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Promotion and Appointment Procedures for Technical Staff and Departmental Assistants

As with the Scientific Staff and to maintain objectivity, appointments and promotions at all levels on all three career paths are based upon review of a confidential file. The file must provide documentary evidence of qualifications and performance appropriate to the level. The key is documentation; the nature and quantity of such documentation varies with the level of the position and the particular skills and tasks of the individual, but it must provide the means for objective evaluation by referees.  Further, to maintain comparability among the three career paths, promotion files for Senior Departmental Assistants and all Technical Staff positions include a recommendation from the Technical Staff Evaluation Council (TSEC) and are seen or discussed by members of Staff Council.  A streamlined appointment process has been implemented in an effort to reduce the time between selection of a candidate and offering a job to the candidate.  It is detailed below.

All new hires (first-time appointments) to the Technical Staff and as a Senior Departmental Assistant are reviewed after one year.  Should performance during this time be inadequate for the position, reclassification to a different position may occur, or termination of employment is possible. Also, in accordance with established Institution-wide policies, the employment of a Departmental Assistant or a member of the Technical Staff may be terminated for cause, e.g., serious personal misconduct, performance deficiencies, lack of funds to support the research, or lack of work in which the individual was involved. The determination regarding whether there is "cause" for termination is within the exclusive discretion of the Institution. In the event of termination for cause, the termination procedures detailed in the Personnel Practices and Procedures manual will be used.

Because there is no guarantee of continuing employment for Departmental Assistants and members of the Technical Staff, every reasonable effort is made to enhance the broad applicability of their skill base. For this reason, appointments and promotions may be made only into established positions, and to perform functions required by the research programs of the Institution's Scientific and Senior Technical Staff. Promotions are made as a reflection of performance of tasks of increased proficiency and technical breadth, and with increased independence.  The process is designed to maintain comparability in skill level across Departments and Centers to help with career and professional mobility.

Technical Staff Promotion Procedures

For Research Associate I, II and III, Information Systems Associate I, II and III, Engineer I, II, and Research Engineer positions, the file consists of the candidate's curriculum vitae, statement of research and professional interests (normally 1-3 pages), a total of three letters from internal staff members and external reviewers familiar with the candidate's work (at least one must be external), and documentary evidence of the individual's accomplishments, including activities in education for those participating in the Institution's Education Program. Phone references may replace letters in special circumstances. All Technical Staff promotion files must be reviewed by the Technical Staff Evaluation Council (TSEC).  With the written recommendation of TSEC and the Chair of the relevant Science Department (or Administrative Department or Center), the file is forwarded to the Director of Research who may circulate it to the Department Chairs if further review and comment is considered necessary. After receiving comment, the Director of Research acts on all the recommendations received to make a final decision on the file. (See Appendix 2 - Procedure for Review of Promotion Files.)

Files for Senior Engineer, Research Specialist, and Information Systems Specialist are similar in format to those at the more junior level. Objective proof of superior performance is essential. This includes a total of six letters (at least three of which must come from external reviewers) commenting on the candidate's professional skills and competence, the curriculum vitae, a statement of research and professional interests (maximum of three pages), the recommendations of TSEC and the Department Chair, Center Director, or Administrative Manager, and documentation of selected examples of the candidate's work. At this promotion level, the case is presented by the Department Chair, Center Director, or Administrative Manager to Staff Council at a formal meeting. The members vote on a recommendation for the Institution Director's decision.

Senior Research Specialist, Senior Information Systems Specialist, and Principal Engineer are at the top of the Technical Staff ladders. Files contain the curriculum vitae, research and professional interests statement (normally four page maximum), ten letters from senior external and internal reviewers, including a minimum of six from outside the Institution, the recommendations of TSEC and the Department Chair, Center Director, or Administrative Manager, and documentation of selected examples of the candidate's work. The file must provide objective proof, not only of superior performance but, of the candidate's impact on research, information systems or engineering in oceanography. The Department Chair, Center Director, or Administrative Manager presents the case to Staff Council. Based upon the discussions and vote at the Staff Council meeting, the Institution’s President and Director will decide whether or not to proceed with an Ad Hoc Review Committee consisting of 3-5 representatives of the Scientific and Senior Technical community (at least one external to the Institution), none of whom should have written letters for this file, yet all of whom should be familiar with the candidate's work and impact. They meet and discuss the case with the Institution’s President and Director, Director of Research, and Department Chair, Center Director, or Administrative Manager.  The Institution’s President and Director then presents his or her recommendation to the Executive Committee of the Board of Trustees for its decision, which is binding. See Appendix 1a for a summary of requirements for promotion files.

Departmental Assistants Promotion Procedures

From the Laboratory Assistant I through the Departmental Assistant II levels on all three non-exempt ladders, the file for promotion contains the employee's curriculum vitae/resume, three written or phone references from referees familiar with the candidate's work, a written memorandum from the hiring supervisor to the Department Chair (or Administrative Manager or Center Director), and an endorsement from the Chair (via his/her signature on the Authorization to Hire/Promote/Transfer).  The file is reviewed by the Human Resources Director and the Equal Employment Opportunity (EEO) Officer, who act on the recommendation.  Human Resources communicates the decision to the Department.

At the Department Assistant III level, the promotion file contains the same material as above, plus documentary evidence of the candidate's work in the form of papers, programs, or instrument or technique descriptions, and a short written statement of the candidate's career objectives (normally one page).  After review by the Human Resources Director and the EEO Officer, the promotion is acted upon by the Director of Research.

For Senior Departmental Assistant I and II positions, the promotion file contains the candidate's curriculum vitae and statement of professional and career objectives (normally 1-3 pages), a total of three written or phone comments from internal Technical and Scientific Staff members and external reviewers (at least one) familiar with his or her work, and documentary evidence of the candidate's accomplishments.  All Senior Departmental Assistant files are reviewed by TSEC to evaluate technical credentials and help maintain comparability throughout the Institution. With the written recommendation of TSEC and the Chair of the relevant Department (or Administrative Department or Center), the file is forwarded to the Director of Research who may solicit comments from the Department Chairs and EEO Office. The Director of Research then acts on the recommendations or raises the file for discussion at a Staff Council meeting.  See Appendix 2 - Procedure for Review of Promotion Files.

Appointment Process for Technical Staff and Departmental Assistants

To initiate a search for an open position, the hiring supervisor must complete a Personnel Requisition and have it approved by the Department Chair (or Administrative Manager or Center Director) and others as appropriate. It is then forwarded to Human Resources for posting and, if appropriate, for advertising. At minimum the position will be posted on the www and sent to affirmative action outreach agencies and organizations. Paid advertising, however, is optional, and must be discussed with Human Resources as funding for such advertising is from the HR budget. Rarely, and only with the express consent of the Human Resources Director and the EEO Officer, a position may be posted exclusively internally.  This would only be appropriate when extensive knowledge of the Institution is essential to the performance of the job.

Once resumés or CVs arrive, they are forwarded to the hiring supervisor or Chair of the search committee for review. Those clearly not qualified for the position should be returned immediately to HR. The applications of those applicants who appear to be qualified can be retained with the hiring supervisor until a final candidate is identified. Together these two groups comprise the pool of applicants that is reviewed for equal employment opportunity compliance and is the pool of applicants to be described in the file that is reviewed by the EEO Officer. Once the final candidate is identified and has accepted the offer, all files must be returned to the Human Resources Office. HR will notify the unsuccessful applicants who were interviewed that they were not selected.

Departmental Assistants:  The appointment process for Departmental Assistants (Laboratory Assistant I through Departmental Assistant III) other than the senior levels is the same as the promotion process. The file, which is prepared, should include the employment application.

Senior Departmental Assistants and Technical Staff: The appointment process becomes more complex for each step on the technical ladder. The process begins the same for each step, however, with the preparation of an appointment file for review. This file will not be reviewed by the entire TSEC, but must have a memo from the Chair of TSEC stating his/her recommendation regarding the candidate and the appropriateness of the position. The Chair of TSEC is particularly interested in the candidate's qualifications for the position (i.e., is the proposed title the correct one given the candidate's education, experience, recommendations, and documentation?). S/he will work with the supervisor and Department Chair (or Administrative Manager or Center Director) to reach agreement on the appropriate position and will then email his/her final comments. Copies of the email will be sent to the Department/Center Administrator (or Administrative Manager), the hiring supervisor, the Director of Research, the HR Director, and the EEO officer. The Chair of TSEC does not need to see the completed file in order to make his/her recommendation. A preliminary file can be sent while waiting for the completion of the appointment file. This file should contain, at a minimum:

CV/Resumé and completed application.

A copy of the job posting.

Statement from the supervisor about why this candidate was selected.

As many reference letters or interview notes as are available.

It is recommended that the Chair of TSEC be seen as a resource that can be used throughout the hiring process, including writing the job posting and reviewing applications prior to making a final decision.

The complete appointment file for Senior Departmental Assistants and Technical Staff should contain the following:

CV/Resume and completed application.

A copy of the job posting.

Statement from the supervisor about why this candidate was selected. This should include some information about the people who were interviewed. If any were from underrepresented groups (women and minorities), it should include a statement explaining why they were not chosen.

Recommendation from the Chair of TSEC.

Professional references, either written, email, or by telephone. (Telephone references must be carefully recorded and for consistency, follow a prescribed form.)

Personal Research Statement.

Nepotism letter, if applicable.

Other required information/documentation depending upon the level of the position. (See Appendix 1b for a summary of requirements for Appointment files.)

When the appointment file is ready, it is presented to the Department Chair (or Administrative Manager or Center Director) for approval, and a memo from him/her is added to the file. The file is then sent to the next level of approval, depending on the position:

Group 1—Senior Departmental Assistants* and the first 3 levels on the Technical Staff:  The files for these positions do not receive any further review and go directly to Human Resources.

Groups 2 and 3—All Senior Technical Staff**:  Files for these groups must be approved by the Appointments and Promotion Council (Staff Council).  The department must call the Executive Assistant to the Director of Research to set the date that the file will be presented at Staff Council. As the Staff Council meetings are held only once or twice a month and the agenda is usually completed several months in advance, it is a good idea to call for this date as soon as the candidate has been identified.  The department distributes copies of the formal file to the members of Staff Council a minimum of three working days before the meeting.

Group 3—Senior Research Specialists, Senior Information Systems Specialists, and Principal Engineers:  Candidates for these positions must also be reviewed by an Ad hoc committee after the recommendation by Staff Council. This committee is made up of 3-5 senior people (at least one of whom must be from outside the Institution) with knowledge of the candidate's qualifications. The Ad hoc committee will make a recommendation to the President and Director, who will then present his/her recommendation to the Executive Committee of the Board of Trustees for its decision, which is binding.

Finish the Process for all Files:  For all positions, when the appropriate level of approval is obtained, a copy of the complete appointment file and the Authorization To Hire form with salary recommendation and justification are sent to Human Resources (HR).  For positions in Group 1, two copies of this file are needed—one copy is retained in HR and one copy is retained by the Director of Research. The "other documentation" (reprints, engineering drawings, computer code, etc.) need only be included in one of the files. HR will add information to the file about the complete applicant pool and advertising. Salary data will be added with relevant comments to aid the decision process of the Director of Research. The HR Manager will note areas of concern or sign off on the Authorization to Hire.

HR sends the file to the EEO Officer who will review it for Equal Employment Opportunity and Affirmative Action compliance. S/he may call the hiring supervisor if any questions arise. The EEO officer will note areas of concern or sign off on the Authorization to Hire.

The EEO Officer sends the file to the Director of Research who will consider the recommended salary. The Department Chair (or Administrative Manager or Center Director) will be contacted if there is a question about the requested salary. Any special text to be included in the offer letter is to be contained in the file. HR will produce the offer letter, which is then sent to the Director of Research for signature. When signed, it is returned to HR for mailing and distribution. HR will give the hiring supervisor the approved salary figure and s/he may call the applicant with an offer, stating that the formal letter will follow.

All staff who are hired under this procedure must be reviewed after one year in the position. The primary focus of this review will be to assess that the position is correct. Reclassification to a more appropriate position is possible at this time. However, if performance is unsatisfactory, termination of employment procedures should be initiated. The supervisor will prepare a memo that reviews the employee's performance during the first 12 months of employment. S/he will then discuss the memo with the Department Chair (or Administrative Manager or Center Director) and the Chair of TSEC. The results of this meeting and the supervisor's memo will be presented and discussed with the employee by the supervisor. A copy of the memo will be signed by the employee and sent to HR for inclusion in his/her personnel file.