PROCEDURES AND CRITERIA FOR

PERFORMANCE REVIEW AND PERIODIC EVALUATION

 

VOLUME II: LIBRARIAN FACULTY

CHAPTER 1

PROCEDURES FOR PERFORMANCE REVIEW AND PERIOD EVALUATION

 

FAM 301

 

 

I.  PREAMBLE

1.	Only Unit 3 members and academic administrators may engage in deliberations and make recommendations regarding the evaluation of other librarians. Evaluation criteria and procedures shall be available to librarians before the evaluation process begins. No changes may be made during the evaluation process.
2.	At all levels of review, before recommendations are forwarded to the next evaluation level, librarians shall be given a copy of each recommendation stating in writing the reasons for the recommendation. Librarians have the right to respond or submit a rebuttal within seven days following receipt of the recommendation. A copy of the response or rebuttal statement shall accompany the Working Personnel Action File (WPAF) and shall also be sent to any previous levels of review. Upon request, the librarian may be provided an opportunity to discuss the recommenda tion with the recommending party. This provision shall not require that evaluation time lines be altered.
3.	Personnel recommendations or decisions relating to retention, tenure, promotion, termination, or any other personnel action shall be based primarily on material contained in the Personnel Action File in accordance with Chapter 1, Section II.E of this document. If a personnel recommendation or decision is based on reasons not contained in the Personnel Action File, the party making the recommendation or decision shall commit those reasons to writing and this signed statement shall be placed in the Personnel Action File and a copy provided to the librarian.
4.	In cases of promotion, evaluation committee members must have a higher rank than those being considered for promotion.
5.	Recommendations shall be confidential except that the affected librarian, the designated administrators, the President, and the peer review committee members shall have access to written recommendations.
6.	Timetables for performance review and periodic evaluation are prepared at the beginning of each academic year by the Associate Vice President for Academic Personnel and submitted to the Faculty Senate for approval.

C.  EVALUATION COMMITTEES: Composition and Functions

1. Library Evaluation Committee

a.

Composition: The Library Evaluation Committee shall be composed of three elected tenured members, two of whom must be at the rank of Librarian and the third, Associate Librarian or  Librarian. Library Evaluators may serve on this committee but must withdraw whenever a librarian they evaluate is evaluated. The committee shall elect a chair who shall hold the rank of Librarian. In the event of insufficient eligible/willing members to serve on the Library Evaluation Committee, the Library shall elect members from other academic discipline(s). Such election shall take place by assembling a panel of eligible members from among whom the necessary members shall be chosen. A member of this committee shall not serve concurrently as a member of the University Evaluation Committee.

b.

Functions: this committee shall conduct performance reviews well as periodic evaluations at the Library level as well as periodic evaluations for first, third and fifth year probationary librarians, full and part-time temporary librarians, and tenured librarians who have not been considered for promotion during the past five years.

2.  University Evaluation Committee

a.

Composition: The University Evaluation Committee shall be composed of one tenured Professor elected from each School by the tenure-track faculty of the School: one tenured Librarian elected by the tenure-track librarians: and one tenured SSP, AR or alternate elected by the tenure-track SSP,Ars. Department Chairs or Associate Deans may not serve on this committee. Library Evaluators may serve on this committee but must withdraw whenever a librarian they evaluate is evaluated. Members shall serve two-year staggered terms. The Committee shall elect a Chair. A member of this committee cannot serve concurrently as a member of a Department, Library, SSP, AR or School Evaluation Committee.

b.

Functions: This committee shall conduct performance review for faculty members at the University level in cases where recommendations from the Department, Department Chair, School and Dean are not unanimous as well as in cases involving non-retention, and denial of tenure or promotion. This committee shall also serve as the higher level peer review committee for librarians and SSP,Ars. In addition, the committee shall rank faculty in promotion cases, basing their rankings primarily on previous recommendations and rankings.

D.  INSTRUMENTS OF EVALUATION

1.  Librarian Activities Report (LAR)

To be completed by all librarians subject to performance review, and by probationary and full-time temporary librarians subject to periodic evaluation. These shall cover all three areas of evaluation: professional assignment, professional growth and University and/or community service and shall reflect the cumulative record since appointment. Supporting documentation since the last LAR must be attached (for example, reprints of publications, appropriate evidence regarding speeches, consultations, performances, exhibitions, work in progress, etc.)

--	For probationary librarians being considered for retention and tenured librarians applying for           promotion, all supporting documentation since the last performance review.
--	For probationary librarians applying for early tenure and/or early promotion, all supporting           documentation since appointment.
--	For all others, all supporting documentation since the last performance review.

Librarians may include professional growth activities carried out prior to appointment. Pre-employment dates of such activities should be noted. The entire professional experience of the librarian should be examined and considered, but primary consideration shall be given to the professional accomplishments since appointment.

2.  Library Evaluator's Report

A Library Evaluator's Report shall be completed for each librarian subject to performance review or periodic evaluation. This report shall be completed after the appropriate librarian activities report is submitted to the Library Evaluator. The report makes no recommendation regarding performance review or periodic evaluation retention, promotion or tenure decisions. This signed report shall be submitted to the librarian for his/her ion File. The librarian shall receive a copy of the report and the librarian may submit a written response or rebuttal within seven day following its receipt for consideration in the current evaluation cycle. This statement shall be included in the Personnel Action File.

The Supervising Library Administrator shall prepare a report on the appropriate librarian when one is necessary for either performance review or periodic evaluation.

3.  Student Consultation

a.	Once each quarter, the University Librarian shall announce office hours in the class schedule and on the Library Bulletin Board for the purpose of meeting with students who wish to comment on the performance of librarians. There must be at least twelve such hours chosen so that nearly all students have the opportunity to meet.
b.	The University Librarian must have at least one member of the Library Evaluation Committee present during these meetings. In those instances where the University Librarian and the committee member(s) judge that students' comments may have a bearing on either performance review or period evaluation, the University Librarian shall ask that the comment be submitted in writing and signed. Before a student elects to submit written comments, the student must be advised of the disposition of the comments and the current understanding of the meaning of "open files."
c.	The University Librarian shall submit all written comments to the University Librarian's Office for inclusion in the Personnel Action File of the affected librarian. The librarian shall be informed of such written comments and shall have the right to submit a written response to be included in the Personnel Action File.

E.  FILES

1.  The Personnel Action File(PAF)

a.	A PAF shall be maintained for each librarian.
b.	A librarian shall have the right to submit additional materials to his/her PAF and shall have the right to submit a written rebuttal to any material in his/her file. Only material identified by source may be placed in the PAF. Identification shall indicate the author, the committee, the campus office, or the name of the officially authorized body generating the material. The librarian shall be provided with a copy of any material to placed in the PAF at least five days prior to the placement.
c.	A librarian shall have the right of access to all material in his/her PAF, exclusive of pre-employment materials, except when the pre-employment materials are used in personnel actions.
d.	The PAF may be inspected by the librarian upon request to the ULO. A copy of all materials requested shall be provided within fourteen days of the request. If the librarian believes that any portion of the file is not accurate, a correction or deletion of those materials may be requested. If the request is denied, the librarian shall have seven days to submit the request to the President. Within twenty-one days of the request to the President, the President shall provide to the librarian a written response. If the President grants the request, the record shall be corrected or the deletions made, and the librarian shall be sent a written statement to that effect. If the President denies the request, the response shall include the reason(s) for denial.
e.	The PAF shall be held in confidence. Access to a librarian's file shall be limited to persons with official business. The ULO shall log all instances of access to a PAF. This record shall be a part of the file.

2.  Working Personnel Action File (WPAF)

a.	The WPAF refers to the portion of the Personnel Action File used during the time of periodic   evaluation or performance review of a librarian. The WPAF shall include where required the following:

1.	A LAR reflecting the cumulative record in all areas of evaluation;
2.	Library Evaluator's Reports;
3.	Responses and rebuttals;
4.	All other evaluation materials appropriately included in the PAF;
5.	All current and previous summary statements and recommendations resulting from the evaluation process.

b.

Materials submitted to the WPAF by a librarian for evaluation purposes shall be deemed incorporated by reference in the PAF, but need not be physically placed in the file. An index of such materials shall be prepared by the librarian and submitted with the materials. Such an index shall be permanently placed in the PAF.

F.  RECOMMENDATIONS

Recommendations shall be made following a thorough review of the WPAF relative to each applicable criterion. All participants who make recommendations shall, in addition, ensure that criteria are applied equally for each librarian evaluated. If there are omissions of documentation, information or recommendations in the materials submitted for review, the materials may be returned for amplification. Any such amplification shall be provided in a timely manner.

G. DECISION

The President or designee shall receive the WPAF, review its contents and recommendations, and reach a decision. The President's or designee's decision shall be communicated in writing to the librarian and shall state the reasons for the decision.

A.  DEFINITIONS

1. Performance Review

Performance review is the process whereby decisions concerning retention, promotion, and tenure are made. Performance reviews are based upon information obtained from students, peers, and administrators in the manner described below. Upon completion of deliberations at each level of performance review, a copy of the recommendation shall be forwarded to the librarian, who may respond in writing within seven days after receipt of the recommendation and/or request a meeting with the recommending party.

2.  Probation

The normal period of probation shall be six years of credited service or full-time probationary service. A year of service for a librarian in an academic year position is three consecutive quarters of employment within an academic year. Any deviation from the normal six year probationary period shall be the decision of the President or designee, following consideration of recommendations from the Library Evaluation Committee, University Librarian, and the University Evaluation Committee.

A probationary librarian in the second year of service shall be notified by the President or designee of a final decision on retention no later than February 15. A probationary librarian who has served more than two years of probation shall be notified by the President or designee of a final decision on retention or a terminal year appointment no later than June 1.

3.  Tenure

Tenure is the right of a librarian to continue permanent employment at the campus except when such employment is voluntarily terminated, or terminated by the employer pursuant to the provisions of a collective bargaining agreement or law.

The President or designee may award tenure to a librarian after a six-year probationary period. Upon application by a candidate and consideration of positive recommendations from evaluation committees and the University Librarian, the President or designee may award tenure before the end of the six-year probationary period. Tenure shall be effective at the beginning of the academic year succeeding the year in which tenure is awarded.

4.  Promotion

Promotion is the advancement to a higher rank of a probationary or tenured librarian. A probationary librarian shall not normally be promoted during probation. A probationary librarian shall normally be considered for promotion at the same time he/she is considered for tenure. Probationary librarians shall not be promoted beyond the rank of Associated Librarian.

Upon application by the candidate and following consideration of positive recommendations from evaluation committees and the University Librarian, probationary librarians may be promoted to the rank of Associate Librarian.

A tenured librarian shall normally request consideration for promotion after he/she has (a) been granted four (4) MSAs under the salary schedule in effect prior to the effective date of this Agreement, eight (8) Service Salary Step Increases (SSSI) under the revised salary schedule, or a combination of both which does not exceed the total of eight (8) Service Salary Step Increases on the revised salary schedule, (b) has served four (4) years in the same rank/classification, or (c) has reached the maximum salary for a given rank. Upon application, and following consideration of positive recommendations from evaluation committees and the University Librarian, a tenured librarian may be promoted to the rank of librarian prior to have been granted the MSA/SSSI maximum.

The President or designee shall notify the librarian in writing of the final decision on promotion no later than June 15. Such notification shall include the reasons for approval or denial and shall indicate the effective date of the promotion.

5.  Ranking

All librarians recommended for promotion shall be ranked in order of preference. The same criteria will be utilized in ranking that were used in recommendations for promotion.

Associate librarians on Library Evaluation Committees shall only be involved in the ranking of those recommended for promotion to Associate Librarian.

In all instances, ranking for promotion provides a recommendation to the President or designee for action to be taken in the event of inadequate funds. Where librarians are not promoted due to lack of funds, they shall be automatically considered recommended for promotion and shall be given first priority when funds for promotion next become available.

C.  PROCEDURES FOR PERFORMANCE REVIEW

The performance review process is composed of a number of steps involving the accumulation of materials to be evaluated and the determination of recommendations at various levels of peer and administrative review.

Procedures governing performance review for librarians:

1.	Librarians complete LAR forms and submit these to the ULO. Prior to the beginning of the review process, the faculty unit employee subject to review shall be responsible for the identification of materials he/she wishes to be considered and for the submission of such materials as may be accessible to him/her. Evaluating committees and administrators shall be responsible for identifying and providing materials relating to evaluation not provided by the employee. A specific deadline before the recommendation is made at the first level of evaluation shall be established by campus policy at which time the Working Personnel Action File is declared complete with respect to documentation of performance for the purpose of evaluation. Insertion of material after the date of this declaration must have the approval of the Library Evaluation Committee and shall be limited to items that became accessible after this declaration. Material inserted in this fashion shall be returned to the initial evaluation committee for review, evaluation and comment before consideration at subsequent levels of review. If, during the review process, the absence of required evaluation documents is discovered, the Working Personnel Action File shall be returned to the level at which the requisite documentation shall have been provided. Such materials shall be provided in a timely manner.
2.	Library Evaluators (or the Supervising Library Administrator when necessary) shall complete Evaluator's Reports. Evaluator's Reports, based on LARs, shall be submitted to the ULO.
3.	The ULO assembles the WPAF and submits these to the Library Evaluation Committee and University Librarian for concurrent review and recommendations.
4.	The ULO submits the WPAFs to the University Evaluation Committee for review, recommendations, and rankings in promotion cases.
5.	The ULO submits the WPAFs to the President or designee for decision. In addition to decisions regarding retention, promotion or tenure, the President or designee may notify probationary librarians that performance review is required in the third or fifth probationary year.

IV.  PERIOD EVALUATION

A.  DEFINITIONS

1.	Periodic Evaluation Periodic evaluation is the process whereby librarians who are not subject to performance review are evaluated. Those subject to periodic evaluation include temporary part-time and temporary full-time librarians, and first, third and fifth year probationary librarians. Third and fifth year librarians applying for early tenure and/or early promotion will be subject to performance review and therefore periodic evaluation will not be necessary. Periodic evaluation will also not be necessary for third and fifth year librarians subject to performance review as a result of notification by the President or designee.
2.	Purpose of Periodic Evaluation The purpose of periodic evaluation for librarians is to evaluate professional assignments and where applicable, professional growth and University and/or community service. Where necessary, steps may be recommended to improve performance.
3.	Result of Periodic Evaluation The result of periodic evaluation is to be a summary statement on the strengths and weaknesses of the librarian in the areas of professional assignments, professional growth/activities and University and/or community service. This statement may include recommendations for improvement. Upon completion, each summary statement is placed in the PAF and a copy is provided to the librarian.