Criteria and Procedures for Appointment and Promotion

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					                     UNIVERSITY OF CONNECTICUT LIBRARIES
                              Revised May 21, 2007

            CRITERIA AND PROCEDURES FOR APPOINTMENT AND
                PROMOTION OF PROFESSIONAL LIBRARIANS
             (Approved By Vice Provost for University Libraries, May 2007)


                                 TABLE OF CONTENTS

I.   Introduction                                                               2
II.  Qualities Desired in Librarians of All Ranks                               2
        A. Professional Competence                                              3
        B. Library, University and Community Service                            3
        C. Scholarly and Professional Activities                                4
        D. Years of Service for All Ranks                                       4
        E. Descriptions of the Ranks                                            5
                 1. Librarian I                                                 5
                 2. Librarian II                                                5
                 3. Librarian III                                               6
                 4. University Assistant Librarian                              6
                 5. University Associate Librarian                              7
III. Procedures Regarding Evaluation for Promotion of Professional Librarians   7
        A. Determining List of Candidates                                       7
        B. Creation and Submission of a Professional Service Record             8
        C. Maintaining the Promotional File                                     8
        D. PSR Training                                                         9
        E. Advisory Council—Procedures                                          9
        F. Library/University Administration—Procedures                         11
                 1. Immediate Supervisor                                        11
                 2. Area Head When Not Immediate Supervisor                     11
                 3. Vice Provost for University Libraries                       12
                 4. University Administration                                   13
        G. Appeals Procedures                                                   13
                 1. Promotional Appeals Panel                                   13
                 2. Administrative Appeal                                       14
        H. Review of the Evaluation Process                                     14
IV. Initial Appointment                                                         14
V. Advisory Council on Evaluation and Promotion                                 15
        A. Purpose                                                              15
        B. Composition                                                          15
        C. Populating the Council                                               16
        D. New Council Members                                                  16
        E. Resignations                                                         16
        F. Internal Functioning                                                 17
VI. Amendments to the Criteria/Procedures and Annual Meeting                    17

Appendix: American Library Association Code of Ethics                           19
I. INTRODUCTION

“The Criteria and Procedures for Appointment and Promotion of Professional Librarians”
 (“The Criteria”) describes standards and methodology for the initial ranking of new
professional-librarian staff members and for the promotion of professional librarians
currently employed by the University Libraries. “The Criteria” includes: a description of
the qualities expected of professional librarians and a summary of attributes of the ranks;
promotional procedures; actions relative to the initial ranking of new librarians; and a
description of the Advisory Council on Evaluation and Promotion (“ACEP”).

A significant part of the promotional process for professional librarians involves
evaluations by peers, colleagues and supervisors. ACEP, representing professional
librarians, examines detailed documentation concerning promotional candidates and
makes written recommendations to the Vice Provost for University Libraries. Taking into
account ACEP’s findings and the counsel of appropriate library managers, the Vice
Provost makes a determination and forwards the names of successful candidates to the
University administration for final action.

“The Criteria” provides information which is critical to the success of a promotional
effort. Librarians seeking to advance must offer evidence of varying degrees of growth
and maturity in three areas: professional competence; library, university and community
service; and scholarly and professional activities. In addition, a candidate must make a
compelling case that he/she is fulfilling the expectations of the next rank. Information
relative to these topics will be found in the following pages along with a description of
the procedures used by candidates and others. Because of these requirements,
professional librarians are urged to become familiar with “The Criteria” in advance of a
request for promotion.
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II. QUALITIES DESIRED IN LIBRARIANS OF ALL RANKS

The minimum educational requirement for appointment to the librarian ranks is the
completion of an accredited graduate program in librarianship or information science.
For some positions where subject competence in another discipline is demanded by the
position, additional Master's degrees or the doctoral degree may also be required.

All candidates for appointment and promotion as librarians are expected to show
satisfactory attainment and continuous growth in the following three areas, though in
varying degrees and in different proportions: Professional Competence; Library,
University, and Community Service; and Scholarly and Professional Activities. A
librarian's accomplishment in each should be evaluated on every occasion when
advancement in rank is being considered. In describing these areas, it is not intended to
formulate a rigid set of standards, nor to require that all librarians attain a stated minimum
in each of the areas. The value of each person is rather to be judged by considering both
his or her strong and weak points so as to arrive at an estimate of his or her total


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contribution. It is also expected that in their professional conduct all librarians will
adhere to the American Library Association's Librarians' Code of Ethics (1995 rev.) [see
attached].
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A. PROFESSIONAL COMPETENCE

Professional competence in library service entails a mastery of and superior performance
involving one or more of the following:

Archival and special collections; Collection development (including acquisitions,
contracts and intellectual property management, and information licensing);
Cooperative/consortial library development; Digital library development (local, national,
international); Faculty and programmatic liaison; Information access (including
cataloging and classification, circulation/reserve, interlibrary loan/document delivery);
Information literacy; Library development/fund raising/promotion; Library management
and administration; Preservation/conservation; Research/reference; Specialized libraries
operations; Strategic planning and plan implementation; Subject expertise; Systems
development/management; User education, both formal and informal; User services.

Positive contributions to the vitality and success of the University of Connecticut and
dedication to the needs of library clientele--students, scholars, researchers, readers,
colleagues within the UConn Libraries, and others--through consistently forward-
thinking, able and efficient service, are the essence of professional competence.
Professional competence requires the ability to develop and foster an appreciation for
learning and scholarship and an earnest desire to assist all library users; to anticipate and
interpret the needs of library clientele and to fulfill those needs; to acquire, organize and
make accessible recorded knowledge in all forms; to take on increasing leadership roles,
individually and in groups, to assure that the library meets its established goals and
objectives; to blend visionary and traditional library service into an effective information
access program; to think strategically about the library and its resources; to transform
strategic priorities into direct action; to recognize that the information community is
global in nature and to work to assure that the library is a full partner in international
information resources development.
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B. LIBRARY, UNIVERSITY, AND COMMUNITY SERVICE

Recognition is also given to Library and University service, which extends beyond the
boundaries of the librarian's defined job responsibilities. Activities may include Library
and University committee service, involvement in special Library or University programs
and projects, development in inter-Area or Library-wide programs, work on
representative Library or University governing boards or advisory groups; service to the
community, especially that which involves library training or experience; and
administrative tasks not normally a part of the librarian's assigned duties. Librarians


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should display willingness and ability to assist in various types of service which a state
university renders, through the answering of inquiries, the conduct of surveys,
contributing to University related publications, and the like.
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C. SCHOLARLY AND PROFESSIONAL ACTIVITIES

Scholarly and professional activities, including research, are of value for librarians in that
such pursuits are likely to lead to increasing competence and vitality in the performance
of one's assignment. They may also result in a contribution to the field of librarianship.
The Advisory Council on Evaluation and Promotion and the Library administration
strongly encourage librarians to participate in scholarship, professional service, and
research.

Participation in such activities as the following may be considered evidence of scholarly,
professional, and research contributions:

   membership and appropriate activity in professional societies--lectures or papers
    delivered at meetings, office(s) held, committees served;
   research--applying known techniques to the accumulation and analysis of new data
    and making fundamental contributions to knowledge;
   writing and publishing in professional or society publications--analytical, critical, or
    editorial. Recognition will also be given to bibliographic research that a librarian
    conducts in support of the research of others. Grant proposals or internal studies and
    reports may be considered if they represent new ideas or incorporate research.

Receipt of grants, fellowships, prizes, and honors may be considered evidence of
scholarly or professional contributions. Successful completion of academic course work,
or enrollment in an advanced degree program may also be considered evidence of
scholarly activity.
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D. YEARS OF SERVICE FOR ALL RANKS

The promotional candidate's length of service is a significant factor to be weighed along
with his/her actual accomplishments and contributions within the three areas outlined
earlier in this document. The normal length of service is indicated in the descriptions for
the ranks of Librarian I, II, and III. In exceptional cases a librarian may be considered for
promotion to the rank of Librarian II, Librarian III, or Assistant Librarian before the normal
length of service is met. When the librarian applying for promotion to these ranks has
served the minimum or less than the minimum years of service in his/her current rank, it is
critical for the candidate to document that he/she clearly exceeds a substantial part of the
relevant promotional criteria.




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In calculating years of service for promotions other than Librarian I to II, the librarian
should figure from the date his/her present rank actually took effect at the University of
Connecticut Libraries to the date desired promotion would take effect in September of the
following year. A Librarian I must complete a minimum of two years of service before
applying for promotion to Librarian II. Because of the timetables established for the
promotion process, librarians should anticipate submitting their names for consideration as
many as 15 months in advance of the date that promotion would take effect.

It should be noted that the years of service of half-time librarians shall be calculated at a
ratio of three half-time years for each two full-time years of service.

Promotion is not required for continued employment.
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E. DESCRIPTIONS OF THE RANKS
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1. Librarian I

A Librarian I performs a variety of tasks, usually under general guidance, which require a
basic theoretical understanding of libraries and their operation. He/she is expected to
develop a thorough knowledge of that part of the University of Connecticut Library
system in which he/she is employed. Staff members at this level are expected to function
independently within the general guidelines of their Area and the Library and, as
experience allows, to participate in the development of Area and Library policy. Also at
this level, staff members will demonstrate the ability to develop and foster an
appreciation for learning and scholarship and an earnest desire to assist all library users.
The potential to take on leadership roles to assure that the library meets its established
goals and objectives should be evident. The minimum period of service a candidate must
serve in this rank before applying for promotion is two years.

Appointment to this rank is predicated upon demonstrated performance of the qualities
outlined above, based upon the requirements of the current “Criteria,” at the previous
institution of employment, if applicable.
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2. Librarian II

Promotion to this rank is predicated upon a record of success in his/her previous work, a
record based on all obtainable information including the judgment of colleagues.
Librarians at this level are expected to perform at a high level of professional competence
without supervision. They demonstrate an ability to anticipate and interpret the needs of
library clientele and to fulfill those needs. They are expected to make a valuable
contribution to the functioning of their Areas and to the Library by participating fully in
Area and Library matters. There must be evidence of increasing leadership, individually


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and in groups, to assure that the library meets its established goals and objectives.
Individuals must show potential to think strategically about the library and its resources.
They should demonstrate continued growth in those qualities desired of all librarians. It
is also expected that those staff members aspiring to advance beyond this rank show
evidence of increasing involvement in professional activities outside the University.

Three to six years is regarded as the normal length of service in this rank.

Appointment to this rank is predicated upon demonstrated performance of the qualities
outlined above, based upon the requirements of the current “Criteria,” at the previous
institution of employment.
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3. Librarian III

Promotion to this rank is predicated upon a demonstrated record of continual growth in
those qualities desired of all librarians and upon evidence of keeping abreast of
developments in the field of librarianship. There should be a consensus among
colleagues that he/she is demonstrating leadership by making a substantial contribution to
the achievement of the Libraries’ mission and goals.

A Librarian III exercises an increasing mastery of one or more areas of librarianship listed
under the section Professional Competence. He/she employs a depth and breadth of
knowledge and experience in a scholarly, professional, and creative way. Staff members
at this level play a major role in the formulation of library policy and procedure
transforming strategic priorities into direct action. At this level, individuals must
demonstrate an awareness of emerging and traditional library service and an ability to
integrate both into an effective information access program.

Three to six years is regarded as the normal length of service in this rank.

Appointment to this rank is predicated upon demonstrated performance of the qualities
outlined above, based upon the requirements of the current “Criteria,” at the previous
institution of employment.
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4. Assistant Librarian

Promotion to this rank is predicated upon an increasing mastery of the qualities described
for a Librarian III at the University of Connecticut. Part of the criteria for Assistant
Librarian is the evidence that by the time of application for promotion to this rank the staff
member is regarded by colleagues both within and without the University as a capable and
mature librarian who is making a significant contribution to the Library and to the
profession. An Assistant Librarian shall show substantial evidence of professional
maturity and leadership in one or more areas of librarianship listed under the section


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Professional Competence. He/she is expected to maintain active and continuing
involvement in professional activities at a statewide, regional, or national level.

Because promotion to the rank of Associate Librarian is primarily based on a sustained
record of outstanding contributions to the library and to the profession, there is no stated
normal length of service for the Assistant Librarian rank although four years is regarded as
the normal minimum for consideration of promotion to Associate Librarian.

Appointment to this rank is predicated upon demonstrated performance of the qualities
outlined above, based upon the requirements of the current “Criteria,” at the previous
institution of employment.
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5. Associate Librarian

 Promotion to this rank is predicated upon mastery of the qualities described for an
Assistant Librarian at the University of Connecticut. Part of the criteria for Associate
Librarian is the evidence that by the time of application for promotion to this rank the staff
member is regarded by colleagues both within and without the University as a capable and
mature librarian who has a sustained record of outstanding contributions to the library and
to the profession. An Associate Librarian shall show mastery in one or more areas of
librarianship listed under the section Professional Competence. He/she is expected to
maintain active and continuing involvement in professional activities on a regional,
national or international basis and to have excelled in one or more of the following areas:
contributions to the body of library knowledge; creative, innovative service; strong
leadership in professional associations; and/or scholarly endeavors. Individuals at this
level are expected to contribute to the global information community and to work to assure
that the library has a presence in national and international information resources
development.

Appointment to this rank is predicated upon demonstrated performance of the qualities
outlined above, based upon the requirements of the current “Criteria,” at the previous
institution of employment.
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III. PROCEDURES REGARDING EVALUATION FOR PROMOTION OF
PROFESSIONAL LIBRARIANS

The University should strive to build an outstanding staff of professional librarians and to
retain it by recognizing the accomplishments of its members through promotion. It is
essential that the University promote only those who meet the criteria adopted for the
professional ranks.
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A. DETERMINING LIST OF CANDIDATES


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Each librarian who wishes to be considered for promotion will submit his/her name in
writing to the Vice Provost for University Libraries by a date to be set by the Vice
Provost for University Libraries. In addition, any staff member may submit the name of
any librarian for promotion. The Vice Provost for University Libraries shall verify that
the individuals wish to be considered for promotion. Asking to have your name removed
from the ACEP jury system does not constitute formal notification of intent to apply for
promotion.

Deletions or further additions, if any, will be made by a deadline announced by the Vice
Provost for University Libraries who will verify that each additional individual wishes to
be considered for promotion. The Vice Provost for University Libraries will inform the
Library staff of the final list of candidates.
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B. CREATION AND SUBMISSION OF A PROFESSIONAL SERVICE RECORD (PSR)

It is the responsibility of the individual staff member to prepare and complete his/her PSR
form, since the presentation of the information on that form is an essential aspect of the
promotional evaluation process. The candidate should submit an electronic copy of
his/her PSR in Word file format, without attachments, to the Human Resources Manager
and Chair(s) of the Advisory Council. The Chair(s) of the Advisory Council will place a
copy of each PSR on the Staff LAN, as a read-only document, at the following path:
Staff/data/acepall/”year”/PSRs submitted. The candidate must submit, in print, the
original completed PSR form with original attachments -- together with 3 complete copies
of the PSR and attachments, as well as 3 additional copies of attachments only -- to the
Human Resources Manager by the announced deadline. The Human Resources Manager
will then maintain all the promotional packets for use by the Advisory Council on
Evaluation and Promotion, the Library Administration, and the candidate's immediate
supervisor.

Each candidate will review, revise and prepare his/her Professional Service Record (PSR)
and assemble all supporting documents for submission to the Human Resources Manager
by July 1.
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C. MAINTAINING THE PROMOTIONAL FILE

The Human Resources Manager, under the direction of the Advisory Council, will
maintain a Promotional File which will contain the completed Professional Service
Record (PSR) form, all correspondence between the Council and the candidate, referees
and others, all recommendations and evaluations, and other materials, solicited and
unsolicited, that are submitted to the Council. The Chair(s) of the Advisory Council will
place a copy of the PSR only on the Staff LAN (as a read-only document) so it will be
accessible to all interested staff members. After copies of the PSR are placed on the Staff


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LAN, ACEP Chair(s) will post an e-mail to ALLSTAFF to announce the availability and
location of the PSRs on the LAN. Copies of the PSR will be removed from the Staff LAN
after final deliberations are completed. A copy of all solicited and unsolicited materials
will be forwarded to the candidate by the Human Resources Manager as these materials
are received. In accordance with the Freedom of Information Act, candidates for
promotion will also have access to their file, but will not be allowed to remove materials.
To obtain access to the file, the candidate must contact the Chair(s) of the Advisory
Council, who will have the Human Resources Manager schedule an appointment with the
candidate. The complete file is accessible to the candidate only with the Human
Resources Manager present. If the candidate has not already received a copy, he/she may
request copies of specific items in the Promotional File from the Human Resources
Manager. At such time as the Vice Provost for University Libraries makes a final
recommendation, the Promotional File, as it is then comprised, will be considered to be
part of the individual's personnel file and subject to Library and University policy
governing personnel files. All extra photocopies of the PSR and supporting materials
provided by the candidate shall be returned to the candidate by the Human Resources
Manager after the promotional process is complete.

If a candidate chooses to withdraw his/her name from consideration for promotion as
specified in the procedures, the candidate's PSR, along with any other supporting material
from the Personnel File, shall be returned to the Vice Provost for University Libraries,
with the written notice of withdrawal. All other materials, solicited and unsolicited,
which had been collected during the promotional process, along with the candidate's
written decision to withdraw, shall be retained in a separate file for a period of a year, in
order to insure legal protection to the University. At the end of one year, the Vice
Provost for University Libraries will discard the material in this separate file.
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D. PSR TRAINING

The Advisory Council is responsible for providing training to all professional staff on the
completion of the Professional Service Record form (PSR) that is used as part of the
professional review process. This will be done through group training sessions during the
year at time and locations convenient for all parties concerned.
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E. ADVISORY COUNCIL--PROCEDURES

The Advisory Council will assess the job performance, university and community service,
and scholarly contributions of each candidate. In addition to the PSR form and
supporting documents submitted by the candidate, each professional librarian shall have
the opportunity to submit written statements to the Council regarding his/her own case
and/or that of a colleague. Candidates submitting materials in support of their initial
promotion may include activities and materials created, performed, published or
occurring in the time frame after applying for the position and prior to their actual start


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date. If any activities are included prior to the actual start date, the candidate must place a
request with Library HR to supply ACEP Chair(s) with a copy of the resume and cover
letter used in the initial ranking. For those candidates who have been promoted at least
once while employed by the University of Connecticut Libraries, activities and materials
created, performed, published or occurring up to twelve months prior to the previous
promotion are eligible for inclusion in the PSR and consideration by the Council, as long
as these were not included in the PSR prepared for the prior promotion. If any activities
are included prior to the date of the previous promotion, the candidate must place a
request with Library HR to supply ACEP Chair(s) with a copy of the previous PSR. The
Advisory Council shall request an evaluative opinion from the candidate's immediate
supervisor as well as from other staff who supervise other aspects of the candidate's work,
such as staff sharing assignments.

The Council is also encouraged to request and consider representative written evaluative
opinions from Library staff members, faculty, students, or other individuals outside the
library as to the individual's performance and activities. For promotion to the rank of
Assistant Librarian and above, the Council will actively solicit such written opinions
from the aforementioned. The Council shall not be limited to the list of referees
supplied by the candidate. In compliance with the Freedom of Information Act, the
Council will present in writing to each candidate a list of those persons it will contact
for assistance in his/her evaluation. If the candidate has serious objections to any person
or persons on the list, he/she will have the opportunity to notify the Council in writing
the reasons for the objections.

The Council shall also consider unsolicited material presented in writing to the Chair(s)
of the Council regarding a candidate for promotion. Unsigned material shall not be
accepted. The Council shall notify the candidate of placement of unsolicited material in
his/her Promotional File. Such material shall be accessible to the candidate, and he/she
shall have the opportunity to respond to it in writing.

In the event that either a Council member's immediate supervisor is being considered for
promotion or that a Council member directly supervises a candidate for promotion, that
Council member shall excuse himself/herself from the deliberations on that candidate.
The Council shall make a written recommendation regarding each promotional case
including those instances where the Vice Provost for University Libraries is the
immediate supervisor.

At least one week prior to transmittal of the recommendation to the Vice Provost for
University Libraries, the Council shall report its appraisal with supporting evidence in
writing to each candidate evaluated. If the Council's recommendation is not unanimous,
its appraisal shall include a tally of the votes cast and the dissenting opinion. The
candidate may at this time request a meeting with the Council through the Chair(s) of
the Advisory Council to clarify any questions he/she may have concerning the
evaluation. Although the original vote and the written recommendation will not be




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altered, the Council will forward with the recommendation a statement reporting the
content of this meeting. A copy of this statement will be sent to the candidate.

Two copies of the recommendation will be submitted to the candidate, the original copy
to be signed and returned to the Council, the second copy to be retained by the candidate
for his/her records. At the time of transmittal of each recommendation to the Vice
Provost for University Libraries, the Council shall send a copy to the individual's
supervisor and/or the appropriate Area Head.

The candidate may at this point choose to withdraw without prejudice his/her name
from further consideration for promotion at this time. The candidate shall submit this
decision in writing to the Advisory Council, the Vice Provost for University Libraries
and the candidate's supervisor(s).

If the Council recommends to deny promotion to a professional librarian, the individual
shall have the opportunity to present his/her case to the Vice Provost for University
Libraries, either in person or in writing. (see also F-3. Role of Vice Provost for University
Libraries)
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F. LIBRARY/UNIVERSITY ADMINISTRATION—PROCEDURES
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1. Immediate Supervisor

The immediate supervisor of each staff member is that person to whom he/she reports
directly and who is responsible for evaluation of the staff member's performance. The
immediate supervisor of a non-managerial staff member is generally his/her Area Head;
the immediate supervisor of the Area Head is the Vice Provost for University Libraries.
Recommendations for staff from a regional campus or professional school library are to
be made in accordance with the approved organizational structure of that library; the
procedures outlined below may be modified slightly in accordance with that structure.

The immediate supervisor writes two letters in the promotional process, an evaluative
letter addressed to the Council and a recommendation letter addressed to the appropriate
next ranking administrator (Vice Provost for University Libraries or Area Head, as
appropriate). For the Council, the immediate supervisor shall prepare an evaluative
assessment of the candidate's job performance and professional competence for the time
period covered by the PSR, based on annual evaluation reports and a review of the
promotional file. The supervisor’s letter to the Vice Provost or Area Head will, in
addition to assessing professional competence, make a recommendation for or against
promotion. The immediate supervisor shall share both of these letters with the candidate
at least one week prior to their being sent. The candidate may request a meeting with


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his/her immediate supervisor to clarify any questions he/she may have concerning these
letters.

Two copies of each of these letters will be submitted to the candidate, the original to be
signed and returned to the immediate supervisor, the second copy to be retained by the
candidate for his/her records.

The candidate may at this point choose to withdraw without prejudice his/her name
from further consideration for promotion at this time. The candidate shall submit this
decision in writing to the immediate supervisor, the Vice Provost for University
Libraries, and the Advisory Council.
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2. Role of the Area Head when not Immediate Supervisor

The immediate supervisor will transmit his/her recommendation to the appropriate Area
Head two weeks before the date established for transmittal to the Vice Provost for
University Libraries. The Area Head, when not an immediate supervisor shall also
submit a separate letter in which they assess the candidate’s professional competence
and issue a recommendation for or against promotion to the Vice Provost for University
Libraries. A copy of the recommendation shall be sent to the immediate supervisor. The
Area Head shall share this recommendation with the candidate one week prior to its
submission to the Vice Provost for University Libraries. Two copies of the
recommendation will be submitted to the candidate, the original to be signed and
returned to the Area Head, the second copy to be retained by the candidate for his/her
records. The candidate may request a meeting with the Area Head to clarify any
questions he/she may have concerning the evaluation. The Area Head shall submit
his/her recommendation along with the immediate supervisor’s recommendation to the
Vice Provost for University Libraries on the same date established for the submission of
the Advisory Council’s recommendation. The candidate may at this point choose to
withdraw without prejudice his/her name from further consideration for promotion at
this time. The candidate shall submit this decision in writing to the appropriate Area
Head, the immediate supervisor, the Advisory Council and the Vice Provost for
University Libraries. If the immediate supervisor or the Area Head recommends to deny
promotion, the candidate shall have the opportunity to present his/her case to the Vice
Provost for University Libraries either in person or in writing.
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3. Role of Vice Provost for University Libraries

The Vice Provost for University Libraries shall review the material received under these
procedures and such other pertinent information as he/she may require, and shall base
his/her recommendation insofar as possible, upon a uniform application of the specified
criteria.




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If the recommendation of the Vice Provost for University Libraries is contrary to that of
the Area Head, the Vice Provost for University Libraries shall provide an opportunity
for the Area Head to review and supplement the original recommendation.

If the recommendations from the Advisory Council and the administrative review are in
conflict, the Vice Provost for University Libraries, for purposes of clarification, shall
meet together with the Advisory Council, and the candidate's Area Head.

The Vice Provost for University Libraries shall provide an opportunity for the candidate
to appear in person to discuss with him/her any substantive negative findings or any
changes in original recommendations.

One week prior to the transmittal of the Vice Provost for University Libraries'
recommendation to the Chancellor and Provost, the Vice Provost for University
Libraries shall submit two copies of the recommendation to the candidate. The original
copy shall be signed by the candidate and returned to the Vice Provost for University
Libraries. The second copy should be retained by the candidate for his/her records.
Copies of the recommendations shall also be transmitted to the Advisory Council, and
the Area Head.

The candidate may at this point withdraw without prejudice his/her name from further
consideration for promotion at this time. The candidate shall submit this decision in
writing to the Vice Provost for University Libraries, the Advisory Council, the
immediate supervisor and/or the appropriate Area Head.

When the recommendation of the Vice Provost for University Libraries as the
immediate supervisor of the candidate is in conflict with the recommendation of the
Advisory Council, the candidate can appeal according to the procedure (described in III-
G. Appeals Procedures).
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4. University Administration

The Vice Provost for University Libraries shall forward his/her positive
recommendations along with the promotional file to the Chancellor and Provost. The
Chancellor and Provost will present his/her recommendation to the President for
presentation to the Board of Trustees at the March meeting of the Board. Only positive
recommendations for promotion are forwarded by the Vice Provost. Negative
recommendations are sent to the Chancellor and Provost only when the candidate
through the appeals process so requests. In all instances final action will be taken by the
Board of Trustees upon recommendation of the President and promotion will take effect
the following September.
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G. APPEALS PROCEDURES


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There will be a two-step process available to candidates who wish to appeal either a
decision by the Vice Provost for University Libraries not to recommend promotion or
any procedural violations. This process will also be available to candidates whose
immediate supervisor is the Vice Provost for University Libraries when the Vice
Provost's recommendation conflicts with that of the Advisory Council.

The two avenues of appeal are not to be viewed as alternate means but are to be
followed in progression. The candidate must initiate the appeals proceedings within one
week of:

 (1)   being notified of the denial of promotion;

 (2)   becoming aware of any procedural violations;

 (3) receiving a recommendation from the Vice Provost for University Libraries
   which conflicts with the recommendation from the Advisory Council, when the Vice
   Provost is the immediate supervisor of the candidate.
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1. Promotional Appeals Panel

The candidate will request in writing that his/her case be reviewed by an appeals panel
consisting of three members selected respectively by the candidate, Advisory Council,
and the Vice Provost for University Libraries. The candidate in his/her request to the
Vice Provost for University Libraries will specify the reasons why the promotion should
be given, providing any additional information that should be taken into account; or will
specify what procedural violations he/she believes have occurred. Copies of the letter
will be sent to the Advisory Council and the Area Head. After due deliberations and in
consultation with all parties involved, the Appeals Panel will report its findings in
writing to the Vice Provost for University Libraries, with copies transmitted to the
Advisory Council and the candidate. The deadline for this reporting shall be ten days
after inception of review.

If the Appeals Panel recommends that promotion should be granted, the Vice Provost
for University Libraries will forward the candidate's promotional file, including the
recommendation from the Appeals Panel to the Chancellor and Provost.

If the Appeals Panel recommends to deny promotion, the candidate has the option to
withdraw without prejudice his/her name from further consideration for promotion at
this time. The candidate shall submit this decision in writing to the Vice Provost for
University Libraries, the Advisory Council, the immediate supervisor and/or the
appropriate Area Head.
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2. Administrative Appeal

If the Appeals Panel recommends to deny promotion, and the candidate wishes not to
withdraw, he/she may request that all of the promotional documentation, including the
recommendation of the Appeals Panel, be forwarded by the Vice Provost for University
Libraries to the Chancellor and Provost. The candidate may request the opportunity to
present his/her case directly to the Chancellor and Provost.
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H. REVIEW OF THE EVALUATION PROCESS

As soon as possible after the recommendations have been submitted to the President of
the University, the Vice Provost for University Libraries shall meet with the Advisory
Council for a general review of the evaluation process and a discussion of any problems
encountered during the process including specific recommendations for their resolution.
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IV. INITIAL APPOINTMENT

The Advisory Council is responsible for recommending to the Vice Provost for
University Libraries the initial level of appointment for all professional librarians. The
Vice Provost for University Libraries or his/her designee should provide onsite
interviewees with information about the "Criteria" and ranking process and advise them
that additional information beyond the application may assist ACEP to assign an
appropriate initial rank should they be the successful candidate.

The Chair(s) of the Advisory Council shall appoint three Council members to an ad hoc
subcommittee as ranking needs arise or formally assign this responsibility to another
Council member. The ad hoc subcommittee shall review the candidate's cover letter,
resume, and other appropriate documentation provided by the Library Services and relate
it to the “The Criteria and Procedures for Appointment and Promotion of Professional
Librarians”. All candidates are to be ranked according to the “Criteria” currently in
effect at the time of appointment. The subcommittee shall submit an ACEP
Recommendation for Initial Appointment Rank document that recommends a rank-based
on the available documentation provided by the Vice Provost for University Libraries at
the time of the ranking request, including factors influencing the recommendation.
Previous years of service at another institution as a professional librarian shall be
considered and evaluated at the time of initial appointment. In addition, high-level library
paraprofessional or other professional experience may be considered provided it is
relevant to the position being assumed. Any exceptions to the stated elements of the
“Criteria” (e.g., time served) negotiated by the candidate and the Vice Provost for
University Libraries to be considered at the time of the first promotion are to be clearly
noted in the appointment letter. The Vice Provost for University Libraries shall return to
the designated Council member the ACEP Recommendation for Initial Appointment Rank




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form indicating factors influencing the appointment rank and factors influencing the
appointment rank if it differs from that of the Advisory Council.

To protect the privacy of the new staff member, the Council will not retain a copy of the
ACEP Recommendation for Initial Appointment Rank form for its records. However,
specific information on the initial appointment will be included in the staff member's
formal letter of appointment. The first time a staff member applies for promotion, this
letter of initial appointment and rank will be a required attachment to the Professional
Service Record (PSR).
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V. ADVISORY COUNCIL ON EVALUATION AND PROMOTION

A. PURPOSE

The Council shall appraise the work, research, and service performance of all
professional librarians who are candidates for promotion. Evaluations are to be based on
criteria adopted by the group of professional librarians in agreement with the Library and
University administration. The Council shall make written recommendations to the Vice
Provost for University Libraries on promotion of all professional librarians. In addition,
when a professional librarian is added to the staff, the Advisory Council shall advise the
Vice Provost for University Libraries on the appropriate rank for initial appointment of
that staff member.
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B. COMPOSITION

The University of Connecticut Libraries shall have an Advisory Council on Evaluation
and Promotion composed of seven professional librarians. Terms of service shall be two
consecutive years. If a person’s term is interrupted for a reason approved by the Vice
Provost for University Libraries, he/she shall complete his/her term at the next available
opening. One of the seven must work at a regional campus library; the remaining six will
be from the Storrs campus libraries. All permanent professional librarians with at least
one year of service within the library system at the time of appointment (excluding the
Vice Provost for University Libraries and Area Heads) shall be eligible for membership.
Part-time status does not exempt a librarian from serving on the Council. New librarians
who are eligible are those who have achieved one full year of service in the Libraries as
of May 31 of that year. Professional librarians who are candidates for promotion will be
ineligible for membership during the year in which their candidacies are reviewed, but
will be appointed to serve on the Council the following year (see Section C:
“POPULATING THE COUNCIL”).
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C. POPULATING THE COUNCIL




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Membership on the ACEP Council is determined by Jury System, whereby librarians are
obligated to serve their terms when their last name comes up in an alphabetical list of all
eligible librarians (eligibility is defined above in V, B).

In April the ACEP Chair(s) will obtain a list of all currently employed librarians from
the Human Resources Manager. He/she will eliminate those currently serving, those
leaving the Council at the end of May having served a full term, and those who have not
yet served a full year in the library system as a professional librarian as of May 31.
He/she will then determine whether any librarians were ineligible for the Council the
previous year for reasons other than listed above. These previously ineligible or excused
librarians will fill the first available openings on the Council. All remaining openings
will be populated alphabetically. The list will begin at the top of the alphabet in April
2003 and methodically descend the list in subsequent years. A separate listing will be
created for regional librarians, where one regional librarian shall be determined for
membership in the same fashion as those from the Storrs campus.

The Chair(s) will notify the librarians (either three or four, depending on how many
librarians are leaving the Council at the end of that May) who are slated to next serve on
the Council. If a librarian cannot serve on the Council for any reason he/she has one
week to appeal to the Vice Provost for University Libraries. If the Vice Provost agrees
that a librarian has a legitimate reason for not serving then the Chair(s) will then notify
the next librarian whose last name falls alphabetically after those initially determined.

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D. NEW COUNCIL MEMBERS

Terms of office for members shall run from June 1 of the year he/she is initially slated for
membership to May 31 two years hence.

Council members anticipating prolonged absences should consider resigning from the
Advisory Council.
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E. RESIGNATIONS

If a Council member resigns during his/her term before or during the Council's
consideration of the promotional cases, the Chair(s) shall refer to the alphabetical list to
determine which librarian’s last name comes immediately after the last names of those
librarians last appointed to the Council. In the event that the resignation occurs after the
Council's consideration of the promotional cases, it shall be left to the Council's
discretion whether or not to fill the vacancy.




                                                                                           17
Newly appointed or continuing Council members who decide to apply for promotion
within the deadline set by the Vice Provost for University Libraries should resign from
the Council.
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F. INTERNAL FUNCTIONING

The Council shall elect its own officers. A quorum shall consist of five members.
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VI. AMENDMENTS TO THE CRITERIA/PROCEDURES AND ANNUAL
MEETING

By mid-February the Advisory Council will solicit written suggestions for changes in
the criteria and/or procedures from professional librarians and the Vice Provost for
University Libraries. After consideration of the suggestions, the Council will schedule a
meeting of professional librarians before l5 April to discuss the proposed changes which
two weeks prior to the meeting will have been sent to all librarians. Amendments to the
proposed criteria changes must be voted on by a majority of the professional librarians
present at the annual meeting. The criteria changes, incorporating any amendments
passed at the annual meeting, will be distributed via email ballots, using email
attachments, within one week of the annual meeting. The voting coordinators will
create a traditional “paper ballot,” save it electronically, and send it via email as an
attachment to each eligible voter. The voter will be responsible for filling out the email
ballot, attaching it, and sending it via email to the designated voting coordinator within
one week. Upon receipt of each email ballot, the designated voting coordinator will
identify the voter’s name appearing in the email and check it off of a list of eligible
voters. Votes in the corresponding email attachment will be printed out separately in
order to maintain confidentiality and to avoid knowledge about a particular voter’s
ballot. A separate voting coordinator will receive the email attachments in paper format
for counting. The results will be communicated to eligible voters within one week of
the final ballot count.

Changes so endorsed will be forwarded to the Vice Provost for University Libraries for
approval and/or comment which shall be conveyed to the Advisory Council within ten
working days.

Changes in criteria and procedures will be forwarded by the Vice Provost for University
Libraries for approval by the University Administration.

Changes should be completed and a revised copy of the criteria and procedures
distributed by the Vice Provost for University Libraries to each professional librarian by
1 June.
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                                          APPENDIX
                                  American Library Association
                                         Code of Ethics

As members of the American Library Association, we recognize the importance
of codifying and making known to the profession and to the general public
the ethical principles that guide the work of librarians, other professionals providing information services,
library trustees and library staffs.

Ethical dilemmas occur when values are in conflict. The American Library
Association Code of Ethics states the values to which we are committed, and embodies the ethical
responsibilities of the profession in this changing information environment.

We significantly influence or control the selection, organization, preservation, and dissemination of
information. In a political system grounded in an informed citizenry, we are members of a profession
explicitly committed to intellectual freedom and the freedom of access to information. We have a special
obligation to ensure the free flow of information and ideas to present and future generations.

The principles of this Code are expressed in broad statements to guide ethical decision making. These
statements provide a framework; they cannot and do not dictate conduct to cover particular situations.

I.       We provide the highest level of service to all library users through
         appropriate and usefully organized resources; equitable service policies;
         equitable access; and accurate, unbiased, and courteous responses to all
         requests.

II.       We uphold the principles of intellectual freedom and resist all
         efforts to censor library resources.

III.     We protect each library user's right to privacy and confidentiality
         with respect to information sought or received and resources consulted,
         borrowed, acquired or transmitted.

IV.      We recognize and respect intellectual property rights.

V.       We treat co-workers and other colleagues with respect, fairness and good
         faith, and advocate conditions of employment that safeguard the rights and
         welfare of all employees of our institutions.

VI.      We do not advance private interests at the expense of library users,
         colleagues, or our employing institutions.

VII.     We distinguish between our personal convictions and professional
         duties and do not allow our personal beliefs to interfere with fair
         representations of the aims of our institutions or the provision of access
         to their information resources.

VIII.    We strive for excellence in the profession by maintaining and
         enhancing our own knowledge and skills, by encouraging the professional
         development of co-workers, and by fostering the aspirations of potential
         members of the profession.
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