Table of Contents

I. Introduction

A. Overview

B. Confidentiality

II. Promotion Review Process

A. Initiating the Process

B. Documentation

C. Decision Making

D. Recusals

III. Summary of Responsibilities

A. Candidate

B. Supervisor

C. Department Head

D. Associate University Librarian

E. Promotion Review Committee

F. Associate University Librarian for Human Resources, Staff Training and Security

G. University Librarian

IV. Documentation

Required Documents

A. Promotion Review Request Form

B. Curriculum Vitae or Resume

C. Candidate's Promotion Statement

D. Department Head's Promotion Statement

E. Annual Performance Appraisals

F. List of Suggested Evaluators

G. Updated Position Description

Recommended Documents

G. Copies of Published Books, Articles, Reviews

H. Copies of In-house Reports

I. Other Relevant Documentation

I. INTRODUCTION

A. Overview

The promotion system in the Yale University Library is based on review by peers, with final decisions rendered by the University Librarian, Law Librarian, or Director of the Yale Center for British Art. In consultation with his/her immediate supervisor, each candidate for promotion prepares a dossier comprised of supporting documentation. Each dossier is reviewed by the Library Promotion Review Committee, comprised of eight librarians from the various ranks in the library system. The Committee makes recommendations to the University Librarian, Law Librarian, or Director of the Yale Center for British Art, who makes the final determination in each case.

Understanding the promotion process is essential for each entering librarian, as he/she could be a participant in the system as a candidate for promotion, a supervisor of candidates for promotion, or as department head or associate university librarian involved in preparing supporting documentation for promotion dossiers or consulting on promotion decisions. As such, it is necessary for each newly appointed librarian, shortly after the start of his/her appointment, to review with his/her supervisor the "Performance and Promotion Criteria for Yale University Librarians," and the procedures explained in this document. It is particularly important for those appointed to the rank of Librarian I to understand how the promotion process affects the first five years of their service in the library.

B. Confidentiality

It is the policy of the Yale University Library to maintain strict confidentiality regarding access to all materials solicited in the promotion review process. Only the members of the Promotion Review Committee, the University Librarian, Law Librarian, or Director of the Yale Center for British Art, and the Associate University Librarians will have access to these materials. Candidates may review all documents in their file except confidential letters of evaluation and the report of the Promotion Review Committee. To encourage evaluators to be candid in their assessment of candidates, this policy statement is included in the letters sent to evaluators. Supporting documentation is returned to the candidate. All other information in the promotion file is retained in Library Human Resources.

II. THE PROMOTION REVIEW PROCESS

A. 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.

B. Documentation

Candidates for promotion are responsible for gathering all documentation (see Section IV below) for their promotion dossiers (except confidential letters of evaluation and copies of Performance Appraisals). Candidates should review the Promotion Review Request Form list of documents to ensure that the dossier is complete. Sign the form and submit it with all supporting documentation to Library Human Resources.

C. 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.

The Promotion Review Committee will prepare a written report to the University Librarian or the Law Librarian providing evaluative judgments regarding each candidate. The University Librarian or the Law Librarian will evaluate the recommendations presented in the Promotion Review Committee reports, and may consult with any individual as appropriate. The final decision regarding each promotion is made by the University Librarian or the Law Librarian. A candidate may not appeal the University Librarian's, Law Librarian's, or Director of the Yale Center for British Art's decision.

D. Recusals

The chair of the Promotion Review Committee, the Human Resources Director, and/or the University Librarian will examine the full list of candidates and committee members to check whether there are any possible conflicts of interest. Committee members who supervise a candidate, work in the same department as a candidate, and/or have a personal relationship with a candidate, should recuse themselves. Exceptions to this must be reviewed with the Human Resources Director and the Promotion Review Committee chair. In addition, any member of the committee who wishes to be excused from reviewing a case, or any candidate who wishes to have a committee member excused from the review of his/her case because of a possible conflict of interest, must make a written request to the Promotion Review Committee chair. The chair and the University Librarian will decide how to respond to the request and will select an alternate, if necessary.

III. SUMMARY OF RESPONSIBILITIES

A. Candidate

As described in "Performance and Promotion Criteria for Yale University Librarians," librarians are expected to "develop professionally, and to make significant contributions to the work of the library and the profession." Librarians under consideration for promotion are responsible for writing their promotion statement, and for gathering and submitting all other documentation (except confidential letters of evaluation) for their promotion review dossiers (see Section IV.)
.
B. Supervisor

A librarian's immediate supervisor is responsible for guiding the individual's growth and
development as a librarian and for providing on-going, specific feedback on performance. In annual written performance reviews, supervisors should address a librarian's performance in all three of the areas described in "Performance and Promotion Criteria for Yale University Librarians." The supervisor will consult with the department head and, as appropriate, with the Associate University Librarian. The supervisor also will provide guidance and support to librarians as they prepare their promotion review dossier.

C. Department Head

The department head plays a critical role in the development of the Yale librarian. In concert with the immediate supervisor, the department head is responsible for taking a direct and active interest in the performance, growth, and development of librarians in his or her department. The department head will write a promotion statement as part of the promotion review process, provide an up to date job description, and will also assist the candidate in preparing a list of suggested evaluators.

The department head will review the promotion statement with the candidate and permit the candidate, if he or she desires, to comment on it. The department head will copy the statement and any comments, date and sign each copy, and have the candidate do the same. The department head will give one copy to the candidate to submit as part of his/her dossier and retain a copy for the library's files.

D. Associate University Librarian

The Associate University Librarian consults with the department head and immediate supervisor as required and is consulted by the University Librarian in all final decisions.

E. Promotion Review Committee

The Promotion Review Committee evaluates the promotion review files of candidates for
promotion, carefully considers each case for promotion, and makes a recommendation for action on each case to the University Librarian, Law Librarian, or Director of the Yale Center for British Art.

F. Associate University Librarian for Human Resources, Staff Training and Security

Associate University Librarian for Human Resources, Staff Training and Security maintains a permanent file of all annual performance appraisals; annually prepares a list of those librarians eligible for promotion to each rank; answers candidates' questions about eligibility for promotion; assists the Promotion Review Committee as required; advises and assists librarians, supervisors, and department heads as appropriate; and provides staff support to the University Librarian as required. The AUL is also responsible for maintaining and providing access to each promotion dossier, including monitoring, verifying, and dating each Promotion Review Request Form to ensure each dossier is complete.

G. University Librarian

The University Librarian (or, in the case of candidates from the Law Library, the Law Librarian) solicits letters of evaluation from those familiar with candidates' work (see List of Suggested Evaluators, Section IV. F.). A candidate's resume, along with "Performance and Promotion Criteria for Yale University Librarians," is sent by the University Librarian to the evaluators. In writing to evaluators, the University Librarian will state that the Library is seeking an objective evaluation and that the evaluation is not meant to serve as a recommendation.

The University Librarian (or, in the case of candidates from the Law Library, the Law Librarian) makes the final decision on all promotion requests upon review of the documentation submitted; receives the recommendations of the department heads and the Promotion Review Committee; consults with other library administrators as appropriate; and notifies the candidate, the department head, the Associate University Librarian and the Promotion Review Committee of the final decision.

IV. DOCUMENTATION

It is essential that each promotion review dossier include all the documents that are relevant to a candidate's review, including any document that the candidate, supervisor, or department head singles out for attention in their statements. Annual performance appraisals will be provided by Library Human Resources and placed in the candidate's dossiers.

Required Documents:

A. Promotion Review Request Form

B. A curriculum vitae or resume for the dossier, as well as multiple copies to be sent to evaluators.

C. Candidate's promotion statement. The promotion statement must be no longer than 3000 words, and should describe the candidate's accomplishments in each of the three general categories described in "Performance and Promotion Criteria for Yale University Librarians." Candidates are encouraged to refer to the specific criteria listed in each category. The statement should address the ways in which the candidate has met the requirements for the rank being sought as well as future professional aspirations. The statement should focus on the period since appointment to present rank, but candidates may include earlier achievements if their inclusion provides a better picture of their development and career accomplishments. Be sure to describe any relevant prior experience to be considered when determining eligibility for early promotion.

Candidates should submit a copy of their promotion statement to their immediate supervisor who will send it to the department head. The department head, in close consultation with the immediate supervisor, will prepare the department head's promotion statement and an up to date job description.

D. Department head's promotion statement. The statement will build on the candidate's statement of promotion and annual performance appraisals and must address all three of the areas described in "Performance and Promotion Criteria for Yale University Librarians." This thorough evaluation of performance shall conclude with a recommendation for a) promoting the candidate, b) delaying the consideration of the candidate, or c) denying the candidate's request for promotion. The statement should be about two pages long.

E. Annual performance appraisals for the period since initial appointment or promotion to current rank, including an early appraisal for the current year. Each appraisal, including the one for the current year, should include the candidate's self-evaluation, the candidate's goals and objectives statement, and the supervisor's response.

F. List of suggested evaluators. Candidates for promotion to the rank of Librarian III or higher, in consultation with their department head, prepare a list of five individuals from whom the University Librarian will solicit a confidential letter of evaluation. The persons listed must be in a position to comment on a candidate's accomplishments in the areas of "Professional Contributions to the Library and University" or "Professional Growth and Contributions." Candidates should submit at least two names for each of the two areas. Include the person's title, institutional affiliation, address, and a brief statement (no more than three sentences) describing this person's special qualifications as an evaluator. Under no circumstances may candidates solicit their own letters of evaluation. However, candidates may contact potential evaluators to let them know that they may be asked to write a letter of evaluation

G. Updated Position Description.

Recommended documents:

Candidates should include any additional documents that will allow the Promotion Review Committee to fully understand and assess their professional performance and achievements. Such documents might include:

G. Copies of published books, articles, reviews (not just the citations). These will be returned to the candidate at the end of the review process. When the candidate submits copies of publications that have been co-authored or co-edited, the candidate should clearly define, for the promotion committee, his or her individual contributions to such works.

H. Copies of in-house reports to which the candidate contributed along with an explanation of the context in which the reports were generated and of their impact on library or University operations.

I. Other relevant documentation (e.g. grant proposals, course syllabi, outlines for
workshops or seminars conducted, printouts or URLs of web sites, electronic publications, etc.). Be certain to include documents that will help the Promotion Review Committee and others understand and assess the importance of your contributions and their impact on the library, university or profession.