april05b.indd standards and guidelines A guideline for the appointment, promotion, and tenure of academic librarians A draft by the ACRL Committee on the Status of Academic Librarians Introduction This guideline for appointment, promotion, and tenure is intended for use where librar­ ians have faculty status. It is intended for ap­ plication within the context of two ACRL pol­ icy statements on faculty status for academic librarians,1 as well as related statements issued by the American Association of University Pro­ fessors.2 The objective of this guideline is to propose criteria and procedures for appointment, pro­ motion in academic rank, and tenure (continu­ ous appointment) for use in academic libraries. Using these criteria and procedures will ensure that the library faculty (and, therefore, library services) will be of the highest quality possible. These criteria are intended to be minimal only. These procedures may need to be adjusted in minor detail to conform with existing institu­ tional procedures for other faculty. Any con­ tractual procedures must be observed. I. Appointment A. General policies 1. Appointment of librarians shall follow the same procedures that are established for appointing all institutional faculty members. Any librarian appointed to a college or univer­ sity library faculty shall have the appropriate terminal professional degree.3 Appointment to any rank shall meet the criteria appropriate to that rank. 2. To ensure that only candidates of the high­ est quality are appointed to the library faculty, there shall be a committee representative of the library faculty selected to review and screen all candidates, participate in the interview process, and make recommendations for appointment. 3. The terms and conditions of every ap­ pointment to the library faculty shall be stated and confirmed in writing, and copies of all relevant documents, including the official document of appointment, shall be given to the faculty member. Subsequent extensions or modifications of an appointment shall be stated and confirmed in writing. B. Probationary appointments 1. Probationary appointments may be for no less than one year, or for other stated periods longer than a year, subject to renewal. The total period of full­time service prior to acquiring tenure shall not exceed seven years, and may include previous full­time service with the rank of instructor or higher in other institutions of higher learning (except that the probationary period may extend to as much as four years, even if the total full­time service in the profes­ sion thereby exceeds seven years; the terms of such extension shall be stated in writing at the time of initial appointment). Scholarly leave of absence for one year or less shall count as part of the probationary period as if it were prior service at another institution, unless the individual and the institution agree in writing to an exception to this provision at the time the leave is granted. 2. The faculty member shall be advised at the time of initial appointment of the substan­ tive standards and procedures employed in decisions affecting renewal and tenure. Institu­ tional standards should be clearly identifi ed, as well as any special standards adopted by the library. The faculty member shall be advised of 308C&RL News April 2005 About the guidelines This draft statement is a revision of the “Model Statement of Criteria and Procedures for Appointment, Promo­ tion in Academic Rank and Tenure for College and University Librarians,” fi rst issued by ACRL in 1973 and revised in the time when decisions affecting renewal or tenure are made. 3. The institution shall normally notify faculty members of the terms and conditions of their renewals by March 15 or three months before the new contract begins. 4. Written notice that probationary appoint­ ment is not to be renewed shall be given to the faculty member in advance of the expiration of the appointment, as follows: Length of probationary Written notice given appointment One year Initial two­year appointment Two or more years of service 5. When a faculty recommendation or a deci­ sion not to renew an appointment has fi rst been reached, the faculty member involved shall be informed of that recommendation or decision in writing by the body or individual making the initial recommendation or decision; the faculty member shall be advised upon request of the reasons that contributed to that decision. The faculty member may request reconsideration by the recommending or deciding body. 6. If the faculty member so requests, the reasons given in explanation of the non­renewal shall be confirmed in writing. 7. Should the faculty member allege that the decision against renewal was based on unfair­ ness, the committee that reviews the faculty member’s allegation shall determine whether the decision was fair in terms of the relevant stan­ dards of the institution. The review committee 1987. This revision has been developed by the ACRL Committee on the Status of Academic Librarians. Any suggestions or corrections should be addressed to Com­ mittee Chair Sharon McCaslin, e­mail: smccaslin@fontbonne.edu. shall not substitute its judgment on the merits for that of the faculty body. If the review com­ mittee determines that adequate consideration was not given, it shall request reconsideration by the faculty body, indicating the respects in which it believes the consideration may have been inadequate. It shall provide copies of its findings to the faculty member, the faculty body, and the chief executive officer or other appropriate administrative offi cer. II. Promotion in aca­ demic rank December 15th or at least six months in advance of termination A. General profes­ March 1st or at least three months before sional and scholarlyend of first year of probationary service qualifications of the library faculty All activities shallAt least one year in advance of termination be judged by profes­ sional colleagues on and/or off the campus on the basis of their contribution to scholar­ ship, the profession of librarianship, and library service. The basic criterion for promotion in academic rank is to perform professional level tasks that contribute to the educational and research mission of the institution. Evidence of this level of performance may be judged by colleagues on the library faculty, members of the academic community outside the library, and/or professional colleagues out­ side the academic institution. Additional evidence for promotion in rank may include: 1. Contributions to the educational mission of the institution: for example, teaching (not necessarily in a classroom); organization of workshops, institutes, or similar meetings; public appearances in the interest of librarianship or information transfer. Assessment by students April 2005 309 C&RL News mailto:smccaslin@fontbonne.edu and professional colleagues may contribute to this evaluation. 2. Contributions to the advancement of the profession: for example, active participa­ tion in professional and learned societies as a member. 3. Activities related to inquiry and research: for example, scholarly publication, presentation of papers, reviews of books and other literature, grants, consulting, service as a member of a team of experts, or other means of disseminating professional expertise. B. Criteria for promotion to specifi c ranks Promotion to the ranks of assistant profes­ sor, associate professor, and professor requires a record of successful fulfillment of criteria at the lower level. Instructor—Appointments at this rank shall require expectation of successful overall perfor­ mance and the potential for a promising career in librarianship. Institutional practice for faculty appointments varies. Specialized skills or exper­ tise may justify appointment at a higher rank. Assistant professor—Promotion to this rank shall require evidence of signifi cant profes­ sional contributions to the library or to the institution. Associate professor—Promotion to this rank shall require evidence of substantial professional contributions to the library and to the institution, as well as attainment of a high level in research or other professional endeavors. Professor—Promotion to this rank shall re­ quire outstanding achievements in librarianship, research, and other professional endeavors. C. Procedures for promotion to specific ranks 1. Candidates for promotion in academic rank shall be considered by a peer review com­ mittee formed in accordance with appropriate institutional regulations. 2. Recommendations for promotion in aca­ demic rank may be made by the appropriate administrator, or a member of the library faculty, who shall give the candidate copies of any rec­ ommendations or evaluations. These statements shall be retained. 3. Documentation in support of candidates for promotion in rank shall include evaluations from the appropriate administrator. Additional documentation may include letters from col­ leagues, copies and reviews of publications, records of committee activity, etc. 4. The peer review committee (see C­1) shall transmit its recommendations, with all support­ ing documentation, to the chief administrative officer of the library. 5. The chief administrative officer of the library will receive the recommendations of the committee, make a decision, and so notify the committee. If the chief administrative offi cer of the library does not concur in any particular recommendation, after consultation with the committee, he/she may note such disagreement before notifying the candidate of the recom­ mendations. The chief administrative offi cer of the library shall inform the committee and the candidate in writing of the recommendations before transmitting the recommendations of the committee and the chief administrative offi cer of the library to the appropriate institutional offi cer. The candidate then will have the opportunity to respond in writing to the recommendations. After this, the chief administrative offi cer of the library will submit his/her recommendation, the recommendation of the committee, and any re­ sponses from these parties or from the candidate to the appropriate institutional offi cer. 6. If the candidate for promotion believes there are substantial grounds for disagree­ ment with a denial of promotion, appropriate institutional regulations shall be provided so that the case may be properly reviewed. The unsuccessful candidate may file a grievance as specified in Section V. III. Tenure (continuous appointment) A. Tenure, or continuous appointment, is defined as an institutional commitment to permanent employment to be terminated only for adequate cause (for example, incompetence, malfeasance, mental or physical disability, bona fi de financial exigency) and only after due pro­ cess. Tenure (continuous appointment) shall be available to librarians in accordance with provi­ sions for all faculty of the institution. 310C&RL News April 2005 B. The criteria for tenure are closely allied to the criteria for promotion in academic rank. The relationship between tenure and rank shall be the same for library faculty as for other faculty in the institution. These criteria include performance, scholarship, and service. C. A candidate for tenure shall be reviewed according to established institutional regulations, which shall be similar to those described above for promotion in academic rank. IV. Termination of appointments A. Termination of appointment by the in­ dividual Faculty members may terminate their ap­ pointments, provided they give notice in writing at the earliest possible opportunity, or within 30 days after receiving notification of the terms of appointment for the coming year. Faculty members may properly request a waiver of this requirement of notice in case of hardship or in a situation where they would otherwise be denied substantial professional advancement. B. Termination of appointment by the in­ stitution 1. Termination of an appointment with con­ tinuous tenure, or of a probationary or special appointment before the end of the specifi ed term, may be effected by the institution only for adequate cause. 2. If termination takes the form of a dismissal for cause, it shall be pursuant to the procedure specified in section VI below. 3. Financial exigency a. Termination of an appointment with con­ tinuous tenure, or of a probationary or special appointment before the end of the specifi ed term, may occur under extraordinary circum­ stances because of a demonstrably bona fi de financial exigency (an imminent fi nancial crisis that threatens the survival of the institution as a whole and cannot be alleviated by less drastic means). When adopting regulations on fi nancial exi­ gency, each institution will need to decide how to allocate the necessary hard decisions. The institution shall appoint a representative faculty body to participate in determining that a condi­ tion of financial exigency exists or is imminent, and that all feasible alternatives to termination of appointments have been pursued. The termination of appointments involves consideration of all educational programs and policy, including affirmative action and faculty status. These determinations should be the primary responsibility of an appropriate faculty body. The faculty or an appropri­ ate faculty body shall also exercise primary responsibility in determining the criteria for identifying the individuals whose appoint­ ments are to be terminated. The criteria may appropriately include considerations of age and of length service. The faculty should designate or approve the group or person who is responsible for selecting the individuals whose appointments are to be terminated. The allocation of this responsibility may vary according to the size and character of the institution, the extent of the terminations to be made, or other considerations. The case of a faculty member given notice of proposed termination of appointment will be governed by the following procedure. b. If the administration issues notice of an intention to terminate the appointment of a particular faculty member because of fi nancial exigency, the faculty member shall have the right to a full hearing before a faculty committee. The hearing need not conform in all respects with a proceeding conducted pursuant to Sec­ tion VI, but the essentials of an on­the­record adjudicative hearing shall be observed. The issues in this hearing may include: i. The existence and extent of the condition of financial exigency (The burden will rest on the administration to prove the existence and extent of the condition. The findings of a faculty committee in a previous proceeding on this issue may be introduced.); ii. The validity of the educational judgments and the criteria for identification for termina­ tion (The recommendations of the faculty body should be accepted.); iii. Whether the criteria are being properly applied in the individual case. April 2005 311 C&RL News c. If the institution terminates appointments because of financial exigency, it shall not make new appointments at the same time except in extraordinary circumstances. The appointment of a faculty member with tenure should not be terminated in favor of retaining a faculty member without tenure, except in extraordinary circumstances. d. Before terminating an appointment be­ cause of financial exigency, the institution, with faculty participation, shall make every effort to place the faculty member concerned in another suitable position within the institution. e. In all cases of termination of appoint­ ment because of financial exigency, the faculty member concerned shall be given notice or severance salary not less than as prescribed in Section IX. f. In all cases of termination of appointment because of financial exigency, the place of the faculty member concerned shall not be fi lled by a replacement within a period of three years, unless the released faculty member has been offered reinstatement. 4. Discontinuation of a program or depart­ ment not mandated by fi nancial exigency Termination of an appointment with con­ tinuous tenure, or a probationary or special appointment before the end of the specifi ed term, may occur as a result of bona fi de formal discontinuance of a program or department of instruction. The following standards and proce­ dures shall apply: a. The decision to discontinue formally a library unit, department, or function shall be based essentially upon educational consid­ erations as determined primarily by the fac­ ulty as a whole or an appropriate committee thereof. Note: “Educational considerations” do not include cyclical or temporary variations in enrollment. They must refl ect long­range judgments that the educational mission of the institution as a whole will be enhanced by the discontinuance. b. Before the administration issues notice to a faculty member of its intention to terminate an appointment because of formal discontinu­ ance of a library unit, department, or function, the institution shall make every effort to place the faculty member in another suitable position and offer a reasonable period of training at the institution’s expense. If no position is available within the institution, the faculty member’s ap­ pointment then may be terminated, but only with provision for severance salary equitably adjusted to the faculty member’s length of past and potential service. c. A faculty member may appeal a proposed relocation or termination resulting from discon­ tinuance and has a right to a full hearing before a faculty committee. In such a hearing a faculty determination that a program or department is to be discontinued should be accepted, but the burden of proof on other issues shall rest on the administration. 5. Termination for medical reasons Termination of an appointment with tenure, or of a probationary or special appointment before the end of the period of appointment for medical reasons, shall be based upon medical evidence that the faculty member cannot con­ tinue to fulfill the terms of the appointment. Sick leave or disability status should be used when­ ever possible. The decision to terminate shall be reached only after there has been appropriate consultation and after the faculty member, or someone representing the faculty member, has been informed of the proposed action and has an opportunity to respond to the evidence. If the faculty member so requests, the appropri­ ate committee shall review the evidence before the institutional governing board makes a fi nal decision on the recommendation of the admin­ istration. The faculty member shall be given severance salary not less than that prescribed in Section IX. 6. Review In case of termination of appointment, the governing board shall be available for ultimate review. V. Grievance In the event that an amicable solution can­ not be reached between the two parties, a grievance procedure shall be provided by the institution. The general criteria for a grievance procedure include: 312C&RL News April 2005 A. The procedure shall be equitable to both parties. B. The procedure shall state clearly what is to be done, when, and by whom. C. The term grievance, as well as any other terms that could be misunderstood, shall be clearly defi ned. D. The procedures should be accessible to and easy to initiate by all members of the library faculty. E. Steps in the procedure shall be com­ pleted within specified time limits. Additional time shall be allowed as the grievance moves to higher levels. F. There shall be effective safeguards against reprisal for initiating or participating in a grievance proceeding and against abuse of the procedures. G. Any procedure must be consistent with applicable institutional regulations and contracts. VI. Dismissal procedures A. Adequate cause for a dismissal shall be related, directly and substantially, to the fi t­ ness of faculty members in their professional capacities as librarians. Dismissal shall not be used to restrain faculty members in their exer­ cise of academic freedom. B. Dismissal of a faculty member with continuous tenure, or with a special or pro­ bationary appointment before the end of the specified term, shall be preceded by: 1. Discussions between the faculty member and appropriate administrative offi cers looking toward a mutual settlement; 2. Inquiry by the duly elected faculty com­ mittee that will make a non­binding recom­ mendation to continue or cancel dismissal proceedings; and 3. A statement of charges, framed by the chief executive officer or the CEO’s delegate. C. A dismissal procedure should include a written statement of adequate cause. The indi­ vidual concerned shall have the right to address the elected faculty hearing committee. 1. Pending a final decision by the hearing committee, the faculty member shall be as­ signed to other duties in lieu of suspension, and suspended only if his/her continued presence poses a signifi cant danger. 2. The hearing committee may, with the consent of the parties concerned, hold joint prehearing meetings with the parties to stipulate the facts, provide for the exchange of documen­ tary or other information, and achieve other appropriate prehearing objectives to make the hearing fair, effective, and expeditious. 3. The faculty member may waive a hearing or may respond to the charges in writing at any time before the hearing. If the faculty member waives a hearing, the committee shall evaluate all available evidence and submit its recommen­ dation upon the evidence in the record. 4. The committee—in consultation with the chief executive officer and the faculty mem­ ber—shall determine whether the hearing shall be public or private. 5. During the proceedings, the faculty mem­ ber shall be permitted to have an academic advisor and counsel of the faculty member’s choice. 6. At the request of either party or the hear­ ing committee, a representative of a responsible educational association shall be permitted to attend the proceedings as an observer. 7. A verbatim record of all hearings shall be taken and a copy made available to the faculty member without cost, on request. 8. The burden of proving adequate cause rests with the institution and shall be satisfi ed only by clear and convincing evidence in the record considered as a whole. 9. The faculty member shall have the oppor­ tunity to obtain necessary witnesses, documen­ tation, or other evidence. The administration shall cooperate with the hearing committee in securing witnesses, documentation, and other evidence. 10. The faculty member and the administra­ tion shall have the right to confront and cross­ April 2005 313 C&RL News examine all witnesses. When the witnesses cannot or shall not appear, but the committee determines that the interests of justice require admission of their statements, the commit­ tee shall identify the witnesses, disclose their statements, and, if possible, provide for inter­ rogatories. 11. In the hearing of charges of incompe­ tence, the testimony shall include that of quali­ fi ed librarians. 12. The hearing committee shall not be bound by strict rules of legal evidence. It may admit any evidence that is of probative value in determining the issues. Every possible ef­ fort shall be made to obtain the most reliable evidence. 13. The findings of fact and the decision shall be based solely on the hearing record. 14. Except for simple necessary announce­ ments that cover the time of the hearing and similar matters, all parties shall avoid public statements and publicity about the case until the proceedings have been completed. 15. If the hearing committee concludes that adequate cause for dismissal has not been estab­ lished by the evidence in the record, it shall so report to the president. If the president rejects the report, the president shall state the reasons for doing so, in writing, to the hearing commit­ tee and to the faculty member, and shall provide an opportunity for response before transmitting the case to the governing board. If the hearing committee concludes that an academic penalty less than dismissal is more appropriate, it shall so recommend with supporting reasons. VII. Action by the institutional govern­ Length of ing board probationary If dismissal or other severe sanction service is recommended, the president shall, on Less than 9 request of the faculty member, transmit the months record of the case to the governing board. The governing board’s review shall be based on the record of the committee hear­ Between 9 and ing. This review shall provide opportunity 18 months for the principals or their representatives Over 18 months to make oral and/or written argument. The or member has governing boards shall either sustain the tenure decision of the hearing committee or return the findings to the committee with specifi c ob­ jections. The committee shall then reconsider, taking into account these objections and receiv­ ing new evidence, if necessary. The governing board shall make a final decision only after study of the committee’s reconsideration. VIII. Procedures for imposition of sanctions other than dismissal A. If the administration believes that the conduct of a faculty member does not constitute adequate cause for dismissal, but is suffi ciently grave to justify imposition of a severe sanction, such as suspension from service for a stated period, the administration may institute a pro­ ceeding to impose such a severe sanction. The procedures outlined in Section VI shall govern such a proceeding. B. If the administration believes that the conduct of a faculty member justifies the imposi­ tion of a minor sanction, such as a reprimand, it shall notify the faculty member of the basis of the proposed sanction. The faculty member shall have an opportunity to persuade the ad­ ministration that the proposed sanction not be imposed. A faculty member who believes that a major or minor sanction has been incorrectly imposed may, pursuant to Section V, petition the faculty grievance committee for such action as may be appropriate. IX. Terminal salary or notice If the appointment is terminated, the faculty member shall receive salary or notice in accor­ dance with the following schedule: Final decision reached by March 1 December 15 After 18 months of service Notice given Three months before end of first year of probationary service At least six months At least one year 314C&RL News April 2005 This provision for terminal notice or sal­ ary need not apply in the event that there has been a finding that the conduct, which justifi ed dismissal, involved malfeasance. On the recommendation of the faculty hearing committee or the chief executive offi cer, the governing board may take into account the length and quality of service of the faculty member in determining what, if any, pay­ ments shall be made beyond the effective date of dismissal. X. Academic freedom and protection against discrimination All members of the faculty, whether ten­ ured or not, are entitled to academic free­ dom as set forth in the 1940 “Statement of principles on academic freedom and tenure,” formulated by the Association of American Colleges and the American Association of University Professors. All members of the faculty, whether ten­ ured or not, are entitled to protection against illegal or unconstitutional discrimination by the institution, or discrimination on a basis not demonstrably related to the faculty mem­ ber’s professional performance, including, but not limited to, race, sex, religion, national origin, age, physical handicap, marital status, or sexual preference. XI. Complaints of violation of academic freedom or of discrimination in non­re­ appointment If a faculty member on probationary or other non­tenured appointment alleges that a decision against reappointment was based significantly on considerations that violate either academic freedom or policies of nondiscrimination with respect to race, sex, religion, national origin, age, physical handicap, marital status, or sexual preference, the allegation shall be first considered by the appropriate committee. This committee shall try to settle the matter by informal methods. The allegation of violation shall be accom­ panied by the faculty member’s statement consenting to the institution’s presentation of supporting evidence to the committee. An unresolved matter shall be heard in the man­ ner set forth in Sections VI and VII, except that the faculty member making the complaint is responsible for stating the grounds upon which the allegations of violation are based, and the burden of proof shall rest upon the faculty member. If the faculty member suc­ ceeds in establishing a prima facie case, it is incumbent upon those who made the decision against reappointment to present evidence in support of the decision. Statistical evidence of improper discrimination may be used in establishing a prima facie case. XII. Administrative personnel The foregoing regulations apply to admin­ istrative personnel who hold academic rank, but only in their capacity as faculty members. The procedures set forth in Section XI apply to termination or non­reappointment to an administrative post. Administrators who allege a violation of academic freedom or of govern­ ing policies against improper discrimination are entitled to these procedures. Notes 1. “Standards for faculty status for col­ lege and university librarians,” approved by ACRL and ALA, January 2001 (www. ala.org/ala/acrl/acrlstandards/standards­ faculty.htm); “Joint statement on faculty status of college and university librarians,” drafted by a committee of the Association of American Colleges (AAC), the American Association of University Professors (AAUP), and ACRL; endorsed by ACRL, June 1972, and by AAUP, April 1973. Reaffirmed by ACRL, June 2001. (www.ala.org/ala/acrl /acrlstandards/jointstatementfaculty.htm). 2. “Recommended Institutional Regula­ tions on Academic Freedom and Tenure” (www.aaup.org/statements/Redbook/RBrir. htm). Much of the original “Model state­ ment” was drawn from earlier versions of this statement. 3. See the ACRL “Statement on the termi­ nal professional degree for academic librar­ ians” (www.ala.org/ala/acrl/acrlstandards /statementterminal.htm). April 2005 315 C&RL News www.ala.org/ala/acrl/acrlstandards www.aaup.org/statements/Redbook/RBrir www.ala.org/ala/acrl