Professional Standards & Promotion Review

Yale University Library

Table of Contents

I. Performance Expectations For Librarians

A. Competence in position responsibilities
B. Professional contributions to the library and the university
C. Professional growth and contributions

II. The Promotion Review System

A. Professional Ranks
Librarian I
Librarian II
Librarian III
Librarian IV
Librarian V

B. Peer Review
C. The Promotion Review Process
Initiation of the Process
Documentation
Decision Making

I. PERFORMANCE EXPECTATIONS FOR LIBRARIANS

Yale University Library enjoys a pre-eminent position among academic and research libraries. Yale librarians have the responsibilities of building, managing, and providing access to this wealth of scholarship. The multiplicity of functions performed and the varied skills and specialties possessed by librarians at Yale reflect the diversity of the library's collections and service obligations. All Yale librarians share a responsibility to provide consistently high quality service.

The success of this common professional endeavor can be enhanced by performance standards for librarians. These standards give rise to a broad range of expectations for the professional staff that provide the framework for promotion and other forms of recognition. Expectations, by their nature, must remain flexible to accommodate the changing nature of the institution and the profession and to create an environment that both challenges and motivates the professional. Among the three general areas of performance-- "Competence in Position Responsibilities," "Professional Contributions to the Library and the University," and "Professional Growth and Contributions"-- the first is the most important in that superlative performance in either of the last two does nothing to compensate for weak performance in the first. Representative criteria, listed here within these three general areas of performance, will be applied in a promotion system. An individual's performance will be evaluated against these three sets of criteria for merit salary increases and promotion. These criteria are neither inclusive nor exclusive, nor are they presented in this document in order of priority. The applicability and relative importance of these criteria to any specific position will vary, depending upon the individual's rank and the nature of his or her responsibilities.

The high standards for service and performance evident in the Yale University Library reflect the overall high standards of Yale University. Librarians, through their commitment to providing the highest quality of service, must develop the necessary skills to uphold these standards of excellence. The Yale University Library seeks individuals with the strongest intellectual abilities; a rigorous undergraduate preparation in any one of a variety of disciplines along with appropriate graduate study; excellent oral and written communication skills; the ability to solve problems creatively and effectively; an intellectual commitment to research librarianship; and the potential to assume increasing responsibility, to develop professionally, and to make significant contributions to the work of the library and the profession. Librarians should have the capacity and desire to develop the skills and level of professional commitment outlined in this document and the potential to fulfill the criteria necessary for promotion to a career rank.

A. COMPETENCE IN POSITION RESPONSIBILITIES

Competence in an individual's assigned area of responsibility is basic to overall professional performance. Librarians at Yale must demonstrate skill in one or more of the following areas:

Developing collections, information resources, and instructional services which serve the academic mission of the University

Ensuring that collections and resources are managed effectively

Providing library users with efficient access to collections and resource

General criteria for judging overall performance include:

Consistently high quality work

Productive output within the framework of the position

Thoroughness in executing any plan or project

Coordination of a variety of responsibilities to accomplish assignments within set deadlines

Improvement of job skills

Organization of personal work priorities within the framework of the mission of the library, department, and unit

Effective oral and written communication skills

Positive and constructive participation in group endeavors and planning processes

Effective working relationships with staff at all ranks

Effective representation of one's unit in appropriate forums

Contributions to the solutions of complex problems

Commitment to getting the job done, making an extra effort whenever necessary

Desire and ability to create or contribute to an environment that stimulates achievement, commitment, and satisfaction for all personnel (for example, through an individual's willingness to assume a mentoring role)

Sound judgment in acquiring and managing library resources, and using them in a cost effective manner for maximum impact

Flexibility in problem solving.

In addition to the foregoing criteria, librarians with supervisory responsibilities will also be judged by the following criteria:

Evidence of supervisory skills in training, motivating, and leading staff

Evidence of good judgment in hiring, directing, and evaluating staff

Clarification of expectations to staff and realistic goal setting

Ability to set priorities, organize, and direct work of staff effectively.

B. PROFESSIONAL CONTRIBUTIONS TO THE LIBRARY AND THE UNIVERSITY

Every librarian should share the vision of the library and play a role in determining and implementing its mission by representing the library in the academic and professional community and contributing to its effective management. Librarians are an integral part of the academic community and function as representatives of both the library and Yale University. Some representative ways in which the individual may assume these responsibilities beyond his or her immediate assigned duties are:

Interpretation of the library's mission, policies and procedures, current programs and activities, to staff and colleagues within the library and within the Yale community in general

Contribution to system-wide library efforts

Personal initiative in identifying research and/or service needs of the library or the Yale community

Personal initiative in taking responsibility for implementing new or enhanced services

Decisiveness and effectiveness in decision-making and in the execution of policy decisions

Active participation in the work of committees and task forces at departmental, library-wide, and University levels

Teaching classes, giving lectures, or consulting in areas of librarianship or other academic disciplines in ways that go beyond the library's established program of bibliographic instruction

Establishing professional ties to faculty and other university professionals through such activities as preparing grant proposals and co-authoring scholarly publications

Providing professional advice to members of the Yale community

C. PROFESSIONAL GROWTH AND CONTRIBUTIONS

Librarians hold a professional position and have privileges and responsibilities commensurate with their academic role. As members of a profession, librarians are expected to keep current with and contribute to the advancement of that profession. A commitment to continuing growth and development is central to the definition of librarianship. Some representative activities relevant to promotion that demonstrate professional growth and contributions are:

Improving job performance by enhancing personal skills and knowledge, particularly through course work that earns degrees or certificates

Participating in professional and scholarly associations; for example, doing committee work, holding office, presenting papers, participating in panel discussions, and organizing programs

Building productive relationships with professional colleagues outside Yale to exchange information and foster creative problem solving within the library, archival, and information services communities.

Teaching workshops, institutes, or seminars sponsored by professional or scholarly organizations

Scholarly publications in librarianship or other relevant academic fields.

II. THE PROMOTION REVIEW SYSTEM

A. PROFESSIONAL RANKS

The Yale University Library has a promotion review system that rewards professional achievements by providing the opportunity for librarians to advance by means of non-managerial/specialist achievements as well as by administrative/managerial achievements.

There are five librarian ranks. The rank at which an initial appointment is made is determined by a combination of position needs and the librarian's experience, skills and professional achievements. In determining the rank related to position needs, the following factors are considered: special skills required for the position; nature and extent of relationships with students, faculty, university administration, library staff, the general public, and others; responsibility for developing and implementing policies, programs, procedures and services; and supervisory or administrative responsibilities.

A librarian may move to a higher rank either by appointment to a different position with greater responsibility or by demonstrating significant professional growth and development at a level that meets criteria for promotion to a higher rank. Every librarian has the opportunity to rise to the highest rank, whether as an administrator, specialist, or some combination of these two functions. To help librarians assess their accomplishments and promote their development, the library conducts an annual program of written goals-based performance evaluations for all professional staff.

LIBRARIAN I

Definition:
This is the beginning professional rank for librarians. It is associated with a limited term of employment, at the end of which the librarian either advances to the next rank or leaves the employment of the Library.
Criteria for Appointment:
A person appointed as Librarian I ordinarily has a Master's degree in Library Science from an American Library Association accredited library school, but has little or no professional experience. In recruiting librarians for appointment to the rank of Librarian I and above, Yale University Library seeks candidates who have the capacity and desire to develop the skills and level of professional commitment outlined in the performance expectations for librarians, described above.
Appointment Length and Evaluations:
A Librarian I is appointed for two years. However, depending on the month of appointment and promotion eligibility, the length of this appointment may actually be somewhat longer than two years. An interim evaluation is customarily made six-months after appointment.
As a matter of course, a librarian will be considered for promotion to the rank of Librarian II when he or she has completed approximately eighteen months of his or her appointment. Library Human Resources will prepare a list each year of those librarians who will be considered for promotion to Librarian II. This action will initiate the review processes described in Section III.B of this document. The librarian is responsible for submitting all documents necessary for the review.
Librarians with previous professional experience or whose level of performance and professional achievement is clearly exceptional may themselves apply or be recommended by their department head for early promotion. Both the librarian and the department head must expressly describe the clearly exceptional performance and professional achievement on which the case for early promotion rests. In special circumstances, the librarian, the department head, or the Associate University Librarian may also request that the University Librarian delay consideration for promotion for one year beyond the customary eighteen months.
If a librarian does not achieve the required level of performance to be promoted, his or her service will be terminated. The librarian will receive six months notification if his or her appointment is not renewed.
Promotion From Librarian I to II:
For promotion to Librarian II, a librarian must: (1) demonstrate competence in all relevant areas of their position responsibilities; (2) show initiative in beginning to fulfill the criteria for professional contribution to the library and the university; and (3) begin to fulfill some of the criteria for professional growth and contribution through professional memberships and attendance at professional meetings and/or continuing education in a subject relevant to his or her job duties.

LIBRARIAN II

Definition:
This rank applies to those librarians who have clearly demonstrated competence in all relevant areas of their position responsibilities and have made a credible beginning in shaping contributions to the library and the profession. It is associated with a limited term of employment, at the end of which the librarian either advances to the next rank or leaves the employment of the Library.
Criteria for Appointment:
A person appointed as Librarian II ordinarily has a Master's degree in Library Science from an American Library Association accredited library school plus two years of professional experience. He or she must have demonstrated the ability to perform professional work effectively.
Appointment Length and Evaluations:
A Librarian II is appointed for three years. As a matter of course, a librarian will be considered for promotion to the rank of Librarian III during Appointment Year 3. Library Human Resources will prepare a list each year of those librarians who will be considered for promotion to Librarian III. This action will initiate the review processes described in Section III.B of this document. The librarian is responsible for submitting all documents necessary for the review.
Librarians with previous professional experience or whose level of performance and professional achievement is clearly exceptional may themselves apply or be recommended by their department head for early promotion. Both the librarian and the department head must expressly describe the clearly exceptional performance and professional achievement on which the case for early promotion rests. In special circumstances, the librarian, the department head, or the Associate University Librarian may also request that the University Librarian delay consideration for promotion for one year beyond the customary third year.
If a librarian does not achieve the required level of performance to be promoted, his or her service will be terminated. The librarian will receive six months notification if his or her appointment is not renewed.
Promotion from Librarian II to III:
To be promoted to Librarian III, the librarian must show evidence of increasing knowledge, understanding, and skill in performing the duties and carrying out the responsibilities of his or her position. The librarian must also have demonstrated an ability to work effectively without supervision, to suggest new methods or procedures, and to foresee problems and suggest means to overcome them. In addition, the librarian must exhibit a high degree of professionalism and self-motivation, as evidenced by substantial professional contributions to the library, the university and the profession. In all cases, the person must be a specialist or a recognized expert in a substantial subject discipline or particular area of librarianship. In some positions, achievements as a specialist will be more important, while in others, managerial achievements will have greater importance.

LIBRARIAN III

Definition:
This rank applies to librarians who have advanced knowledge of a subject discipline or a library specialty of importance to Yale and a substantial record of contribution to the library, the university, and the profession.
Appointment Criteria and Evaluations:
A person appointed as Librarian III ordinarily has a Master's degree in Library Science from an American Library Association accredited library school, plus five to seven years of professional experience. He or she must have demonstrated a high degree of self-motivation either as a Librarian II at Yale or in a comparable position elsewhere. The person will be a specialist in a substantial subject discipline or a particular area of librarianship. In addition, the librarian must exhibit a high degree of professionalism and self-motivation, as evidenced by professional contributions to the library, the university, and the profession.
Librarians who choose to remain at the Librarian III rank are expected to continue to enhance their job performance and maintain reasonable contributions to the library, the university, and the profession.
Promotion from Librarian III to IV:
A Librarian III may initiate proceedings for promotion to Librarian IV in their third year of service in the rank of Librarian III or annually thereafter.
To be promoted to Librarian IV, the librarian must have made exceptional contributions to the library and to the profession. Contributions to the library must include mastery of a subject discipline or library specialty, an increasing scope and range of duties and responsibilities as outlined in section II of the performance expectations document. Contributions to the profession will be manifest in activities such as those outlined in the section "Professional Growth and Contributions" of the Performance Expectations for Librarians.

LIBRARIAN IV

Definition:
This rank applies to librarians who have an exceptional mastery of a major subject discipline or library specialty of importance to Yale. Librarians at the rank of Librarian IV play leadership roles in their primary position responsibilities and often participate in management decisions and responsibilities which affect more than a single department. They must possess a level of expertise which makes them resource persons for other library staff and/or patrons; they may also be recognized experts outside of the university.
Appointment Criteria and Evaluations:
A person appointed as Librarian IV ordinarily has a Master's degree in Library Science from an American Library Association accredited library school plus eight or more years of professional experience. He or she will have performed in an outstanding manner as a Librarian III at Yale or in a comparable position elsewhere, and will have made exceptional contributions to the profession. The person will possess mastery of a substantial subject discipline or of a particular area of librarianship, as evidenced by research and publications, and/or by exceptional contributions to the Yale libraries and to professional organizations. He or she will have shown exceptional evidence of planning ability, leadership, sound judgment, and the ability to develop and evaluate proposals for improving the library's services and procedures.
Librarians who remain at the Librarian IV rank are expected to continue to enhance their job performance and maintain exceptional contributions to the library, the university, and the profession.
Promotion from Librarian IV to V:
A Librarian IV may initiate proceedings for promotion to Librarian V in their fourth year of service in the rank of Librarian IV or at any time thereafter.
To be promoted to Librarian V, the librarian must show evidence of sustained, exceptional accomplishments that have won professional recognition at a national level.

LIBRARIAN V

Definition:
This rank applies to librarians whose mastery of a major subject discipline or library specialty has grown to be long-sustained, deep, and powerful. This degree of mastery will be consistently evident in the quality of their leadership at Yale and in decisively important contributions to the profession, expressed most often in various forms of teaching, publication, and consultation. This mastery will be greatly prized not just at Yale but also throughout the profession. Such regard must be evident in the testimony of the candidates' most distinguished peers and other competent judges, and may include prizes, other professional honors of consequence, and election to high office.
Appointment Criteria and Evaluations:
A person appointed as Librarian V ordinarily has a Master's degree in Library Science from an American Library Association accredited library school and twelve or more years of experience. He or she will have performed in an outstanding manner as a Librarian IV at Yale or in a comparable position elsewhere. Librarians who attain this ultimate rank will have made exceptional contributions to the library and to the profession. They will have won national recognition as experts in their position responsibilities and be acknowledged leaders within their chosen fields. They may also be nationally recognized experts in a subject discipline or a particular area of librarianship that is of value to the library.
Librarians who attain the Librarian V rank are expected to continue to enhance their job performance and maintain nationally recognized contributions to the library, the university, and the profession.

B. PEER REVIEW

The Promotion Review Committee serves the University Librarian and the Law Librarian as an advisory group on promotion decisions for librarians. Its purpose is to review and evaluate documentation on candidates who are being considered for promotion. Upon completion of these tasks the Promotion Review Committee forwards its recommendation to the University Librarian or the Law Librarian. The University Librarian or the Law Librarian makes the final decision on all promotion recommendations.

The Promotion Review Committee shall consist of eight librarians from the Yale University libraries; namely two members from the Librarian V rank, two members from the Librarian IV rank, two members from the Librarian III rank, and two members from the Librarian II rank. A panel of at least three members of the Committee is required to review a case for promotion. If there is a need to add participants to the deliberations, alternates will be selected from librarians who have previously served on the Promotion Review Committee. The University Librarian and the chair of the Promotion Review Committee will select the alternates.

All appointments to the Promotion Review Committee shall be made and announced by the University Librarian early in the annual promotion review process. The University Librarian shall also appoint the committee chairperson. To ensure continuity appointments shall be staggered. Each member shall be appointed for a term of two years.

If a committee member wishes to be excused from reviewing a case, or if a candidate wishes to have a committee member excused from the review of his/her case because of a possible conflict of interest, the committee member or candidate must make a written request to the Promotion Review Committee Chair. The Promotion Review Committee Chair and the University Librarian will decide how to respond to the request and will select an alternate, if appropriate. The University Librarian or the Promotion Review Committee Chair may also identify a possible conflict of interest.

Any committee member considering a candidate for promotion must hold a rank at least equal to that being sought by the candidate (e.g., Librarian IIIs will participate only in reviewing candidates for promotion to Librarian II and Librarian III ranks.

C. THE PROMOTION REVIEW PROCESS

1. Initiating the Process

The process of reviewing all promotions within the library system will take place once a year at a time designated by the University Librarian. Library Human Resources initiates the process for all librarians due to be considered for promotion to the ranks of Librarian II and Librarian III. Department heads may also initiate the process by recommending early promotion to the Librarian II or Librarian III ranks. Individual librarians initiate their own promotion review for the ranks of Librarian IV and Librarian V. The review process can take place only after the requisite time in rank has passed.

2. Documentation

Candidates for promotion are responsible for gathering all documentation (except confidential letters of evaluation) for their promotion dossiers. Candidates should consult the Yale University Library's "Procedural Guidelines for Promotion Review" as a guide to required and recommended documentation. Department heads and supervisors who are required to submit documents concerning a candidate's performance are responsible for addressing all three of the principal criteria for promotion as described above. The candidate submits his or her dossier to the Director of Human Resources when it is complete.

3. Decision Making

The initial step in the review process is the Promotion Review Committee's assessment of each candidate's dossier. The Committee may request additional documentation at any time during its work. Candidates should understand that such requests imply no view by the Committee, either positive or negative, about the outcome of the review. Candidates for promotion do not appear before the Promotion Review Committee.

Each member of the Promotion Review Committee will individually evaluate the candidate's dossier. Members of the Promotion Review Committee will attend committee meetings prepared to present and justify their recommendations. The Promotion Review Committee will prepare a written report to the University Librarian or the Law Librarian providing evaluative judgements regarding each candidate. The deliberations, recommendations and report of the Promotion Review Committee will be strictly confidential.

All of the documentation reviewed by the Promotion Review Committee will be retained as a separate file by Library Human Resources. The candidate may review all documents in the file except for confidential letters of evaluation solicited in the promotion review process or any records of deliberation by the Promotion Review Committee. Promotion review documentation is not retained in individual personnel files.

The University Librarian or the Law Librarian will evaluate the recommendations presented in the Promotion Review Committee reports. The final decision regarding each promotion is made by the University Librarian or the Law Librarian.

The University Librarian and the Law Librarian may consult with any individual as appropriate, prior to making their final decision. Notification of the final decision is also provided to the Promotion Review Committee, the appropriate Associate University Librarian and the department head.

The Promotion Review Committee's reports to the University Librarian or the Law Librarian are recommendations, not decisions. A candidate may not appeal the University Librarian's or Law Librarian's decision.

July 1, 1988

Revised November 10, 1988

Revised January 1, 1994

Revised December 13, 1996

Revised August, 1999