up to three reprints, a statement of research interests and accomplishments, a statement of current and pending support from all sources, and an optional statement of other professional contributions (including development and implementation of important research initiatives, development and implementation of important education initiatives, technical innovation in the pursuit of science, and service to the scientific community). During the interval while external letters are being gathered, the candidate shall give a seminar on his or her research. The seminar shall be announced publicly to the Lamont community, and the Doherty Senior Staff, will be notified in confidence that this is a promotion seminar.
Following receipt of the external letters, the Doherty Senior Staff, will be invited to comment in writing on the suitability of the candidate for promotion. These written comments will become part of the dossier. The Promotions and Careers Subcommittee will review the external letters and internal comments and the Subcommittee Chair will advise the Director if the Subcommittee considers that a case has been made for continuing the promotion process.
If a negative recommendation is made and the Director in consultation with the Executive Committee endorses that recommendation, the promotion process is discontinued. If the candidate is being considered for promotion having reached the time limit of the DARS appointment, then the promotion is considered to have failed. The individual will have 12 months to establish a new position during which time he or she will have no access to institutional support apart from any accumulation in their individual incentive account. If the candidate is being considered for early promotion then a negative decision at this point causes the promotion process to be terminated without influencing the candidate's opportunity for promotion in the future. In either case the Director will advise the candidate of the outcome and outline in writing the specific issues that lead to the discontinuation of the process.
If the recommendation is positive and endorsed by the Director and Executive Committee, the Associate Director in the candidate's division presents the case for forming an ad-hoc committee to make a recommendation on promotion, to a staff meeting attended by the Doherty Senior Staff. A secret ballot vote is taken during the meeting, which is considered a straw poll expressing the sentiment of those in attendance. A mail ballot is taken following the meeting. Those eligible to vote are all members of the Doherty Senior Staff. The vote carries if two thirds of those voting yes or no on the mail ballot vote yes, and the affirmative votes constitute a majority of those eligible to vote.
If an ad-hoc committee is formed, it will comprise a Chair plus three members of the Doherty Senior Staff a Columbia University faculty member from a related area, and an external member, not to be chosen from among those who contributed letters. The recommendation of the ad-hoc committee will be given to the Director. The Director forwards the candidate's dossier, the recommendation of the ad hoc committee, the vote of the Senior Staff, and his/her own recommendation to the Provost of the University, who makes the final decision on the appointment. If the entire process is successful, the appointment is made effective July 1st.
If the candidate is currently a Doherty Associate Research Scientist, a negative decision on promotion causes the candidate to leave the Doherty staff of the Observatory. The candidate will have 12 months to establish a new position during which time he or she has no access to institutional support apart from any accumulation in his or her individual incentive account. If the candidate is not currently a DARS, he or she may remain in his or her current position.
In exceptional cases a candidate for promotion to Doherty Research Scientist may be considered for early promotion to the position of Doherty Senior Research Scientist (see below) with the conditions appropriate for that appointment.
Appointment as DRS
The appointment process begins with an external search for an advertised position. Because a Doherty appointment involves institutional support, an external search for a Doherty Research Scientist may be initiated only with the consent of the Director.
For appointments, the recommendation of the search committee is equivalent to the nomination/seconding step for internal promotion. Essentially the same procedure applies for appointment as for promotion thereafter. External letters obtained by the search committee may be carried over and counted among the ten external letters in the dossier. A memo documenting the candidate's funding status and history may substitute for a formal current and pending support statement in the dossier.
In the event that the candidate is not appointed, he or she cannot be offered a different Doherty position at the Observatory.
Re-appointment as DRS
The Doherty Research Scientist position carries a three-year rolling tenure. Re-appointment is made on a yearly basis, following annual review for merit increase. Upon reappointment, the Doherty Research Scientist will normally be provided with a guarantee of two further yearly re-appointments, accompanied by annual review for merit increase. There is no upper limit on the number of reappointments as DRS.
A more extensive internal review takes place every three years. Every third year, the cognizant Associate Director will provide a written performance evaluation, taking into account the two preceding annual reviews and other appropriate materials, and will convey this evaluation to the Director. If the Director considers that the candidate is performing adequately, he or she will be informed and re-appointed.
If the Director feels that the individual may no longer be meeting the criteria by which s/he was promoted to DRS, the case will be brought before the Executive Committee for further consideration. ExCom may request additional information for its own review. ExCom may recommend continuation of the rolling tenure, or may recommend a full review with external input. For such a review, up to ten letters will be solicited by the Director from external reviewers and provided along with a full dossier to an ad-hoc committee constituted in the same way as the ad-hoc committee for promotion, who will recommend to the Director if rolling tenure should be discontinued. If the recommendation is to discontinue rolling tenure, the individual will be guaranteed two further annual re-appointments as DRS, with access to the DRS salary support, after which he or she must move to a non-Doherty position or leave the Observatory. The discontinuation of a Doherty appointment can only be done following a full review with external input, as described above.
Doherty Senior Research Scientist (DSRS)
Eligibility
Eligible candidates are normally Doherty Research Scientists or equivalent named Research Scientists who have held that position for at least three years. Scientists from Columbia or other institutions having more than six years post-Ph.D. experience in independent research are eligible. A DRS may request consideration for early promotion (prior to the third year of appointment as DRS).
Criteria for promotion or appointment
Demonstrated performance and growth in research scholarship and related activities at the standards consistent with appointment as Doherty Research Scientist, together with the demonstrated development of leadership qualities.
Term
Five year rolling tenure (see below under 'Re-appointment as DSRS').
Procedure for appointment or promotion to DSRS
Promotion to DSRS
The Promotion and Careers Subcommittee Chair is responsible for determining which scientists are eligible for promotion according to the criteria above. In October of each year, the Associate Directors shall canvass appropriate Doherty Senior Research Scientists, Doherty Senior Scholars and tenured full professor on the Doherty Senior Staff in the research area of each eligible scientist to assess the level of support for a nomination and promotion. The promotion process is initiated if the candidate is nominated by a Doherty Senior Research, Scientist, Doherty Senior Scholar or tenured full professor on the Doherty Senior Staff. The nominating letter must be accompanied by four seconding letters from scientists in the above-mentioned senior ranks. A seconding letter from a senior staff member in another Earth Institute unit, or tenured faculty member of a different Columbia University Department, may on occasion be appropriate; acceptability of such seconding letters is decided by the Promotions and Careers Subcommittee Chair in consultation with the Director. The Associate Director of the candidate's division, the Observatory Director, and the Co-Chairs of the Promotions and Careers Subcommittee cannot be nominators or seconders. Eligible scientists themselves will be notified that a nomination has been received, and may decline to be considered for promotion at this time. The Promotions and Careers Subcommittee will monitor the nomination process to ensure that well-qualified candidates are not being overlooked, and the Subcommittee Chair or the Associate Director may request the nomination.
The Division Associate Director, Project head or equivalent has the responsibility of preparing the dossier on the candidate. The dossier should document the candidate's development of leadership qualities, and should include a curriculum vitae, a statement of research interests, areas of research development, and any other areas of interest such as teaching, or public education, or service to the scientific community, and a statement of current and pending support from all sources. Nominations should be received before the end of December of the year prior to that in which a successful promotion would occur.
For those nominated, the Director, in consultation with the nominator, divisional Associate Director or Project head, and the Promotions and Careers Subcommittee, will then obtain outside letters on the candidate from not less than 6 qualified scientists. The current Doherty Senior Research Scientists, Doherty Senior Scholars and tenured full professors on the Doherty Senior Staff will also be invited to comment in writing on the suitability of the candidate for promotion.
The Promotions and Careers Subcommittee will review these letters and comments and the Chair will advise the Director if the Subcommittee considers that a case has been made for promotion. If the recommendation is positive and endorsed by the Director and Executive Committee, the Associate Director presents the case for promotion to the current Doherty Senior Research Scientists, Doherty Senior Scholars and tenured full professors on the Doherty Senior Staff at a staff meeting. A secret ballot vote is taken during the meeting, which is considered a straw poll expressing the sentiment of those in attendance. A mail ballot is taken following the meeting. The promotion will have succeeded if two thirds of those voting yes or no on the mail ballot vote yes, and the affirmative votes constitute a majority of the Doherty Senior Research Scientists, Doherty Senior Scholars and tenured full professors on the Doherty Senior Staff. The promotion will come into effect on July 1 of that year.
On receiving the recommendation of the Promotions and Careers Subcommittee, and particularly if the recommendation is negative or split, the Director, in consultation with the Executive Committee may request that an ad-hoc committee be formed to consider the decision. The ad-hoc committee will comprise a Chair plus three members of the Doherty Senior Research Staff, a Columbia University faculty member from a related area, and an external member, not to be chosen from among those who contributed letters. If the recommendation of the ad hoc committee is positive, the process continues as though the Promotions & Careers subcommittee recommendation had been positive.
If a negative recommendation is made by the Promotions and Careers Subcommittee or ad hoc committee, and the Director in consultation with the Executive Committee endorses that recommendation, the promotion will have failed. A negative decision on promotion by any of the procedures above causes the candidate to remain in the position of Doherty Research Scientist with three year rolling tenure and salary support appropriate for that position. The candidate may be reconsidered for promotion to DSRS after a period of not less than three years.
Appointment as DSRS
The appointment process begins with an external search for an advertised position. Because a Doherty appointment involves institutional support, an external search for a Doherty Senior Research Scientist may be initiated only with the consent of the Director.
The criteria for appointment as a DSRS are the same as for a promotion to DSRS. For appointments, the recommendation of the search committee is equivalent to the nomination/seconding step for internal promotion. Thereafter, the procedures for appointment to a DSRS from outside the Observatory follow the procedures for appointment to Doherty Research Scientist (i.e. ten external letters, internal comment period open to those holding DSRS appointment or higher or faculty equivalent, presentation at Sr. Staff meeting, mail ballot of Sr. Staff, ad hoc committee, Director, Provost). A memo documenting the candidate's funding status may substitute for a formal current and pending support statement in the dossier.
In the event that the appointment to DSRS does not succeed, the candidate may be eligible for the Doherty Research Scientist position or a non-Doherty position at the Observatory.
Re-appointment as DSRS
The Doherty Senior Research Scientist position carries a five-year rolling tenure. Re-appointment is made on a yearly basis, following annual review for merit increase. Upon reappointment, the Doherty Senior Research Scientist will normally be provided with a guarantee of four further yearly re-appointments, accompanied by annual review for merit increase. There is no upper limit on the number of reappointments as DSRS.
A more extensive internal review takes place every five years. Every fifth year, the cognizant Associate Director will provide a written performance evaluation, taking into account the four preceding annual reviews and other appropriate materials, and will convey this evaluation to the Director. If the Director considers that the candidate is performing adequately, he or she will be informed and re-appointed.
If the Director considers that the individual may no longer be meeting the criteria by which s/he was promoted to DSRS, the case will be brought before the Executive Committee for further consideration. ExCom may request additional information for its own review. ExCom may recommend continuation of the rolling tenure, or may recommend a full review with external input. For such a review, up to ten letters will be solicited by the Director from external reviewers and provided along with a full dossier to an ad-hoc committee constituted in the same way as the ad-hoc committee for promotion, who will recommend to the Director if rolling tenure should be discontinued. If the recommendation is to discontinue rolling tenure, the individual will be guaranteed four further annual re-appointments as DSRS, with access to the DSRS salary support, after which he or she must move to a non-Doherty position or leave the Observatory. The discontinuation of a Doherty appointment can only be done following a full review with external input, as described above.
Doherty Senior Scholars (DSS)
Eligibility
All Doherty Senior Research Scientists and other named Senior Research Scientists at Lamont are eligible. Distinguished Senior Scientists from Columbia and other institutions may be eligible for appointment.
Criteria for promotion or appointment
Senior scientists who have demonstrated the highest levels of both scholarship and scientific leadership, and show promise of continued excellence.
Term
Five year rolling tenure (see below under 'Re-appointment as DSS').
Procedure for appointment or promotion to DSS
Promotion to DSS
Candidates may be considered for promotion at any time during their appointment as Doherty Senior Research Scientist. Candidates may request consideration for promotion. More than one candidate can be considered at any time.
The process is initiated if the candidate is nominated by a Doherty Senior Scholar or tenured full professor on the Doherty Senior Staff, or requests consideration (self-nomination). However nominated, four seconding letters from scientists in the above-mentioned ranks must accompany the nomination. A seconding letter from a senior staff member in another Earth Institute unit, or tenured faculty member of a different Columbia University Department, may on occasion be appropriate; acceptability of such seconding letters is decided by the Promotions and Careers Subcommittee Chair in consultation with the Director. The Associate Director of the candidate's division, the Observatory Director, and the Co-Chairs of the Promotions and Careers Subcommittee cannot be nominators or seconders. The Promotions and Careers Subcommittee Chair may request the nomination. Nominations should be received before the end of January of the year in which a successful promotion would occur.
For those nominated, the Promotions and Careers Subcommittee Chair, in consultation with the nominator and members of the Subcommittee, will review the nominations. The Director will obtain outside letters from not less than 10 qualified scientists. The current Doherty Senior Scholars and tenured full Professors on the Doherty Senior Staff will also be invited to comment in writing on the suitability of the candidates for promotion. The Promotions and Careers Subcommittee Chair will convene a seven-person internal committee selected from the current Doherty Senior Scholars and full Professors on the Doherty Senior Staff to review these letters and advise the Director if they consider that a case has been made for continuing the promotion process. If a negative recommendation is made, and the Director in consultation with the Executive Committee endorses that recommendation, the promotion process will be discontinued, and the unsuccessful nominee promptly informed of the decision. A candidate whose promotion consideration has been discontinued in this way may be re-nominated in following years.
If the recommendation is positive, and endorsed by the Director and the Executive Committee, an ad-hoc committee is formed to make a final recommendation on the promotion. The ad-hoc committee will comprise 3 Doherty Senior Scholars, 2 Columbia University faculty member from related areas, and 2 external members, not to be chosen from among those who contributed letters. The decision of the ad-hoc committee will be given to the Director for approval and, if positive, appointment by July 1st.
A negative decision on promotion causes the candidate to remain in the position of Doherty Senior Research Scientist with five year rolling tenure and the same insurance scheme.
Appointment as DSS
Appointment of a Doherty Senior Scholar is initiated by a search for an advertised position. Resident members of the Observatory research staff are eligible to apply. In this regard the recommendation of the search committee is equivalent to the recommendation resulting from the internal nominating process. The decision to search for a Doherty Senior Scholar requires the following: the Executive Committee, in consultation with the Planning Subcommittee and Promotions and Careers Subcommittee recommends such a search to the Director who will have that recommendation reviewed by a seven-person internal committee selected from the current Doherty Senior Scholars and full Professors on the Doherty Senior Staff. A positive outcome will initiate a search. Such searches will normally be strategic in nature, having the objective of strengthening the Observatory in an emerging area of research or replacing a key individual in an established research area.
Re-appointment as DSS
The Doherty Senior Scholar position carries a five-year rolling tenure. Reappointment is made on a yearly basis, following annual review for merit increase. Upon reappointment, the Doherty Senior Scholar will normally be provided with a guarantee of four further yearly re-appointments, accompanied by annual review for merit increase. There is no upper limit on the number of reappointments as DSS.
A more extensive internal review takes place every five years. The cognizant Associate Director will provide a written performance evaluation, taking into account the four preceding annual reviews and other appropriate materials, and will convey this evaluation to the Director. If the Director considers that the candidate is performing adequately, he or she will be informed and re-appointed.
Associate Research Scientists, Research Scientists and Senior Research Scientists
Scientists who do not hold Doherty titles or equivalent named positions are not provided support through the endowments of the Observatory.
A scientist holding an approved and supported non-Doherty position can apply for the Doherty designation and receive the associated endowment support. To achieve the Doherty designation the scientist must pass the identical review processes described above for appointment to the Doherty position.