Procedures for Appointment and Promotion

       Within each Faculty, the nomination of an officer for appointment or promotion originates in the department, school, institute, or center in which the officer will serve and is submitted to the appropriate dean or executive vice president for review. For centers and institutes that do not report to a dean or executive vice president, this review is performed by the director. All nominations to research appointments are reviewed by the Provost, or a designated representative, before being forwarded to the appropriate appointing authority. This ensures that comparability of standards among the different divisions of the University is maintained. Unless otherwise stated, the Provost has delegated the review and approval of all research appointments in the Faculties of Dental Medicine, Medicine, Nursing, and Public Health, to the Executive Vice President for Health and Biomedical Sciences.

       The selection of officers of research is subject to review by the office of the Vice Provost for Equal Opportunity and Affirmative Action and must follow the policies described in the University’s Affirmative Action Plan and Policies and Rules.


Appointment and Promotion

Associate Research Scientists/Scholars

       Responsibility for the recruitment of an associate research scientist/scholar in a department, school, institute, or center (i.e., unit) rests with the unit head (chair, dean, or director) in which the nominee will serve and may involve a search committee or the principal investigator(s) whose grants will fund the position, and will follow the process outlined in the unit’s Standard Search and Evaluation Procedures (SSEP) for officers of research. The unit head supervises the selection and approves the choice before forwarding the nomination to the appropriate dean or executive vice president who conducts a further review to ensure that the candidate has the proper qualifications and the University’s policies governing affirmative action have been observed.

       Associate research scientists/scholars, who do not exercise supervisory responsibilities, are covered by the Collective Bargaining Agreement between the University and the Columbia Postdoctoral Workers-UAW Local 4100. The contract establishes the minimum salary at which these officers of research must be appointed and sets the minimum salary increase they should receive during the period of the contract. Otherwise, the contract confirms the existing University policies relating to these officers of research.


Research or Senior Research Scientists/Scholars

       The procedures for nominating research scientists/scholars and for promoting associate research scientists/scholars who are already at the University to research scientists/scholars are analogous to those that the various Faculties use in considering an appointment of an associate professor with tenure or a promotion of an assistant professor to the rank of associate professor with tenure. The procedures for nominating senior research scientists/scholars and for promoting research scientists/scholars who are already at the University to senior research scientist/scholars are analogous to those that the various Faculties use in considering an appointment of full professor with tenure or a promotion of an associate professor to the rank of full professor with tenure.

       To nominate a research scientist/scholar, or senior research scientist/scholar the department, school, institute, or center (i.e., unit) evaluates the qualifications of the candidate and formally votes to recommend the appointment to the unit head. The unit head conducts a second review of the proposed appointment, which includes seeking the opinion of an advisory body of faculty and/or officers of research, such as a committee on appointments or an internal ad hoc committee, and soliciting 10 letters of evaluation from established scientists and scholars outside the University who are familiar with the candidate’s field of specialization. Of these 10 letters, at least six must be from those who have not collaborated with the individual. In some fields, the dean may establish a smaller number of referees if justification is provided. The members of the committee on appointments or an internal ad hoc committee should also not have collaborated with the candidate or participated in an earlier review of the candidate. If the outcome of the second review is favorable, the nomination is submitted, with a dossier of supporting materials (curriculum vitae, referee letters) and a letter justifying the appointment to the Provost, or to the Executive Vice President for Health and Biomedical Sciences for appointments at the Irving Medical Center, for approval.


Special Research Scientists/Scholars

       The nomination of retired faculty and officers of research to the rank of special research scientist/scholar is initiated by a letter from the chair, director, or dean explaining the special circumstances that make a continuation of service beyond retirement critical to a funded research project. Appointments in this rank in the Arts and Sciences require the endorsement of the Executive Vice President of Arts and Sciences. Requests to make these appointments are submitted to the Provost, or to the Executive Vice President for Health and Biomedical Sciences for appointments at the Irving Medical Center, for final authorization.


Lamont Research Professors

While Lamont research professors, Lamont associate research professors, and Lamont assistant research professors are officers of research, the terms of their appointments are modeled after those of faculty in an equivalent rank. These officers are appointed for nine months of service. They are subject to a regular process of review for initial appointment, reappointment in the same rank, and promotion. They may remain at the University for no more than eight counted years of appointment without successfully passing a Major Review which is equivalent in rigor to the tenure review for faculty. Their appointments can be terminated only if they receive prior written notice according to the same schedule as faculty. These policies are available in the Lamont Research Professor Handbook.

a) Junior Lamont research professors: Candidates for initial appointments as Lamont assistant research professors are identified through open and widely advertised searches. While most members of the junior staff join the Observatory at an early stage in their scientific career, the Observatory also recruits more established scientists who do not have the credentials to merit immediate appointment to the senior scientific staff. These officers are selected either through full external searches or as targets of opportunity and upon appointment are given the title of Lamont associate research professor.

       Searches for candidates for appointment to the junior staff are conducted by a selection committee appointed by the Director of the Lamont-Doherty Earth Observatory. The Director reviews the recommendations of the committee and, after consultation with the Observatory’s Executive Committee, makes the final decision on an appointment.

       Members of the junior staff are initially appointed for no more than 12 months. Thereafter, the Observatory can, following a suitable review, make a commitment to extend their appointments as members of the junior scientific staff for a period of up to three years which is renewable up to a maximum of eight counted years of appointment. All officers, whether they received 12-month appointments or multi-year appointments, are appointed annually. Officers first appointed as Lamont assistant research professors are normally subject to periodic reviews of increasing rigor in the first, fourth, and sixth years of appointment before receiving a Major Review and consideration for appointment to the Observatory’s senior staff in their seventh year. The procedures used in the review for members of the junior staff are described in the Lamont Research Professor Handbook as are their possible outcomes. The Major Review takes place no later than the seventh counted year for an officer who began as a Lamont assistant research professor or no later than the fourth counted year if they were first appointed as a Lamont associate research professor.

       These reviews can be deferred for up to one year for leaves of absence for research purposes. At the request of the Director of the Observatory, the Provost may also exclude further periods of appointment when the officer takes a leave for medical reasons, to care for a newborn or newly-adopted child, to serve in the military or in public service, or to cope with compelling personal needs.

       If the outcome of the Major Review is positive, the officer is promoted to the Observatory’s senior scientific staff. In the case of a negative decision, officers are normally given 12 months’ notice of nonrenewal. Officers considered for an early promotion to the senior staff may continue to hold appointments as members of the junior staff for the maximum period permitted if the outcome of their Major Review is negative. These individuals may also be reconsidered for promotion to the senior staff in a later year of appointment.

b) Senior Lamont research professors: The senior staff of the Observatory includes Lamont associate research professors, Lamont research professors, including those holding named Lamont research professor appointments, research scientists, and senior research scientists who have passed their Major Reviews. Officers in these ranks are appointed for a term of up to five years, which is renewable, on a rolling basis, but, as noted previously, their appointment paperwork is submitted each year to allow the processing of annual salary increases. The tenured members of the Department of Earth and Environmental Sciences are also members of the Observatory’s senior staff.

       New members of the senior staff are either promoted from the ranks of the Observatory’s junior Lamont research professors or are recruited from outside the University through a full external search. The appointment is contingent upon the candidate successfully passing a Major Review or its equivalent in the case of an appointment resulting from an external search. Appointments to the named Lamont research professor titles also require Trustee approval upon recommendation to the Provost by the Director of the Lamont-Doherty Earth Observatory.

       Promotion to the rank of Lamont research professor follows the procedures described in the Lamont Research Professor Handbook. They involve the solicitation of written evaluations from both scientists at other institutions and members of the Observatory’s senior staff, a review by the Observatory’s Promotions and Career Subcommittee, and if its recommendations are positive, a further evaluation by the Observatory’s Executive Committee. The final step consists of a vote by the Lamont research professors and tenured faculty professors on the senior staff. If 2/3 of those voting favor the nomination, the affirmative votes constitute a majority of all eligible voters and if the Director accepts the positive recommendation, they forward the proposed promotion to the Provost for a final decision.

       All ranks of Lamont research professors receive an annual performance review. The ongoing performance of junior staff is also evaluated through the promotion and review process as described in the Lamont Research Professor Handbook. The handbook also describes how performance issues are handled for senior staff.

       Postdoctoral research scientists/scholars are most frequently selected by individual principal investigators and their selection needs not follow the University’s Affirmative Action Plan. Those departments that want to promote postdoctoral research scientists/scholars to associate research scientists/scholars should follow the affirmative action guidelines described by the Office of the Vice Provost for Equal Opportunity and Affirmative Action. Postdoctoral research, clinical, and residency fellows are chosen through an open, competitive process and a comparative evaluation of the qualifications of those who apply. The actual selection may also be made by an external granting agency, subject to confirmation by the University.

       The appointment of all postdoctoral researchers is subject to the review of the chair, dean, or director of the unit in which they will work and requires the approval of the appropriate executive vice president and Provost. In the Columbia University Irving Medical Center the Provost has delegated this responsibility to the Executive Vice President for Health and Biomedical Sciences. These final reviews ensure that the candidates meet the minimum qualifications and are compensated according to approved salary guidelines.

       Individuals being appointed as postdoctoral officers of research should have received their degree before their appointment starts or should provide confirmation from a central office at the institution granting the degree (e.g., the Registrar or the dean of the school from which the individual is graduating), not by the individual’s sponsor or the chair of the department in which the individual earned the degree, that all the requirements for the degree have been fulfilled and that the degree will be awarded on a specific date. No one can start an appointment in the postdoctoral rank without the submission of such documentation.

       Postdoctoral research scientists/scholars and postdoctoral research fellows, except those who receive their stipends or all of their salary directly from an external agency, are covered by the Collective Bargaining Agreement between the University and the Columbia Postdoctoral Workers-UAW Local 4100. The contract establishes the minimum salary at which these officers of research must be appointed and sets the minimum salary increase they should receive during the period of the contract. Otherwise, the contract confirms the existing University policies relating to these officers of research.

       Postdoctoral research officers who have been appointed for five years and require additional periods of appointment should be promoted to the rank of associate research scientist/scholar in accordance with the University’s affirmative action policies. In those cases, affirmative action clearance will be required for promotion. A search must be conducted and completed and clearance obtained before the end of the postdoctoral appointment.

       Additional information for postdoctoral research scientists may be obtained from the Postdoctoral Officers of Research Handbook. The Office of Postdoctoral Affairs is also available to support and assist postdoctoral officers in their professional training and development and provides them with guidance and resources specific to their positions.

       As staff officers perform diverse functions and have varying skills and educational qualifications, it is necessary to ensure that there is comparability in their responsibilities as well as in the standards used in their appointment. This is achieved through a multi-step process in which the definition of the position is reviewed independently of the evaluation of the proposed appointee.

       The unit (department, school, institute, or center) must first complete a questionnaire, obtained from the Office of the Provost or the CUIMC Office of Faculty Affairs, where the duties and requirements of the position are to be described. Note that the position description should not be tailored to a specific person and should not be revised each time an incumbent is replaced. The questionnaire is reviewed by the appropriate dean or executive vice president and forwarded to the Associate Provost for Academic Appointments (or at the Irving Medical Center, the Assistant Vice President for Academic Appointments) for a further evaluation of the job responsibilities and the proposed salary.

       Once a position has been approved, the unit may conduct its search following the process described in their Standard Search and Evaluation Procedures. The Vice Provost for Equal Opportunity and Affirmative Action will grant waivers in special situations. Typically, a principal investigator selects the staff officers working on their research projects. However, the responsibility for establishing the standards of appointment and for reviewing the qualifications of nominees rests with the unit head and is subject to the approval of the appropriate dean or executive vice president. The review at the level of the Office of the Provost or of the Executive Vice President (for Irving Medical Center appointments) ensures that the minimum qualifications for the position and the requirements of affirmative action have been met.

       Offers of positions as officers of research are made in writing prior to the start of the appointment. The offer letter must:

  • State the officer’s title, length of appointment, compensation, and responsibilities.
  • State that the appointment is contingent upon work eligibility, satisfactory performance, and the availability of funding.

Templates can be obtained from the Office of the Vice Provost for Faculty Affairs for Morningside departments and for Morningside and Manhattanville schools and from the CUIMC Office of Faculty Affairs for the Irving Medical Center departments and schools.

       Substantial changes in the terms of the appointment of an officer of research should be communicated in writing after those changes have been approved by the appropriate chair, director, dean, or executive vice president. Such changes should be communicated in a new letter that is clearly identified as a revision of the original offer letter that the officer of research received.

       Offer letters and revised offer letters for officers of research should be countersigned, dated, and returned to the principal investigator, department, institute, or center prior to the start of the appointment or revised appointment.

Updated November 10, 2022