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Collective Agreement

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Criteria and Procedures 
for Promotion and 
Continuing Appointments of 
Professional Librarians

(Article 13)

25 September 1978

Renewed 21 September 2009

Preamble

The following criteria and procedures for promotion and continuing appointments of librarians were developed to reflect the spirit of the Report of the Senate Committee on Tenure and Promotion (10 December 1971), and to set out criteria and procedures for librarians analogous to those applied in the tenure and promotion of faculty members.

Because librarians' functions within the academic community are not the same as those of faculty members and because Senate does not govern on the promotion and continuing appointments of librarians as it does with faculty, the criteria for promotion and continuing appointments of librarians outlined in this document are more detailed than those contained in the Senate Committee's Report.

1.0 Criteria

Because promotion and continuing appointments affect junior members of the Library staff, the criteria below are described so that they may constitute not only a basis for evaluation after performance, but also a means for encouraging junior librarians before and during performance.

Recommendations concerning promotion and continuing appointments are based on a librarian's total contribution to the Library and the academic community. For purposes of assessing that contribution, there are three general areas associated with a librarian's performance which will be evaluated:

1. Professional performance and knowledge

2. Professional development

3. Service

The Promotion and Continuing Appointments Committee (PCAC) will review all candidates in accordance with these guidelines and ensure that the guidelines are applied uniformly and fairly to all cases under consideration. Librarians under review will be evaluated in each of the three areas above on the following scale:

Excellent
Highly competent
Competent
Not satisfactory

1.1 Professional Performance and Knowledge

There are many functions performed by librarians in varied contexts, but, of necessity, the primary responsibilities of librarians are to build sound collections in the Libraries, to establish effective bibliographic control over those collections and to assist students and faculty members in making effective use of the Libraries’ resources as they are required to support academic and research pursuits. Since effective library service to the York community is the primary function of the Libraries, it follows that every librarian's foremost responsibility is to provide a high standard of service to the community of users. Therefore, every librarian being evaluated for promotion to any rank, or for continuing appointment, must achieve at least high competence in this area. To determine a librarian’s effectiveness, the content of an individual’s job is considered in relation to the following factors: knowledge and application of bibliographic techniques; initiative and resourcefulness in problem-solving whether bibliographic or managerial; quality of judgement in decision-making; understanding of library operations and purposes; ability to utilize current library techniques and theories; interaction with library personnel at all levels; effectiveness of contact with library users; degree of flexibility in accepting responsibility; adapting to and integrating new methods and technology to provide better library service; ability to plan and evaluate library services, resources and functions; level of knowledge of subject or foreign languages, if relevant to responsibilities; and ability to communicate effectively both in verbal and written form.

1.2 Professional Development

In this area, a librarian's activities above and beyond the assigned responsibilities are considered. Since distinction with the library profession arises from research and scholarly work, this area of assessment includes an evaluation of the following factors: an assessment of the research and scholarly work; sharing of professional skills and knowledge with others through publications and lectures; leadership roles in professional and scholarly associations.

A librarian's ability to achieve distinction both inside of York as well as in the larger professional context, often relates to the systematic pursuit of further knowledge. Therefore, consideration will also be given to a candidate's efforts to continue to extend or develop the level of knowledge of librarianship and/or of specific subjects, through either formal or informal educational programs.

1.3 Service

Librarians are expected to serve on some committees as part of their professional responsibilities. Contributions to other committees, however, especially those which shape library or academic policies and/or serve the whole University community, are assessed as an area where a candidate can have displayed sound judgment and knowledge of library and information science.

2.0 Eligibility

Ranks for librarians exist so that the profession may be internally responsible for administering its own standards of achievement. Although there is no absolute relation between ranks and length of service within the University, there is an association between ranks and a general pattern of professional development.

A university librarian is a professional devoted to the pursuit of excellence in the provision of library service, research, pursuit of continuing self development and service to the institution. Promotion is therefore related to the University's recognition of a librarian's achievements. The decision to grant continuing appointment to a librarian, however, is more critical than the decision to promote, in that continuing appointment is concerned with the librarian's right to pursue and communicate knowledge and express opinions in an atmosphere free of reprisals and with the University's right to entrust its institutional life to its best men and women. Thus librarians eligible for promotion and continuing appointments will move at varying rates, according to their own pattern of professional growth.

2.1 Years in Rank

Time in rank is based upon a year which begins on 1 July of the calendar year of an individual's appointment. A "year" for purposes of this document therefore extends from 1 July to 30 June. Thus for individuals appointed in the last six months of a calendar year, the first "year" ends on 30 June of the following calendar year; for those appointed in the first six months of a calendar year, the first "year" ends on 30 June of the following calendar year.

2.2 Patterns of Advancement

The following outline of advancement is an average profile to indicate what might be expected by librarians. It is not, however, a set pattern.

Promotions and conferral of continuing appointments are effective the beginning of the next appointment year.

Minimum time requirements for advancement or promotion are normally as follows:

• From Pre-Candidacy to Candidacy - three years' professional experience including at least one year at York;

• to Associate Librarian and Continuing Appointment - five years' professional experience and at least one year at York;

• to Senior Librarian - at least ten years' professional experience including two years of outstanding performance as an Associate Librarian at York.

As stated above, continuing appointment is one of the most important relationships between a librarian and the University since it confers upon the librarian a continuing career appointment. Therefore, it is reasonable to assume that a candidate who has been judged worthy of continuing appointment is normally worthy of being promoted to the rank of Associate Librarian. Nevertheless, there may be exceptional cases in which promotion is warranted without the conferral of continuing appointment and in which continuing appointment may be granted but promotion to Associate Librarian delayed.

In such exceptional cases, the Pre-Candidacy and Candidacy terms may be extended or delayed by one year to ensure a fair appraisal of a candidate for either promotion or continuing appointment. The circumstances under which such an extension could occur may involve one or more of the following:

1. medical circumstances - where extended and severe medical problems have delayed a candidate from realising his/her promise;

2. major change in field of professional responsibility;

3. documented high promise of excellence or high competence in the three areas to be realized in the immediate future (i.e., no longer than two years);

4. exceptional conditions where extraordinary service was rendered by the candidate;

5. extended leave of absence, where provision for credit or non-credit of such time to the years of service has been arranged in advance of the leave between the candidate and the University Librarian/Dean, Faculty of Law.

A candidate may request such an extension or delay by applying in writing to the PCAC within 15 calendar days of receipt of the University Librarian's/Dean, Faculty of Law’s notification of the initiation of proceedings.

In cases where PCAC recommends delay of promotion, a candidate may reapply in the following year. If he/she does not reapply, the candidate will automatically be reconsidered in the second year after the delay recommendation.

2.3 Librarians with Previous Experience

Librarians may be appointed at any rank. Except in unusual circumstances, a candidate should complete at least one year of service at York before being considered for a continuing appointment. The Pre-Candidacy and Candidacy periods may be shortened for librarians with service elsewhere. Librarians appointed as Associate or Senior Librarians will enter Candidacy upon appointment, unless an agreement to the contrary has been reached between the University Librarian/Dean, Faculty of Law and the candidate.

3.0 Progression of Ranks and Appointment Status

Most initial appointments at York are probationary. The purpose of the probationary appointment is to provide the University and the candidate an opportunity for mutual appraisal. Probation does not imply that tenure and promotion will be granted, but it does imply that the University gives serious consideration to such an appointment during that period.

There are two sequential probationary periods: Pre-Candidacy and Candidacy. The two phases may not total more than six years. In the exceptional case of Pre-Candidacy lasting four years and the individual then being moved into Candidacy, the period of Candidacy shall be two years.

3.1 Pre-Candidacy

All Assistant Librarians become pre-candidates upon appointment. The period of Pre-Candidacy will not normally exceed three years. A librarian shall not remain in the Pre-Candidacy rank for more than three years. During this three-year period, it will be determined whether an individual's appointment will be continued to Candidacy. Proceedings concerning the promotion and advancement of an Assistant Librarian, or the non-renewal of a probationary appointment, may be initiated at any time during the three-year Pre-Candidacy period, but must be initiated by 1 May of the second year of service.

3.1.2 Criteria for Advancement

The criteria below apply to advancement of a pre-candidate to candidate. To advance, an individual must be assessed as highly competent in the area of professional performance and knowledge, and at least competent in the other two areas. Evidence of the levels of competence required would include, but not be limited to, the following characteristics of performance:

1. Demonstrated fulfilment of assigned responsibilities and duties;

2. Indications of increasing ability to act independently and creatively;

3. Increasing interest in and capacity for improving the overall effectiveness of a unit's operations;

4. Demonstrated potential for long-range planning and the ability to identify problems, assess alternative solutions and consequences of recommendations;

5. Demonstrated capacity to work harmoniously with colleagues and Library users;

6. Some evidence of increasing competence in a subject area;

7. Successful completion of and/or participation in work-related courses and/or institutes;

8. Dependability and reliability in the execution of responsibilities;

9. Need for a decreasing amount of direction as experience increases;

10. Understanding of Library policies and ability to interpret those policies when required;

11. Effective participation in Library task forces, committees, etc.; effective representation of Library interests and problems to non-Library groups, committees or University officials;

12. Membership in a professional or subject-related association;

13. Promise of further growth in a specific position, in general professional knowledge and, if pertinent, in a subject area.

3.2 Candidacy

During the period of Candidacy, which normally extends up to three years beyond Pre-Candidacy, the eligibility of a librarian for continuing appointment is determined. Librarians appointed at the rank of Associate or Senior Librarians will enter Candidacy upon appointment, unless an agreement to the contrary has been reached between the University Librarian/Dean, Faculty of Law and the candidate upon appointment. Proceedings concerning consideration for continuing appointment of a librarian may be initiated at any time after one year of Candidacy, but must be initiated by 1 March of the second year of Candidacy.

Librarians who are in the Candidacy period and hold the rank of Assistant Librarian may also normally be reviewed for promotion to the rank of Associate Librarian during the Candidacy period. A normal expectation of promotion to the rank of Associate Librarian would be after three to six years in the rank of Assistant Librarian.

3.2.1 Criteria for Advancement

The criteria below apply to advancement of a librarian from Candidacy to continuing appointment, as well as promotion from the rank of Assistant Librarian to Associate Librarian. To qualify for a continuing appointment or for promotion to the rank of Associate Librarian, an individual must be assessed to have at least high competence in the area of professional performance and knowledge and at least high competence in one other area.

Evidence of the levels of competence required would include, but not be limited to, the following characteristics of performance:

1. Demonstrated excellence in fulfilment of position responsibilities and duties;

2. Obvious ability to act independently and creatively in the position and by so doing to enhance the ability of the Library to fulfill its objectives;

3. Clear understanding of policies; ability to justify and interpret Library policies to staff and users;

4. Significant contributions in the form of analysis, evaluation, planning, advice and/or counsel, suggestions, and actions which improve the operations of a specific Library unit;

5. Provides leadership in fostering effective interpersonal relationships both within the Library and within the community of users; consistently sensitive to user needs and coordinates execution of responsibilities with others affected;

6. Demonstrated planning ability; long-range planning ability and/or the ability to define Library objectives and goals will be considered in terms of ability to set objectives, to allocate resources consistent with system-wide goals and resources, and to shape Library policies, i.e., planning ability based on thorough analyses and evaluations of needs and constraints as well as the ability to gain commitment of persons affected by the changes planned for;

7. Evidence of growth in librarianship and/or subject area; awareness of trends in the profession;

8. Successful completion and/or participation in job-related courses, institutes and the like;

9. Publications or other presentations in librarianship or other subject areas. When publications or other presentations are being considered, the content and form of such materials is considered rather than the number of titles or descriptive phrases on any curriculum vitae;

10. Representing York or providing leadership in local, regional, national or international organizations devoted to librarianship and/or subject areas;

11. Effective participation in Library and University task forces, committees and the like. When assessing a candidate’s contribution in service, mere membership on committees or service in a position is not enough. The quality of service is considered in terms of thoroughness and consistency of planning and performance, originality of ideas, leadership and quality of end product;

12. Effective representation of Library interests and problems to non-Library groups, committees or University officials, when such representation is normally not part of position responsibilities;

13. Other professional contributions to the academic or general community.

3.3 Continuing Appointment: Promotion to Senior Librarian

Librarians with continuing appointment and the rank of Associate Librarian may apply to the University Librarian/Dean, Faculty of Law for promotion to the rank of Senior Librarian. While this level of achievement cannot be identified with serving a fixed number of years as an Associate Librarian, it is nevertheless considered that most librarians will be eligible for promotion to Senior Librarian after ten years of professional experience.

The rank of Senior Librarian is one to which all professional librarians may aspire. A Senior Librarian is an eminent member of the Library whose achievement at York or in another institution has marked that individual as one of the persons from whom the Library receives its energy and strength.

This promotion is not in recognition of long service but is rather a recognition of distinguished service, senior levels of responsibilities or outstanding professional achievement.

3.3.1 Criteria

Assessment of eligibility for promotion to Senior Librarian is not made on the basis of evaluation of performance in the three areas of professional performance and knowledge, professional development, and service. For a Senior Librarian, these areas cannot be separated, but rather intertwine and overlap to produce an overall quality of excellence. Thus, an individual’s achievements as a whole are assessed.

Evidence of the level of achievement required for promotion to Senior Librarian are illustrated by the following:

1. Performance of work which is consistently outstanding and above the norm;

2. Innovative work in designing and implementing new procedures and systems; acceptance of an increasing amount of responsibility and effective coordination of the work of others. These qualities may be demonstrated in bibliographic, administrative, service, instructional or collection development activities;

3. Leadership in interdepartmental work, committees, or projects;

4. Superior service to the Library community through improvement in the relationship between the Library and its users, such as improving communications, increasing use of Library services by means of lectures, effective contact with students and faculty, etc. Scholarship as evidenced by original research and publications;

5. Professional expertise, including evidence of growth of self as well as contributions to the continuing education of other librarians and Library staff.

4.0 Procedures for Promotion and Continuing Appointments

4.1 Initiation of Proceedings

It is the responsibility of the Office of the University Librarian/Dean, Faculty of Law to initiate proceedings at appropriate times by notifying the candidate and the PCAC on the standard form. Proceedings may also be initiated by the candidate provided that the established time requirements have been met. In the case of promotion to Senior Librarian, proceedings are always initiated by the individual.

When the Office of the University Librarian/Dean, Faculty of Law initiates procedures, the following deadlines shall be adhered to:

1. Pre-Candidacy to Candidacy - by 1 May of the second year of Pre-Candidacy;

2. Candidacy to continuing appointment - by 1 March of the second year of Candidacy.

4.2 Processing by the Promotion and Continuing Appointments Committee (PCAC)

4.2.1 Upon initiation of proceedings, either by an individual or the Office of the University Librarian/Dean, Faculty of Law, the PCAC will prepare a file on a candidate as follows:

1. by requesting an up-to-date curriculum vitae from the candidate (required);

2. by requesting a letter from the candidate’s department head or equivalent (required);

3. obtaining copies of the candidate’s job description and annual performance evaluations, both of which the candidate has had the opportunity to read, comment upon and sign. (Note: the methods of preparing job descriptions and carrying out annual performance appraisals are not specified; however, they must be previously agreed upon by the candidate and the department head or equivalent; not required until such time as job descriptions and performance evaluations are consistently available for all librarians at York University);

4. obtaining reports, publications, external assessments, letters from colleagues or Library users, or conducting interviews with knowledgeable co-workers, etc., as requested by the PCAC or the candidate (optional);

5. confidential letters of reference from at least four referees: two referees knowledgeable about the candidate’s professional performance and knowledge and two referees knowledgeable about the candidate’s contribution to either one or both of the other areas (optional for promotions; required for continuing appointment);

6. letter of University Librarian/Dean, Faculty of Law (optional).

4.2.2 It is the responsibility of the candidate to supply the information requested by the PCAC so that it is able to proceed with its deliberations. The complete file will proceed from the PCAC to the University Librarian/Dean, Faculty of Law, who will pass the file to the President for his/her recommendation to the Board of Governors.

When a file is complete, the PCAC will notify the candidate.

All documents in a candidate’s file for promotion and/or continuing appointment will be open to the candidate at all levels of consideration, except for confidential letters of reference. Confidential letters must be communicated in writing to the candidate by the PCAC without identifying the referee/colleague.

All files for continuing appointment must contain letters of reference solicited as confidential (e.g., from colleagues within the Libraries and outside referees). Unsolicited confidential letters may not be included in the files on which recommendations concerning promotion and continuing appointments are made. Copies of official letters of recommendation which are forwarded from the PCAC, as well as University Librarian's/Dean, Faculty of Law’s letters which are forwarded, must be sent to the candidate.

Should either the candidate or the PCAC so request, a meeting will be scheduled to discuss the file. The candidate may be accompanied by a colleague at such a meeting.

4.3 Recommendations

4.3.1 On the basis of material in the file, the PCAC will make a recommendation to the University Librarian/Dean, Faculty of Law according to the following schedule:

Pre-candidate to candidate - within one year of the initiation of proceedings

Candidate to continuing appointment - within one year of the initiation of proceedings

Assistant Librarian to Associate Librarian - within one year of the initiation of proceedings

Associate Librarian to Senior Librarian - within one year of the initiation of proceedings

4.3.2 The Promotion and Continuing Appointments Committee will recommend all files to the University Librarian/Dean, Faculty of Law’s under the categories of positive, negative or delay with respect to promotion from one rank to another, award of continuing appointment, renewal of appointment in the Pre-Candidacy phase of probation, and appointment to the Candidacy phase. In the case of promotion to Senior Librarian, the recommendations shall be positive or delay. If the latter, the individual may reapply not earlier than two years from the date of the previous recommendation. There is no appeal for recommendations concerning promotions.

4.3.3 In the event of either a negative or a delay recommendation, the PCAC will notify both the University Librarian/Dean, Faculty of Law and the candidate of the reasons in writing and will supply a detailed statement of the reasons for their recommendation. Such statements will be added to the candidate’s file.

If the recommendation of the University Librarian/Dean, Faculty of Law differs from the recommendation of the PCAC, the University Librarian/Dean, Faculty of Law shall give the candidate reasons in writing.

If the recommendation is negative or delay, such notification shall be sent to the candidate by registered mail.

5.0 Appeals

5.1 A candidate shall have 15 days from the date of receipt of the notice of recommendation from the PCAC to appeal to the University Librarian/Dean, Faculty of Law in writing. Upon receipt of such an appeal, the University Librarian/Dean, Faculty of Law shall refer the file to an Appeals Committee.

5.2 The Appeals Committee shall review the recommendation of the PCAC on the basis of the file of the candidate as it stood when the final recommendation of the PCAC was made.

5.3 A candidate appealing on a recommendation respecting continuing appointment shall be permitted, if he/she wishes, to nominate a file which was before the PCAC, preferably in the same year, or if necessary in the previous year, which the PCAC felt was worthy of continuing appointment and to which the candidate wishes to be compared.

5.4 The Appeals Committee shall be permitted access to files which come before the PCAC.

5.5 The Appeals Committee shall review the file of the appellant and report to the University Librarian/Dean, Faculty of Law with its recommendation within two months of its notification of appeal.

6.0 Membership of the Promotion and Continuing Appointments Committee

A standing committee on Promotion and Continuing Appointments shall advise the University Librarian/Dean, Faculty of Law on promotions and continuing appointments; its deliberation shall be in camera and completely confidential.

Normally, the PCAC shall consist of five members, at least two of whom shall be librarians with continuing appointment, one to be a non-librarian and one librarian without continuing appointment.

When considering the file of a librarian appointed in the Law Library, at least one member of the PCAC shall be a librarian appointed in the Law Library with continuing appointment, if possible. If necessary to meet this requirement, the PCAC shall, for the purpose of reviewing such a file, add one member.

No person may serve on a committee to consider an appeal relating to continuing appointment if he/she was a member of the PCAC which made the original recommendation.

6.1 Membership of Appeals Committees

Appeals committees are struck on an ad hoc basis when required and shall consist of three members, as follows: two librarians - one named by the appellant and one named by the PCAC or the University Librarian/Dean, Faculty of Law, depending on the stage at which the appeal is made - and a third member chosen by the two designated librarians. At least one member should have continuing appointment; the third member may be an external designate.

As per clause 13.06 of the Collective Agreement between York University and the York University Faculty Association, amendments to this document require the approval of both parties to the Agreement.