ACRL News Issue (B) of College & Research Libraries


May 1987 /  247

M odel sta tem en t o f criteria  a n d  
p r o ced u res fo r a p p o in tm e n t, 
p r o m o tio n  in  a c a d e m ic  r a n k , a n d  
te n u r e  fo r  c o lle g e  a n d  u n iversity 
lib r a r ia n s

P rep a red  by the ACRL A cadem ic Status Com m ittee

Keith Cottam, Chair

A revision of the 1973 model statement.

The follow ing statem ent is a revision of the 
Model Statement first issued by ACRL in 1973. Re­
vised by the Academic Status Committee, the new 
statem ent was approved for publication by the 
Board of Directors of the Association of College 
and Research Libraries on January 20, 1987, dur­
ing the M idwinter Meeting in Chicago. The pre­
vious version, published in C&R L  News in Septem­
ber and October 1973, was rescinded.

Introduction
This Model Statem ent of C riteria and Proce­

dures is intended for use within the context of two 
ACRL policy statements on faculty status for aca­
demic librarians1a, as well as related statements is­
sued by the American Association of University

la“Standards for Faculty Status for College and 
University Librarians,” adopted by the Member­
ship of the Association of College and Research Li­
braries, Dallas, Texas, June 26, 1971; “Joint State­
ment on Faculty Status of College and University 
Librarians,” drafted by a committee of the Associ­
ation of American Colleges (AAC), the American 
Association of University Professors (AAUP) and 
the Association of College and Research Libraries 
(ACRL) on April 26, 1972; endorsed by ACRL 
Membership, Chicago, Illinois, June 26,1972, and 
by AAUP Membership, St. Louis, Missouri, April 
1973.

Professors.1b The objective of this Model Statement 
is to propose criteria and procedures for appoint­
ment, promotion in academic rank and tenure for 
use in academic libraries which will insure that the 
Library Faculty and, therefore, library services, at 
an institution utilizing these criteria and proce­
dures will be of the highest quality possible, consis­
tent w ith the goals and resources of the institution. 
These criteria are intended to be minimal only. 
These procedures may need to be adjusted in minor 
detail to conform w ith existing institutional proce­
dures for other faculty. If there are contractual 
procedures in existence, they must be observed.

lb“T982 Recom m ended In stitu tio n al R egula­
tions on Academic Freedom and Tenure,” AAUP 
Policy D o cu m en ts & R eports (1984 e d .), pp. 
21-30. Much of the present document has been 
draw n from this statement. In particular, the fol­
lowing sections have been adopted nearly in their 
entirety: section IV (T erm ination of A ppoint­
ments); VI (Dismissal Procedures); VII (Action by 
the Governing Board); VIII (Procedures for Im po­
sition of Sanctions Other Than Dismissal); IX (Ter­
minal Salary or Notice); X (Academic Freedom 
and Protection Against Discrimination); XI (Com­
plaints of Violation of Academic Freedom or of 
Discrimination in Nonreappointment); XII (Ad­
ministrative Personnel); XIII (Political Activities of 
Faculty Members).



248 /  C & R L  N ew s

I. Appointment
A . General Policies
1. Appointm ent of librarians shall follow the 

same procedures th a t are established for appoint­
ing all faculty. Any lib rarian  appointed to a college 
or university L ibrary F aculty shall have the appro­
priate term inal professional degree.2 A ppointm ent 
to any rank shall m eet the criteria appropriate to 
th a t rank.

2. To insure th a t only candidates of the highest 
quality are appointed to the L ibrary Faculties of 
colleges and universities, there shall be a com m it­
tee or committees, representative of the L ibrary 
Faculty and appropriately selected, w hich shall re­
view all candidates for appointm ent to the L ibrary 
F aculty. This com m ittee (or these com m ittees) 
shall screen the candidates, participate in the inter­
view process, and make recom m endations to the 
appropriate adm inistrative officer of the library 
concerning appointm ent and initial assignment of 
rank.

3. The term s and conditions of every appoint­
m ent to the L ibrary Faculty shall be stated and 
confirmed in w riting, and copies of all relevant 
documents, including the official docum ent of ap ­
pointm ent, shall be given to the faculty m em ber. 
Subsequent extensions or modifications of an ap­
pointm ent, and any special understandings or no­
tices incum bent on either p arty  to provide, shall be 
stated and confirm ed in w riting and copies shall be 
given to the faculty m em ber.

4. Copies of the appointm ent docum ent, coun­
tersigned by the appropriate institutional officer 
and the faculty m em ber, shall be held by both the 
institution and the individual w hen an appoint­
m ent becomes effective.

B. Probationary A ppointm ents
1. Probationary appointm ents m ay be for one 

year, or for other stated periods, subject to re ­
newal. The total period of full-tim e service prior to 
the acquisition of continuous tenure shall not ex­
ceed — years,3 and m ay include previous full-time
service w ith th e rank of instructor or higher in 
other institutions of higher learning (except th at 
the probationary period m ay extend to as m uch as 
four years, even if the total full-tim e service in the 
profession thereby exceeds seven years; the term s of 
such extension shall be stated in w riting at the tim e 
of initial appointm ent).4 Scholarly leave of absence 
for one year or less shall count as p a rt of the p roba­
tionary period as if it w ere prior service at another 
institution, unless the individual and the institu­
tion agree in w riting to an exception to this provi­

2See the “ACRL Statem ent on the Term inal Pro­
fessional Degree for Academic L ibrarians.”

3This p erio d  w ill not n o rm ally  exceed seven 
years.

4The exception here noted applies only to an in­
stitution whose m axim um  probationary period ex­
ceeds four years.

sion at the tim e the leave is granted.
2. The faculty m em ber shall be advised, at the 

tim e of in itial ap p o in tm en t, of th e substantive 
standards and procedures generally employed in 
decisions affecting renew al and tenure. Any special 
standards adopted by the library shall also be trans­
m itted. The faculty m em ber shall be advised of the 
tim e w hen decisions affecting renew al or tenure 
are ordinarily m ade, and shall be given the oppor­
tunity to subm it m aterial believed to be helpful to 
an adequate consideration of the faculty m em ber’s 
circumstances.

3. Regardless of the stated term  or other provi­
sions of any appointm ents, w ritten notice th a t p ro ­
bationary appointm ent is not to be renew ed shall 
be given to the faculty m em ber in advance of the 
expiration of the appointm ent, as follows: (a) Not 
later th an  M arch 1 of the first academ ic year of ser­
vice if the appointm ent expires at the end of th a t 
academic year; or, if a one-year appointm ent te r­
minates during an academ ic year, at least three 
months in advance of its term ination; (b) not later 
th an  Decem ber 15 of the second academ ic year of 
service if the appointm ent expires at the end of th a t 
year; or, if an initial tw o-year appointm ent term i­
nates during an academ ic year, at least six m onths 
in advance of its term ination; (c) at least twelve 
months before the expiration of an appointm ent af­
ter two or m ore years of service at the institution. 
The institution shall norm ally notify faculty m em ­
bers of the terms and conditions of their renewals 
by M arch 15, bu t in no case shall such inform ation 
be given later t h a n ____________ .5

4. W hen a faculty recom m endation or a decision 
n o t to re n e w  an  a p p o in tm e n t has f irs t b een  
reached, the faculty m em ber involved shall be in­
form ed of th a t recom m endation or decision in 
w riting by the body or individual m aking the ini­
tial recom m endation or decision; the faculty m em ­
ber shall be advised upon request of the reasons 
w hich contributed to th a t decision. The faculty 
m em ber m ay request a reconsideration by the rec­
om m ending or deciding body.

5. If the faculty m em ber so requests, the reasons 
given in explanation of the nonrenew al shall be 
confirmed in w riting.

6. Insofar as the faculty m em ber alleges th a t the 
decision against renew al by the appropriate fac­
ulty body was based on inadequate consideration, 
the com m ittee which reviews the faculty m em ber’s 
allegation shall determ ine w h eth er th e decision 
was the result of adequate consideration in term s of 
the relevant standards of the institution. The re­
view com m ittee shall not substitute its judgm ent on 
the merits for th a t of the faculty body. If the review 
com m ittee believes th a t ad eq u ate consideration 
was not given to the faculty m em ber’s qualifica­
tions, it shall request reconsideration by the faculty 
body, indicating the respects in w hich it believes

5 April 15 is the recom m ended date.



M ay 1987 /  249

the consideration may have been inadequate. It 
shall provide copies of its findings to the faculty 
member, the faculty body, and the president or 
other appropriate administrative officer.

II. Promotion in academic rank
A. General Professional and Scholarly Qualifi­

cations of the Library Faculty
The librarian’s academic preparation for an ap­

pointm ent to the Library Faculty is established on 
the basis of the term inal professional degree. The 
basic quality which must be evident for promotion 
in academic rank is the ability to perform at a high 
professional level in areas which contribute to the 
educational and research mission of the institution, 
such as: reference service, collection development, 
bibliographic organization and control.

Evidence of this level of performance may be ad­
duced from the judgments of colleagues on the Li­
brary Faculty, from members of the academ ic 
community outside the library, and/or from pro­
fessional colleagues outside the academic institu­
tion.

Additional evidence for promotion in rank may 
include:

1. Contributions to the educational function of 
the university: for example, teaching, not necessar­
ily in a classroom situation; organization of work­
shops, institutes or similar meetings; public ap­
p e a ra n c e s in th e  in te re s t of lib ra ria n s h ip  or 
information transfer. Evaluation of such activities 
may be on the basis of the judgm ent of those who 
are instructed and by the considered opinion of col­
leagues.

2. Contributions to the advancem ent of the pro­
fession: for example, active participation in profes­
sional and learned societies as a mem ber, as an offi­
cer, as a committee member, or as a committee 
chairperson.

3. Activities related to inquiry and research: for 
example, publications, such as in professional and 
scholarly journals; presentation of papers; reviews 
of books and other literature; grants; consulting; 
service as a member of a team of experts task force, 
review committee or similar body. Such activities 
shall be judged by professional colleagues on and/ 
or off the campus on the basis of their contribution 
to scholarship, the profession of librarianship, and 
library service.

B. Criteria fo r  Promotion to Specific Ranks
Promotion to the ranks of assistant professor, as­

sociate professor, and professor requires a record of 
successful fulfillment of criteria at the lower level.

Instructor— Appointments at this rank shall re­
quire expectation of successful overall performance 
and the potential for a promising career in librari­
anship.

Assistant professor— Promotion to this rank shall 
require evidence of significant professional contri­
butions to the library and/or to the institution.

Associate professor— P rom otion to this rank

shall require evidence of substantial professional 
contributions to the library and to the institution as 
well as attainm ent of a high level in bibliographical 
activities, in research, or in other professional en­
deavors.

Professor— Promotion to this rank shall require 
outstanding achievements in bibliographical activ­
ities, in research, or in other professional endeav­
ors.

C. Procedures fo r Promotion to Specific Ranks
1. All those below the rank of professor shall be 

reviewed for promotion according to the proce­
dures of the institution.

2. Candidates from the Library Faculty for pro­
motion in academic rank shall be considered by a 
standing or ad hoc peer review committee formed 
in accordance w ith appropriate institutional regu­
lations. In the absence of specific regulations, such 
a committee could be selected by the Library Fac­
ulty or appointed by the chief administrative offi­
cer on the basis of recommendations from the Li­
brary Faculty.

3. Recommendations for promotion in academic 
rank may be m ade by the appropriate library de­
partm ent head, the appropriate assistant or associ­
ate director, or a member of the Library Faculty. 
The candidate shall receive copies of any recom­
m endations or evaluations by the d ep a rtm e n t 
head, appropriate assistant or associate director, 
and the chief administrative officer of the library. 
These statements shall become part of the perm a­
nent record.

4. Docum entation in support of candidates for 
promotion in rank shall include evaluations from 
the appropriate library departm ent head, assistant 
or associate director. Additional documentation 
may include letters from colleagues, copies of pub­
lications and/or reviews, records of committee ac­
tivity and the like.

5. The ad hoc or standing committee (see C-2) 
shall transm it its recommendations to the chief ad­
ministrative officer of the library for all candidates 
together w ith all supporting documentation.

6. The chief administrative officer of the library 
will receive the recommendation of the committee, 
will make his/her decision, and so notify the com­
mittee. If the chief administrative officer of the li­
brary does not concur in any particular recommen­
dation, he/she may, after consultation w ith the 
committee, note such disagreement before notify­
ing the candidate of the recommendations. The 
chief administrative officer of the library shall in­
form the committee and the candidate in w riting of 
the recommendations before transm itting the rec­
ommendations of the committee and the chief ad­
ministrative officer of the library to the appropri­
ate institutional officer. The candidate will then 
have the opportunity to respond in w riting to the 
recommendations. After this, the chief adm inistra­
tive officer of the library will submit his/her recom­
mendation, the recommendation of the commit­
tee, and any responses from these parties or from



250 /  C &R L  N ew s

the candidate, to the appropriate institutional offi­
cer.

7. If a m em ber of the Library Faculty believes 
there are substantial grounds for disagreem ent 
w ith a denial of prom otion, appropriate institu­
tional regulations shall be provided so th at the case 
may be properly reviewed.

III. Tenure (continuous appointment)
A. Tenure is defined as an institutional com m it­

m ent to perm anent and continuous employment to 
be term inated only for adequate cause (for exam­
ple, incompetence; m oral turpitude; retirem ent 
for reasons of age, m ental or physical disability; 
bona fide financial exigency) and only after due 
process. Tenure (continuous appointment) shall be 
available to librarians in accordance w ith the ten­
ure provision of all faculty of the institution.

B. The criteria for tenure are closely allied to the 
criteria for prom otion in academic rank. The rela­
tionship between tenure and rank shall be the same 
for L ibrary Faculty as for other faculty in the insti­
tution. These criteria include:

1. effectiveness of performance as a librarian;
2. quality o f scholarship;
3. effectiveness o f  professional service.
C. A m em ber of the Library Faculty who is a 

candidate for tenure shall be reviewed according to 
procedures set forth in established institutional reg­
ulations as applied to other faculty on the campus. 
These procedures shall be similar to those described 
above for prom otion in academic rank.

IV. Termination of appointments
A. Faculty members may term inate their ap­

pointments, provided they give notice in w riting at 
the earliest possible opportunity, or 30 days after 
receiving notification of the terms of appointm ent 
for the coming year. Faculty members may prop­
erly request a waiver of this requirem ent of notice 
in case of hardship or in a situation where they 
would otherwise be denied substantial professional 
advancement or other opportunity.

B. Termination o f Appointm ents by the Institu­
tion

1. Term ination of an appointm ent w ith continu­
ous tenure, or of a probationary or special appoint­
ment before the end of the specified term , m ay be 
effected by the institution only for adequate cause.

2. If term ination takes the form of a dismissal for 
cause, it shall be pursuant to the procedure speci­
fied in section VI below.

C. Financial Exigency
1. Term ination of an appointm ent w ith continu­

ous tenure, or of a probationary or special appoint­
ment before the end of the specified term , may oc­
cur under extraordinary circumstances because of 
a demonstrably bona fide financial exigency, i.e., 
an im m inent financial crisis which threatens the 
survival of the institution as a whole and which 
cannot be alleviated by less drastic means.

[NOTE: Each institution in adopting regula­
tions on financial exigency will need to decide how 
to share and allocate the hard judgments and deci­
sions th at are necessary in such a crisis.

As a first step, there shall be a faculty body 
which participates in the decision th at a condition 
of financial exigency exists or is im m inent, and th at 
all feasible alternatives to term ination of appoint­
ments have been pursued.

Judgments determ ining where w ithin the over­
all academ ic program  term ination of ap p o in t­
ments m ay occur involve considerations of educa­
tional policy, including affirmative action, as well 
as of faculty status; and shall therefore be the p ri­
mary responsibility of the faculty or of an appro­
priate faculty body. The faculty or an appropriate 
faculty body shall also exercise prim ary responsi­
bility in determ ining the criteria for identifying the 
individuals whose appointm ents are to be term i­
nated. The criteria may appropriately include con­
siderations of age and of length of service.

The responsibility for identifying individuals 
whose appointments are to be term inated shall be 
committed to a person or group designated or ap­
proved by the faculty. The allocation of this re­
sponsibility may vary according to the size and 
character of the institution, the extent of the term i­
nations to be made, or other considerations of fair­
ness in judgment. The case of a faculty member 
given notice of proposed term ination of appoint­
m ent will be governed by the following proce­
dure.]

2. If the adm inistration issues notice to a particu­
lar faculty member of an intention to term inate the 
appointm ent because of financial exigency, the 
faculty mem ber shall have the right to a full hear­
ing before a faculty committee. The hearing need 
not conform in all respects w ith a proceeding con­
ducted pursuant to Section VI, but the essentials of 
an on-the-record adjudicative hearing shall be ob­
served. The issues in this hearing may include:

a. The existence and extent of the condition of fi­
nancial exigency. The burden will rest on the ad­
m inistration to prove the existence and extent of 
the condition. The findings of a faculty committee 
in a previous proceeding involving the same issue 
may be introduced.

b. The validity of the educational judgments and 
the criteria for identification for term ination; but 
the recommendations of a faculty body on these 
m atters shall be considered presumptively valid.

c. W hether the criteria are being properly ap­
plied in the individual case.

3. If the institution, because of financial exi­
gency, term inates appointm ents, it shall not at the 
same tim e make new appointments except in ex­
traordinary circumstances where a serious distor­
tion in the academ ic program  would otherw ise 
result. The appointm ent of a faculty m em ber w ith 
tenure shall not be term inated in favor of retaining 
a faculty member w ithout tenure, except in ex­
traordinary circumstances where a serious distor­



M ay 1987 /  251

tion of the academic program  would otherwise 
result.

4. Before term inating an appointment because 
of financial exigency, the institution, w ith faculty 
participation, shall make every effort to place the 
faculty member concerned in another suitable po­
sition w ithin the institution.

5. In all cases of term ination of appointment be­
cause of financial exigency, the faculty member 
concerned shall be given notice or severance salary 
not less than as prescribed in Section IX.

6. In all cases of term ination of appointm ent be­
cause of financial exigency, the place of the faculty 
member concerned shall not be filled by a replace­
ment w ithin a period of three years, unless the re­
leased faculty member has been offered reinstate­
ment and a reasonable time in which to accept or 
decline it.

D. Discontinuation of a Program or Department 
Not Mandated by Financial Exigency

1. Termination of an appointment with continu­
ous tenure, or a probationary or special appoint­
ment before the end of the specified term , may oc­
cur as a result of bona fide formal discontinuance of 
a program or departm ent of instruction. The fol­
lowing standards and procedures shall apply:

a. The decision to discontinue formally a pro­
gram or departm ent of instruction shall be based 
essentially upon educational considerations as de­
termined prim arily by the faculty as a whole or an 
appropriate committee thereof.

[NOTE: “Educational considerations” do not k 
elude cyclical or tem porary variations in enroll­
ment. They must reflect long-range 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 term inate an ap­
pointment because of formal discontinuance of a 
program or departm ent of instruction, the institu­
tion shall make every effort to place the faculty 
member concerned in another suitable position. If 
placement in another position is facilitated by a 
reasonable period of training, financial and other 
support for such training will be proffered. If no 
position is available within the institution, with or 
without retraining, the faculty member’s appoint­
ment then may be term inated, but only w ith provi­
sion for severance salary equitably adjusted to the 
faculty member’s length of past and potential ser­
vice.

[NOTE: W hen an institution proposes to discon­
tinue a program or departm ent of instruction, it 
should plan to bear the costs of relocating, training, 
or otherwise compensating faculty members ad­
versely affected.]

c. A faculty member may appeal a proposed re­
location or term ination resulting from a discontin­
uance and has a right to a full hearing before a fac­
ulty committee. The hearing need not conform in 
all respects with a proceeding conducted pursuant 
to Section VI but the essentials of an on-the-record

adjudicative hearing shall be observed. The issues 
in such a hearing may include the institution’s fail­
ure to satisfy any of the conditions specified in this 
section. In such a hearing a faculty determination 
th at a program or departm ent is to be discontinued 
shall be considered presumptively valid, but the 
burden of proof on other issues shall rest on the ad­
ministration.

E. Termination fo r Medical Reasons
1. 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 clear and convincing 
medical evidence that the faculty member cannot 
continue to fulfill the terms and conditions of the 
appointment. The decision to term inate shall be 
reached only after there has been appropriate con­
sultation and after the faculty member concerned, 
or someone representing the faculty member, has 
been informed of the basis of the proposed action 
and has been afforded an opportunity to present 
the faculty member’s position and to respond to the 
evidence. If the faculty member so requests, the ev­
idence shall be reviewed by the appropriate com­
m ittee before a final decision is made by the gov­
e rn in g  b o a rd  on th e  re c o m m e n d a tio n  of th e 
administration. The faculty member shall be given 
severance salary not less than as prescribed in Sec­
tion IX.

F. Review
In cases of term ination of appointment, the gov­

erning board will be available for ultimate review.

V. Grievance
In the event th at an amicable solution cannot be 

reached between the two parties, a grievance pro­
cedure shall be provided by the institution. The 
general criteria for a grievance procedure include:

A. The grievance procedure shall be equitable to 
the institution and to the individual.

B. The grievance procedure shall state clearly 
w hat is to be done, when, and by whom.

C. The term  “grievance” shall be clearly de­
fined. Any other terms which could be misunder­
stood shall also be defined.

D. Grievance procedures shall be easy to initiate 
and accessible to all members of the Library Fac­
ulty.

E. Steps in the grievance procedure shall be com­
pleted w ithin specified time limits which do not al­
low either party to delay proceedings unduly. More 
time shall be allowed as the grievance moves to 
higher levels in the procedure.

F. There shall be effective safeguards against re­
prisal for initiating or participating in a grievance 
proceeding and against abuse of the procedures by 
the grievant or by the institution.

G. Excessive reliance on precedent is undesir­
able.

H. Any grievance procedure in a library must be 
consistent w ith applicable institutional regulations 
and contracts.



252 /  C & R L N ew s

VI. Dismissal procedures
A. Adequate cause for a dismissal shall be re­

lated, directly and substantially, to the fitness of 
faculty members in their professional capacities as 
librarians. Dismissal shall not be used to restrain 
faculty members in their exercise of academic free­
dom or of other rights of American citizens.

B. Dismissal of a faculty member w ith continu­
ous tenure, or w ith a special or probationary ap­
pointm ent before the end of the specified term , 
shall be preceded by:

1. discussions between the faculty m em ber and 
appropriate adm inistrative officers looking tow ard 
a m utual settlement;

2. informal inquiry by the duly elected faculty 
committee th at may, failing to effect an adjust­
ment, determ ine w hether in its opinion dismissal 
proceedings shall be undertaken, w ithout its opin­
ion being binding upon the president;

3. a statem ent of charges, fram ed w ith reason­
able particularity by the president or the presi­
dent’s delegate.

C. A dismissal, as defined above, shall be pre­
ceded by a statem ent of reasons, and the individual 
concerned shall have the right to be heard initially 
by the elected faculty hearing com m ittee.6 Mem­
bers deeming themselves disqualified for bias or in­
terest shall remove themselves from the case, either 
at the request of a p arty or on their own initiative. 
Each party shall have a maximum of two chal­
lenges w ithout stated cause.7

1. Pending a final decision by the hearing com­
m ittee, the faculty member shall be suspended, or 
assigned to other duties in lieu of suspension, only if 
im m ediate harm  to the faculty m em ber or others is 
threatened by continuance. Before suspending a 
faculty mem ber, pending an ultim ate determ ina­
tion of the faculty m em ber’s status through the in­
stitution’s hearing procedures, the adm inistration 
shall consult w ith the appropriate committee con­
cerning the propriety, the length, and the other 
conditions of the suspension. A suspension which is 
intended to be final is a dismissal, and shall be 
treated as such. Salary shall continue during the 
period of the suspension.

2. The hearing committee may, w ith the consent 
of the parties concerned, hold joint prehearing 
meetings w ith the parties to:

a. simplify the issues;
b. effect stipulations of facts;
c. provide for the exchange of docum entary or 

other inform ation; and,
d. achieve such other appropriate pre-hearing 

objectives as shall make the hearing fair, effective,

6This shall not be the same committee as consti­
tuted in section B above.

7Regulations of the institution shall provide for 
alternates, or for some other m ethod of filling va­
cancies on the hearing com m ittee resulting from 
disqualification, challenge w ithout stated cause, 
illness, resignation or other reason.

and expeditious.
3. Service of notice of h ea rin g  w ith  specific 

charges in w riting shall be m ade at least tw enty 
days prior to the hearing. The faculty m em ber may 
waive a hearing or may respond to the charges in 
w riting at any tim e before the hearing. If the fac­
ulty m em ber waives a h earin g , b u t denies the 
charges or asserts th at the charges do not support a 
finding of adequate cause, the hearing tribunal 
shall evaluate all available evidence and rest its rec­
ommendation upon the evidence in the record.

4. The committee, in consultation w ith the pres­
ident and the faculty m em ber, shall exercise its 
judgm ent as to w hether the hearing shall be public 
or private.

5. D uring the proceedings the faculty mem ber 
shall be perm itted to have an academic advisor and 
counsel of the faculty m em ber’s choice.

6. At the request of either party or the hearing 
committee, a representative of a responsible educa­
tional association shall be perm itted to attend the 
proceedings as an observer.

7. A verbatim  record of the hearing or hearings 
shall be taken and a typew ritten copy shall be made 
available to the faculty m em ber w ithout cost, at 
the faculty m em ber’s request.

8. The burden of proof th a t adequate cause exists 
rests w ith the institution and shall be satisfied only 
by clear and convincing evidence in the record con­
sidered as a whole.

9. The hearing committee shall grant adjourn­
ments to enable either party to investigate evidence 
as to which a valid claim of surprise is made.

10. The faculty m em ber shall be afforded an op­
portunity to obtain necessary witnesses, docum en­
tation, or other evidence. The adm inistration shall 
cooperate w ith the hearing committee in securing 
witnesses and m aking available docum entation 
and other evidence.

11. The faculty m em ber and the adm inistration 
shall have the right to confront and cross-examine 
all witnesses. W here the witnesses cannot or shall 
not appear, but the committee determines th a t the 
interests of justice require admission of their state­
ments, the committee shall identify the witnesses, 
disclose their statements, and, if possible, provide 
for interrogatories.

12. In the hearing of charges of incompetence, 
the testimony shall include th a t of qualified faculty 
members from this or other institutions of higher 
education.

13. The hearing committee shall not be bound 
by strict rules of legal evidence, and m ay adm it any 
evidence which is of probative value in determ in­
ing the issues involved. Every possible effort shall 
be m ade to obtain the most reliable evidence avail­
able.

14. The findings of fact and the decision shall be 
based solely on the hearing record.

15. Except for such simple announcements as 
m ay be required, covering the tim e of the hearing 
and similar m atters, public statements and public-



M ay 1987 /  253

ity about the case by either the faculty member or 
administrative officers shall be avoided so far as 
possible until the proceedings have been com ­
pleted, including consideration by the governing 
board of the institution. The president and the fac­
ulty member shall be notified of the decision in 
writing and shall be given a copy of the record of 
the hearing.

16. If the hearing committee concludes th at ade­
quate cause for dismissal has not been established 
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 committee and to the fac­
ulty member, and provide an opportunity for re­
sponse before transm itting the case to the govern­
ing board. If the hearing committee concludes that 
adequate cause for a dismissal has been estab­
lished, but th at an academic penalty less than dis­
missal is more appropriate, it shall so recommend, 
with supporting reasons.

VII. Action by the governing board
If dismissal or other severe sanction is recom­

mended, the president shall, on request of the fac­
ulty member, transm it to the governing board the 
record of the case. The governing board’s review 
shall be based on the record of the committee hear­
ing, and it shall provide opportunity for argument, 
oral or w ritten or both, by the principals at the 
hearings or by their representatives. The decision 
of the hearing committee shall either be sustained, 
or the proceeding returned to the committee with 
specific objections. The committee shall then re­
consider, taking into account the stated objections, 
and receiving new evidence if necessary. The gov­
erning 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 con­
duct of a faculty member, although not constitut­
ing adequate cause for dismissal, is sufficiently 
grave to justify imposition of a severe sanction, 
such as suspension from service for a stated period, 
the administration may institute a proceeding to 
impose such a severe sanction; the procedures out­
lined in Section VI shall govern such a proceeding.

B. If the administration believes th at the con­
duct of a faculty member justifies the imposition of 
a minor sanction, such as a reprim and, it shall no­
tify the faculty member of the basis of the proposed 
sanction and provide the faculty member w ith an 
opportunity to persuade the administration that 
the proposed sanction shall not be imposed. A fac­
ulty member who believes that a major sanction 
has been incorrectly imposed under this p a r a ­
graph, or th at a minor sanction has been unjustly 
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 appointm ent is term inated, the faculty 

member shall receive salary or notice in accord­
ance with the following schedule: at least three 
months, if the final decision is reached by March 1 
(or three months prior to the expiration of the first 
year of probationary service); at least six months if 
the decision is reached by December 15 of the sec­
ond year (or after nine months but prior to eighteen 
months) of probationary service; at least one year, 
if the decision is reached after eighteen months of 
probationary service or if the faculty member has 
tenure. This provision for term inal notice or salary 
need not apply in the event that there has been a 
finding th at the conduct which justified dismissal 
involved moral turpitude. On the recommenda­
tion of the faculty hearing committee or the presi­
dent, the governing board, in determining w hat, if 
any, payments shall be m ade beyond the effective 
date of dismissal, may take into account the length 
and quality of service of the faculty member.

X. Academic freedom and 
protection against discrimination

A. All members of the faculty, whether tenured 
or not, are entitled to academic freedom as set forth 
in the 1940 “Statement of Principles on Academic 
Freedom and T enure,” form ulated by the Associa­
tion of American Colleges and the American Asso­
ciation of University Professors.

B. All members of the faculty, whether tenured 
or not, are entitled to protection against illegal or 
unconstitutional discrimination by the institution, 
or discrimination on a basis not demonstrably re­
lated to the faculty member’s professional perfor­
mance, including but not limited to race, sex, reli­
gion, n atio n al origin, age, physical han dicap, 
m arital status, or sexual or affectional preference.

XL Complaints of violation of 
academic freedom or of 

discrimination in nonreappointment
If a faculty member on probationary or other 

nontenured appointm ent alleges th at a decision 
against reappointm ent was based significantly on 
considerations violative of (1) academic freedom or 
(2) governing policies on making appointm ents 
without prejudice with respect to race, sex, reli­
gion, national origin, age, physical handicap, m ar­
ital status, or sexual or affectional preference, the 
allegation shall be given preliminary consideration 
by the appropriate committee, which shall seek to 
settle the m atter by informal methods. The allega­
tion shall be accompanied by a statement th at the 
faculty member agrees to the presentation, for the 
consideration of the faculty committee, of such 
reasons and evidence as the institution may allege 
in support of its decision. If the difficulty is unre­



254 /  C& RL News

solved at this stage, and if the committee so recom­
mends, the m atter shall be heard in the m anner 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 are
based, and the burden of proof shall rest upon the
faculty member. If the faculty member succeeds in
establishing a prim a facie case, it is incum bent
upon those who m ade the decision against reap­
pointment to come forw ard with evidence in sup­
port of their decision. Statistical evidence of im­
proper discrimination may be used in establishing
a prim a facie case.

XII. Administrative personnel
The foregoing regulations apply to adm inistra­

tive personnel who hold academic rank, but only in
their capacity as faculty members. Administrators
who allege that a consideration violative of aca­

 
 
 
 
 
 
 

 

 
 

demic freedom, or of governing policies against im­
proper discrimination as stated in Section XI, sig­
nificantly contributed to a decision to term inate 
their appointm ent to an administrative post, or not 
to reappoint them , are entitled to the procedures 
set forth in Section XL

XIII. Political activities of 
faculty members

Faculty members, as citizens, are free to engage 
in political activities. W here necessary, leaves of 
absence may be given for the duration of an elec­
tion campaign or a term of office, on timely appli­
cation, and for a reasonable period of time. The 
terms of such leave of absence shall be set forth in 
writing, and the leave shall not affect unfavorably 
the tenure status of a faculty member, except th at 
time spent on such leave shall not count as proba­
tionary service unless otherwise agreed to. ■ ■

C o p y rig h t response

The ACRL Copyright Committee sent the fol­
lowing position paper to Ralph Oman, Register of
Copyrights, on March 25, after approval by the
ACRL Board of Directors.

The ACRL Copyright Com m ittee is charged
with the responsibility of eliciting the concerns of
ACRL members concerning copyright and of gath­
ering information about copyright issues that im­
pinge upon academic libraries. W ithin th at fram e­
w ork, w e p ro v id e th e  fo llo w in g  com m ents
concerning the Copyright Office plans for the sec­
ond five-year review of Section 108 of the Copy­
right Law.

Colleges and universities and their libraries, us­
ing the American Library Association’s Model Pol­
icy Concerning College and University Photocopy­
ing for Classroom, Research and Library Reserve 
Use, have interpreted the Copyright Act in a m an­
ner that is in the spirit of the law and consistent 
with the rights and needs of both copyright propri­
etors and the academic community. The ACRL 
Copyright Committee wishes to encourage librari­
ans to continue their good faith efforts to promote
compliance with the law, particularly “fair use,” 
within the context of higher education. Such ef­
forts serve to promote educational values while
balancing the interests of copyright owners and us­
ers of copyrighted materials. The language of the
copyright statute is general; however, it will con­
tinue to produce uncertainty. While final decisions 
of statutory interpretation rest with the courts, the
committee wishes to remind librarians that out-of- 
court settlements, such as the 1982 NYU settle­
ment, do not set legal precedent and are not neces­
sarily appropriate models for those other than the

 
 

 
 

 

 

 

 

 

parties to these agreements.
It is the consensus of the ACRL Copyright Com­

mittee that the existing law adequately deals with 
printed m atter. Therefore, the committee urges 
that this and future reviews focus on those non­
print areas where guidance is especially needed. 
This committee has spent much of its energy, both 
in and out of formal meetings, dealing w ith the 
copyright implications of the acquisition and circu­
lation of computer software and audiovisual m ate­
rials. The committee urges that Congress amend 
the statute to include five-year reviews of copyright 
law as it relates to new technologies. Such regularly 
scheduled reviews of this area of the law might not 
only lead to voluntary agreement and clarification 
of the statute’s meaning, but also would provide 
copyright ow ners, lib rarian s, and educators a 
structured and public opportunity to discuss m at­
ters of concern relating to copyright and the new 
technologies as they emerge and develop. ■ ■

OPAC indexing

Dorothy McPherson of the UC Berkeley Of­
fice of Library Autom ation will be the lead 
speaker at the RASD Catalog Use Committee’s 
discussion fo ru m  on M o nday, Ju n e  29, 
9:00-11:00 a.m . The forum, entitled “Do We 
Need Another Standard? Public Service Per­
spectives on OPAC Indexing,” will explicate 
the problems encountered in querying multiple 
online catalogs due to variations in indexing 
particular fields or subfields.



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