CRITERIA FOR LIBRARIAN PERSONNEL ACTION

Proper functioning and application of the peer review process for librarians at UCI necessitates that there be a common understanding of career expectations to provide a framework for career planning, to guide each librarian toward the superior achievement and growth outlined in the Academic Personnel Manual (APM) and to ensure greater equity in the peer review process.

The Criteria should be useful to the incoming librarian in helping him or her arrive at an understanding of what is expected for advancement and promotion, to the incumbent librarian who is anticipating the next review and wants to ensure the most favorable outcome possible, to the unit or department head as guidance in reviewing the librarians within his or her area of responsibility, for the Peer Review Committee in evaluating the documentation presented to them for each review case, and others who provide evaluation and documentation.

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CRITERIA FOR LIBRARIAN PERSONNEL ACTION

II. GENERAL ASSUMPTIONS

The purpose of this document is to outline a standardized interpretation of criteria for personnel action in the Librarian Series. It is intended as an augmentation of the guidelines in Sections 360 and 210-4 of the Academic Personnel Manual (APM).

1.Appropriateness of the Academic Personnel Manual

The Criteria contained within Sections 360 and 210-4 of the Academic Personnel Manual provide flexible and adequate guidelines for librarians of varying talents and career goals to advance through the ranks in the Librarian Series. As LAUC Position Paper No. 1 states: "expansion of these criteria into detailed lists of expected accomplishments serves no useful purpose because of the adaptable nature of the criteria and the individuality of each career." This adaptability represents one of the major differences between the Librarian Series as an academic career ladder and other series that require a more rigid and task oriented set of expectations. Flexibility concerning the relative weight of the criteria is a key concept. APM Section 210-4 e. (3) states: " In considering individual candidates, reasonable flexibility is to be exercised in weighing the comparative relevance of these criteria."

2. Superior Achievement

APM Section 210-4 e. (2) dealing with merit increases and promotions states:

At the time of original appointment to a title in this series, each appointee shall be informed that continuation or advancement is justified only by demonstrated skills and achievement which will be determined after objective and thorough review. If, on the basis of a review, the individual does not meet the criteria for continuation or advancement, there is no obligation on the part of the University to continue or promote.

The concept of superior achievement is present throughout the sections of the APM that deal with librarians. An absolute definition of the meaning of "superior" is probably not possible or desirable. One way to understand what is meant is to examine what is not included. Mere adequacy of performance is not enough; superior achievement does not mean doing essentially the same work at the same level of expertise over an extended period of time.

Documented evidence of growth and development is needed. Since the University is not obligated to promote, it is possible for individuals to "top out" at certain levels or reach a career plateau. However, even in these cases, a continuing high level of performance is expected in order for an individual to be continued in the series.

3. Career Growth

APM Section 360-10 c. states:

Promotion shall be justified by demonstrated professional skills and achievement, and, in addition, demonstrated professional growth and accomplishment and/or the assumption of increased responsibility.

APM Section 2104 e. (2) states:

For some, promotion may involve a position change; for others promotion may not necessarily involve position change, but will depend on increased responsibility as well as growing competence and contribution in the same position

It is evident that growth is a central concept in the APM. Growth implies the achievement of increasing expertise in the primary assignment throughout the career. In addition, it is necessary to look outside the immediate confines of the position toward what might be, not just what is. An individual's professional interests and activities should increase in depth and breadth as his or her career progresses. Advancement or promotion is awarded in recognition of the increasing expertise and higher level of contribution that a librarian must demonstrate over the years. For example, performance expectations for Associate Librarian, Step V are higher than those for Associate Librarian, Step II. Growth should not take place haphazardly, but should reflect the concepts of relevance, balance, and quality.

4. Relevance of Activities to Criteria

By way of introduction to the four categories of criteria upon which librarians are reviewed, APM Section 360-10 b. states:

A candidate for merit increase or promotion in this series shall be judged on the basis of the first of the following criteria, and to the extent they are relevant, on one or more of the last three.

As the librarian advances in the series he or she should become an increasingly valuable asset to the Library and to the profession. The requisite career development must enhance both the quality of the specific position responsibilities and the overall value of the individual to the institution. Activities that contribute to this end must be selected with foresight. This requires judgment on the part of the librarian and the unit or department head to ensure that activities are relevant to and of value to the Library. The concepts of balance, planning, and quality of the contribution serve as important guidelines for determining relevance.

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III. INTERPRETATION

1. Balance

Each librarian should strive toward a balanced (i.e. complete or full) career. Balance in this context is developmental. It is not static and does not imply a leveling. A beginning Assistant Librarian’s career is necessarily unbalanced initially as the individual devotes the majority of his or her time and efforts toward learning and carrying out the primary responsibility. However as the career develops, the concept of balance should lead the librarian away from almost exclusive concentration on the primary responsibility toward increasing involvement with one or more of the activities in criteria 2-4. A balanced and mature career must demonstrate achievement in one or more of criteria 2-4 as well as superiority in criterion 1.

Changing circumstances and conditions might make concentration to one particular activity (whether the primary responsibility or one of the activities under criteria 2-4) desirable or beneficial at a given time. Such a temporary imbalance, where justified for good reasons, should not adversely affect a librarian’s career. However over an extended period of time, single-minded concentration in any one activity, to the exclusion of other activities, is not enough to justify continued advancement. Nowhere is it suggested that as a librarian advances through the ranks that any long-term decrease in the level of performance of the primary responsibilities is acceptable.

Balance is not attained by undertaking activities in all four areas merely to show some activity in each. There is no requirement that a career must develop in all four areas. A smattering of mediocre or low-level performance in all the areas would be unsatisfactory. The activities chosen must be of value and relevance to the Library’s mission and the librarian’s career, and should show evidence of planned growth.

2. Planning

Activities should be selected with reference to overall career planning so that fragmentation of effort is avoided. To prevent random or unbalanced career development, the librarian must carefully plan so that the activities undertaken contribute toward the achievement of career goals. In planning career development, the librarian should make sure that personal goals and objectives are compatible with and contribute to departmental and institutional goals and objectives. Career plans should not be rigid. In addition, the librarian should be prepared to make changes in career plans as the profession evolves in response to changing circumstances. What is important is that a random and haphazard approach be avoided; activities should be relevant to the Library’s mission, the librarian’s career, and should reflect conscious planning.

3. Quality

There is a direct link between the quality of the career and the quality of the work performed. Advancement is predicated upon increasing quality of performance in the primary assignment, the quality or level of the outside activities, and the quality of the contribution to them. Obviously, for example, passive attendance at meetings does not rank as high as active participation (e.g., chairing a committee, serving on a panel, presenting a paper, or making substantive contributions to discussions).

4. Relative Weight of the Criteria

From the previous points and discussions, it should be possible to arrive at an understanding of this controversial issue. The first criterion remains of primary importance and in any review action should be so weighted. However, a librarian's career must grow and develop as must the quality and quantity of his or her contributions. This growth and development means that as the career advances, increasing attention must be given to one or more of criteria 2-4 (though never to the detriment of the quality of performance under criterion 1). In the review process, therefore, increasing weight will be given to high quality performance in criteria 2-4 as the individual progresses within the Associate and Librarian ranks.

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IV. SUMMARY COMMENTS ON GENERAL ASSUMPTIONS AND INTERPRETATION

The key issue is the quality and development of the overall career as it contributes to the improvement of library services and to the advancement of the profession. It should be clear that an individual with an outstanding career will, in the development of that career, have made substantive contributions to the institutions with which he or she has been associated and to the profession as a whole. It is important to state, however, that the emphasis is on service to the institution and the patrons it serves and to the profession and not on "careerism" or career building for its own sake. In this context, it is important to recognize the criteria in the APM for what they are: essentially artificial and arbitrary categories which are used in an attempt to provide a degree of order, fairness, and uniformity in the process of periodic career evaluation. Librarians should use these criteria to their own benefit, but should not mold a career simply to fit them. It is for these reasons that flexibility and judgment are crucial and central to the APM and to the Criteria document. The desired outcome of the process is a career such as outlined above rather than one which has been tailored merely to fit the criteria for evaluation.

In carrying out the concepts in this document, it is necessary to recognize the important role of counseling. While it is true that each individual librarian is responsible for his or her own career and for understanding and striving to fulfill the advancement and promotion concepts outlined in this document, the Department or Unit Head has the responsibility, both at the time of review and during the period between reviews, to counsel the librarians for whom he or she is the review initiator. This is especially true for individuals who may not be meeting the standards necessary for continued advancement. Additionally, after a review has taken place, it is important that the person under review be given feedback and counseling, especially if the outcome of the review has not been favorable to the candidate and/or if the librarian under review is in potential career status and has not been given a merit increase when eligible.

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V. MOVEMENT THROUGH RANKS AND PROMOTION

Several personnel actions are possible: merit, promotion, termination, or no action. Accelerated advancement is warranted when accomplishments during the review period are unusual and clearly beyond expectations. Denial of merit or no action at any rank or step does not prohibit later advancement or promotion.

APM Section 360-10 sets forth four criteria against which a candidate is to be judged for personnel action:

Criterion 1: Professional competence and quality of service within the Library.

Criterion 2: Professional activity outside the Library.

Criterion 3: University and public service.

Criterion 4: Research and other creative activity.

In all ranks, it is understood that under Criterion 1, all librarians will be judged on consistency of performance, grasp of library methods, command of their subjects, continued growth in their fields, judgment, leadership, originality, ability to work effectively with others, and ability to relate their functions to the more general goals of the Library and the University.

Study and research beyond the immediate demands of the position are essential to continued growth, continuing command of subject, and continuing ability to relate functions to more general goals. Individuals should seek opportunities to learn and to contribute to the improvement of the Library’s programs and services. Leadership is demonstrated in activity beyond the implementation of goals or ideas already in concrete form. The kind of leadership expected is that which focuses on and identifies goals and programs, conceptualizes them, and generates and carries out ideas which prove workable. Originality of ideas or concepts may be demonstrated in one's area of specialization or in research and writing. It includes self-motivated study of appropriately selected problems and original or workable resolution of them. It is also understood that the level of competence and the scope of contribution required for a one-step merit increase become greater as a librarian advances in rank.

In reviews of UCI librarians who engage in interdepartmental activity, the department or unit head reviewing the major portion of a candidate's performance should take into account evaluations from others supervising a candidate's work.

In consideration of individual candidates and circumstances, reasonable flexibility must be exercised in applying the criteria. In this document, the interpretation and weighing of the criteria are discussed in relation to six separate phases of movement through the Librarian Series:

A. Assistant Librarian - Movement through the Rank

B. Promotion to Associate Librarian

C. Associate Librarian - Movement through the Rank

D. Promotion to Librarian

E. Movement through the Librarian Rank

F. Promotion to Librarian, Step V

In the Associate Librarian and Librarian ranks (and to some degree in the highest steps of the Assistant Librarian rank), the concept of balance between Criterion 1 and Criteria 2-4 is extremely important. It is recognized that occasionally, for any one review period or portion thereof, organizational and professional pressures or circumstances may make the optimum balance difficult to achieve. In this situation, the department head and the candidate should work together to restore the balance. However, a temporary imbalance, where the factors accounting for it can be clearly identified and justified, should not adversely affect the merit action.

In all ranks, there are two possible types of status: potential career and career. An appointee is considered potential career status until achieving status through promotion or upon successful completion of the trial period. A career status review must take place within a certain period of years depending upon the rank in which the initial appointment is made and the step within that rank at which the appointment is made. If career status is not granted, the appointee is subject to termination. For further explanation of these provisions and time periods, refer to APM Section 360-17 b.

A. Assistant Librarian - Movement through the rank

Primary emphasis is on Criterion 1, with increased expectations for breadth and depth of understanding with movement through the rank. Specifically emphasis is on:

1. Quality of performance in the primary area of responsibility.

2. Steady work toward a sound professional foundation.

3. Growth through demonstrated gains in basic abilities and in principles underlying the primary responsibility.

4. Acceptance, and competent execution, of responsibilities in addition to those of the position (to a level and scope in keeping with the step in rank), such as service on administrative or LAUC committees, task forces, and teams.

Consideration of Criteria 2-4 normally will not play a major role in advancement through the lower steps of the rank. However, since promotion to Associate Librarian is based, among other factors, on potential for further growth, the Assistant Librarian should, by the time advancement to Step III in this rank has taken place, or by the time of the second review of the individual was brought in at a step higher than Step I, begin to demonstrate activity in some areas within Criteria 2-4.

Denial of merit for those in the Assistant Librarian rank may occur when performance during the review period does not meet the criteria guidelines established for performance in this rank. If denial of merit does not occur during time in rank and step, and performance does not improve significantly during the following year, termination might be an appropriate action according to APM 210-4 e. 2.

B. Promotion to Associate Librarian

Promotion to Associate Librarian is not automatic. It must be justified by an increasingly higher level of performance through the rank of Assistant Librarian. Specifically, the recommendation for promotion is based on:

1. Demonstrated potential for further growth, including assumption of a broader role in the activities of the Library, the campus, the University, and the profession.

2. Demonstrated professional skills acquired though performance of position responsibilities in the Assistant Librarian rank.

3. A solid record of professional competence in assigned responsibilities.

4. Anticipation of competence in the Associate Librarian rank.

C. Associate Librarian - Movement through the Rank

Movement through the rank of Associate Librarian is based on the achievement of a balance between a continuing high level of performance and growth in the primary position responsibilities and significant contributions in areas within Criteria 2-4. The librarian must demonstrate interest in and ability to contribute to the overall field, Library, and the University. The quality of the contribution, not just quantity, must be emphasized. Similarly, the level of the contribution must be higher than at the Assistant rank.

For Associate Librarians, the weighing of the criteria and expected levels of performance place greater weight on balance among the criteria with the balance shifting from emphasis on competent performance of primary assignments, focusing instead on breadth and depth of professional activity within the Library, the University, and the profession. Unless significant contributions are shown in other criteria as identified in the APM, denial of merit may result, even with competent performance of the primary position responsibilities. Absence of documented competence and growth in primary position responsibilities would also result in denial of merit.

D. Promotion to Librarian

Promotion to the Librarian rank is not automatic. The top step of the Associate Librarian rank may be the appropriate indefinite rank and step (career plateau) for many librarians. A recommendation for promotion is based on the following:

1. Consistent and sustained demonstration of outstanding professional ability, emphasizing depth and breadth of contributions and experience.

2. Assumption of greater responsibility.

3. Emphasis on the strength of the career, particularly within the Associate rank.

4. Anticipation of ability to perform successfully in the Librarian rank.

5. Demonstrated ability to balance superior performance of primary responsibilities with broader concerns for the Library as a whole, the profession, the campus, the system, etc.

APM Section 210-4 e. states:

For some, promotion may involve a position change; for others, promotion may not necessarily involve position change but will depend on increased responsibility as well as growing competence and contribution in the same position. The assumption of administrative responsibilities is not a necessary condition for promotion.

Promotion is possible for candidates with or without administrative responsibilities. In addition, technical competence or administrative responsibilities alone are not sufficient for promotion. Accomplishment in Criterion 1 alone is not sufficient. The candidate must contribute in areas within Criteria 2-4. Promotion may be recommended for candidates whose influence, impact, and creative approach to librarianship through activity in any of the criteria are outstanding and go beyond the confines of the immediate responsibilities of the position. Denial of promotion to Librarian does not necessarily constitute a judgment of unsatisfactory performance but rather a career plateau.

E. Librarian - Movement Through the Rank

At any step in the Librarian rank, a career plateau may be reached for many librarians. When a recommendation for merit action is made, it must be based on substantive, continued, and extended accomplishment and balance, specifically showing:

1. Realization of potential for superior professional performance and attainment.

2. Sustained quality contributions in a breadth of activity.

3. Contribution to and communication of expertise to the Library, the University or profession.

For Librarians, the weighing of the criteria and expected levels of performance place greater emphasis on balance among the criteria than at the Associate Librarian rank, focusing on breadth and depth of professional activity within the Library, the University, and the profession. Unless significant contributions are shown in other criteria as identified in the APM, denial of merit may result, even with competent performance of the position responsibilities. Absence of documented competence in primary assignments would also result in denial of merit.

F. Advancement to Librarian, Step V

Advancement from Step IV to Step V is reserved for librarians with a truly distinguished career history, who have demonstrated significant achievement since obtaining Step IV. The following criteria were adopted on July 6, 1989.

Librarians whose careers and continuing achievements can be regarded as distinguished are eligible for advancement to the highest step of the Librarian Series, which is presently Librarian, Step V. Evaluation is based on the following:

1. Career history of outstanding service to the library, the University, and the profession.

2. Significant achievement in the period since attaining Step IV.

3. Not less than three years of service at Step IV, except in unusual cases.

While there is no one pattern of what may be considered a distinguished career, there is a two-fold emphasis on considering credentials of those eligible for advancement to Step V.

1. The candidate must have a record demonstrating sustained growth since reaching Step IV of significant achievement in fulfilling responsibilities to the Library, to the University, and to the profession which is of the highest quality and level.

2. The candidate’s total career history prior to advancement to Step V must show an accumulation of accomplishments of a distinguished order, and these accomplishments may occur at any point in a person’s career.

Distinguished achievement may be judged on the local, regional, statewide, national, or international level. Distinguished achievement in the primary area of responsibility (criterion 1) is expected. In addition, distinguished accomplishments must occur in any one or more areas of professional/subject specialization or service, scholarly and applied research, teaching, instruction, mentoring, administration, editorial, publication, or professional society activities as determined by individual career paths. Achievements are evaluated on:

1. Impact and significance on the University or on the profession.

2. Creativity, originality, or insight in the execution of professional activities, publication, library service, etc.

3. Durability of influence over time.

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VI. ACCELERATED MERIT INCREASE

APM Section 210-4 e. (2) states that: "...accelerated promotion is possible only if achievement has been exceptional." It is expected that an accelerated increase or promotion will be rare, reserved for an individual who has performed in a truly outstanding manner during the period under review. In judging exceptional achievement, the overall record must be viewed as exceptional. All areas of evaluation must satisfy the basic expectation of excellence. In addition, the candidate's performance in some areas, although not necessarily all, must clearly be ahead of the performance of other individuals at the same rank and step. If the candidate has performed his or her primary responsibilities in an exceptional manner, but has not participated to any relevant or significant extent in activities within Criteria 2-4, the performance cannot be considered exceptional. Equally, if a candidate has achieved an exceptional performance in activities within Criteria 2-4, yet has not performed his or her primary responsibilities in an excellent manner, the overall performance cannot be considered exceptional.

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VII. NO ACTION

A. DEFERRAL OF REVIEW

A deferred review is the omission of an academic review during a year when a review would normally take place. It is a neutral action which can only be initiated with the written agreement of the reviewee. Consult APM 360-80a(2) for additional information.

B. DENIAL OF MERIT OR PROMOTION

If, during the period under review, a librarian has not shown the superior achievement and qualities required for a merit increase, a recommendation may be made for denial of the proposed action. Both the level of competence and the scope of contributions required for a merit increase or promotion become greater as a librarian advances in rank. Even though performance of specific responsibilities may be superior, it is possible that an individual's total contribution might not justify a recommendation for a given review period. If a librarian is not recommended for a merit increase or promotion when eligible, it does not necessarily mean the individual is being considered for termination. It may be simply that the performance during that review period is not considered sufficiently meritorious to warrant a recommendation for normal advancement in the series.

A librarian in potential career status who is not recommended for a merit increase when eligible should consider that such an action is an indication that his or her performance may not merit the awarding of career status.

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VIII. APPENDICES

APPENDIX A: Academic Personnel Manual (APM)

The complete text of the APM can be found at http://www.ucop.edu/acadadv/acadpers/apm/

APPENDIX B: Normal Periods of Service notes from the Academic Salary Scope Notes, Librarian series can be found at www.ucop.edu/acadadv/acadpers/tab9899/notes.html

Title	Step	Normal Period at Salary
ASSISTANT LIBRARIAN (*)	I	1 year
(3620 - Career Status)	II	1 year
(3621 - Potential	III	1 year
Career Status	IV	1 year
(3622 - Temporary	V	1 year
Status)	VI	1 year
ASSOCIATE LIBRARIAN (**)	I	1 year
(3616 - Career Status)	II	1 year
(3617- Potential	III	2 years
Career Status)	IV	2 years
(3618 - Temporary	V	2 years
Status	VI	2 years
	VII	2 years

LIBRARIAN (***)	I	2 years
(3612 - Career Status)	II	2 years
(3613 - Potential	III	3 years
Career Status)	IV	3 years
(3614 - Temporary		(or--)
Status	V	--

APPENDIX C

BACKGROUND INFORMATION ON THE PEER REVIEW PROCESS

I. The University of California adopted a new personnel policy for librarians in 1972 that was published in its Academic Personnel Manual (APM ) as Sections 210-4 and 360. The changes in the new code had been adopted after lengthy discussions and meetings between members of LAUC, the Library Council, and the Office of the President.

A fundamental change in policy was the establishment of titles which paralleled faculty titles: Assistant Librarian, Associate Librarian, and Librarian. These new titles replaced the civil service type title formerly used (Librarian I, II, III, IV, and V). The librarians had gained the University's acknowledgment that the concept of rank in the individual rather than in the position was a viable one for librarians. Promotion to the upper ranges of the series could be possible based on academic and professional achievements, rather than mainly supervisory or administrative responsibilities, as had been the case previously.

By providing a career ladder which allowed for creative change and individual initiative, it was hoped that improved methods of service and a higher level of personal growth and achievement would result. The librarian would not be limited by the visions and verdicts of the immediate supervisor, but would also be judged by peers on the basis of individual achievements.

II. Academic Review Criteria

Although librarians' titles parallel faculty titles, there are significant differences between the review criteria for the two groups. Criteria for faculty in the professorial series emphasize teaching and research, listing professional competencies third in the hierarchy of review values listed in APM Section 210-1. Academic criteria in APM 210-1 d. (1) through (4) are as follows:

(1) Teaching

(2) Research and Creative Work

(3) Professional Competence and Activity

(4) University and Public Service

By contrast, the specific criteria for librarians emphasizes professional competence in APM Section 210-4 e. (3) (a) through (d):

(a) Professional competence and quality of service within the Library

(b) Professional activity outside the Library

(d) Research and other creative activities

In the lengthy explication of "Professional competence and quality of service within the Library" (APM 210-4 e. 3a), recognizes that contributions may vary considerably, depending upon which of the five major areas of librarianship one might be engaged in. Additionally, this section states:

...librarians should be judged on consistency of performance, grasp of library methods, command of their subjects, continued growth in their fields, judgment, leadership, originality, ability to work effectively with others, and ability to relate their functions to the more general goals of the Library and the University.

The guidelines are vague and are based on the recognition that teaching and research as traditionally defined are not the primary duties of librarians. Suggested methods of measuring performance are equally vague, and rely heavily on the opinions of others as to the evidence of effective service.

Evidence of effective service may include opinions of professional colleagues, particularly those who work closely or continuously with the appointee; the opinions of faculty members, students, or other members of the University community as to the quality of a collection developed, for example, or the technical or public service provided by the candidate; the opinions of librarians outside the University who function in the same specialty as the candidate; the effectiveness of the techniques applied or procedures developed by the candidate; and relevant additional educational achievement; including programs of advanced study or courses taken toward improvement of language or subject knowledge. (APM 210-4 e. 3a).

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CRITERIA FOR LIBRARIAN PERSONNEL ACTION LAUC-I UNIVERSITY OF CALIFORNIA, IRVINE

CRITERIA FOR LIBRARIAN PERSONNEL ACTION

CRITERIA FOR LIBRARIAN PERSONNEL ACTION

LAUC-I

UNIVERSITY OF CALIFORNIA, IRVINE