Academic Staff and Professional Librarian Appointments

Formalities of Appointments

 

III.1.1

All appointments of members shall be made by the Board after receiving a recommendation from the President. The President's recommendation to the Board shall follow receipt of a recommendation from the Dean. The Dean's recommendation to the President shall follow receipt of a recommendation from the department and/or program to which the appointment is being made. No appointments of members shall be made without a positive recommendation from the department and/or program, the Dean, and the President. In the case of librarian members, the place of the Dean shall be taken by the University Librarian, and the place of the department and/or program shall be taken by the Librarians' Committee.

 

III.1.2 Letters of Appointment

 

Letters of appointment of members shall be issued by the President or designate. Such letters of appointment shall be consistent with the articles of this Agreement, and shall include:

 

1. rank;

    

2. department or program or library affiliation;

    

3. category of appointment;

    

4. date of commencement of appointment;

    

5. salary;

    

6. term of the appointment in the case of a probationary appointment or limited term appointment;

    

7. a general statement of the regular duties and responsibilities pertaining to the position to which appointment is made;

    

8. if the appointment is of a part-time member, the specified proportion of full-time employment required by the regular duties and responsibilities of the appointee;

    

9. in the case of probationary appointments, a copy of the written specific standards for the application of the tenure criteria (where these have been adopted - see III.6.4.2); and,

    

10. a copy of this Agreement.

 

III.2 Ranks

 

III.2.1 Faculty Ranks

 

All appointments of faculty members shall be at one of the following ranks:

Professor;

Associate Professor;

Assistant Professor;

Lecturer.

These ranks may be qualified by the following categories:

tenured;

probationary;

limited term;

full-time;

part-time;

reduced-time;

partially-retired (see Appendix D);

visiting (see III.3.2.5).

 

III.2.2 Librarian Ranks

 

All appointments of librarian members shall be at one of the following ranks: Librarian IV, III, II, I. These ranks may be qualified by the following categories:

permanent;

probationary;

limited term;

full-time;

part-time;

reduced-time;

partially-retired (see Appendix D);

visiting (see III.3.2.5).

 

III.3.1 Definitions

 

III.3.2.1

A full-time appointment is one in which the member's regular duties and responsibilities require full-time employment on a year-round basis as these are defined by the varying practice and procedures used by the departments and programs or the library.

 

III.3.2.2

A part-time appointment is one in which the member's regular duties and responsibilities require some specified proportion of full-time employment.

 

III.3.2.3

A reduced-time appointment is one held by a tenured/permanent member, in accordance with the terms of III.3.4.

 

III.3.2.4

A partially-retired appointment is one held by a tenured/permanent member, in accordance with the terms of Appendix D to this Agreement.

 

III.3.2.5

A visiting appointment is one held on a defined, limited-term basis by an individual who is on leave from another employer and who is committed to return to a position of regular employment outside Trent. Where the visiting appointment is for one (1) year or less, the appointment shall be regarded as being outside the scope of the bargaining unit, although formal faculty/librarian rank shall be assigned in accordance with the appointee's status with their primary employer, and salary shall be assigned in accordance with Schedule A, based on academic rank and years of experience under the usual practices in that regard. In addition, the Personnel Committee of the appropriate unit shall approve any such appointment.

Where the visiting appointment is for more than one (1) year, the appointment shall be regarded as being within the bargaining unit, and all articles of this Collective Agreement shall apply. Association dues shall be deducted in the normal fashion, and the Association and the individual appointee are responsible for making check-off/dues arrangements, as appropriate, with the primary employer.

TUFA shall receive copies of all offers of Visiting Appointments.

 

III.3.3 The Position of Part-time Members

 

III.3.3.1

Part-time members shall receive salary compensation on the same scale as full-time members, provided that the amounts of all salaries and increments shall be in a proportion of full-time employment specified in their letters of appointment.

 

III.3.3.2

All other benefits and compensation for part-time members (including entitlements for leave) shall be negotiated between the parties on a case-by-case basis until there is agreement on a general formula to be attached to this Agreement.

 

III.3.3.3

Part-time members shall have duties and responsibilities so far as possible equivalent to those of full-time members, provided that such duties and responsibilities shall require only that proportion of full-time employment specified in the letters of appointment.

 

III.3.3.4

Criteria and procedures (except as provided in III.3.3.5 below) for tenure/permanence and promotion shall be the same for part-time members as for full-time members.

 

III.3.3.5

The time limits on probationary appointments may be revised for part-time members by agreement of the parties on a case-by-case basis, until there is agreement on a general formula to be attached to this Agreement.

 

III.3.4 Revision from Full-time to Part-time

 

III.3.4.1

Members may apply in writing to the Dean of Arts and Science, on a wholly voluntary basis, to revise their category of employment from full-time to reduced-time, or from part-time or reduced-time to a smaller proportion of full-time which shall not in any case be less than one-half (1/2). Such revision shall require the consent of the departmental committee, of the Dean or the University Librarian, and of the President. Application for such reduction must be made by January 1 of the preceding academic year.

 

III.3.4.2

Members holding reduced-time appointments shall have the right to resume their previous status provided that not more than thirty-six (36) months have elapsed since the change of status. Members intending to resume their previous status may do so only on July 1, and shall give notice of intention to do so not later than the preceding January 1. Those who do not exercise the right under this section to resume previous status shall be deemed to hold a part-time appointment.

 

III.3.4.3

Each application for reduced-time employment shall be in writing with a copy to the Association.

 

III.3.4.4

Reduced-time appointments remain subject to IV.1.1 and IV.1.2. While it is normally expected in the allocation of those responsibilities that duties will be spread uniformly over the academic year, a member may request an alternative allocation, in writing, to the Dean/University Librarian with a copy to the Association. Unless the Association objects, within twenty (20) working days of receipt of the copy of the written request, the Dean/University Librarian may approve the alternative workload allocation. Where the Association objects, the reasons shall be clearly set out, in writing, to the Dean/University Librarian. If the application ( III.3.4.1) for a reduced-time position is approved, the letter from the President (or designate) authorizing the appointment shall state clearly the nominal salary of the appointee, the reduction in regular duties and responsibilities, the actual salary, the date of commencement of the appointment, the office and research facilities, and any special terms and conditions of the appointment which differ significantly from the general statement of regular duties contemplated in III.1.2.(g).

 

III.3.4.5

No reduced-time appointment shall take effect until and unless the appointee accepts it and all its terms and conditions in writing.

 

III.3.4.6

A copy of each letter of appointment and each letter of acceptance of a reduced-time position shall be sent to the Association.

 

III.3.4.7

A member with a reduced-time appointment shall receive EYS credits and sabbatical salary in accordance with IV.5.2.2.

 

III.3.4.8

A member opting for a reduced-time status shall be entitled to full benefits based upon the proportion of nominal salary prior to commencing the reduced-time appointment for the first three (3) years of the reduced-time appointment. The Board shall in each of these three (3) years in addition pay, with respect to all benefits, the difference between the member's contributions, based upon actual salary, and the contribution required by the proportion of nominal salary prior to commencing the reduced-time appointment. Thereafter such members shall receive benefits in accordance with III.3.3.2.

 

III.3.5 Spousal Appointments

 

III.3.5.1

A request made by a member for a half-time appointment under III.3.4.1 may include the condition that the funds released by revision of the member's category of employment shall be directed to an appointment to be held by the member's spouse ("the spousal appointment"). Such a conditional request shall include either a statement that the revision is intended to be permanent, in which case III.3.4.2 shall not apply and the request must include an acknowledgement that the member forfeits his/her rights under III.3.4.2, or a statement that the revision is requested for a definite term, in which case III.3.5.2 shall apply. The request shall indicate the duration of the definite term, which must not exceed three (3) years.

A request made under this Article with the spousal appointment condition shall not be acted upon until a written application for spousal appointment is received from the member's spouse, and shall not be approved unless the spousal appointment is also approved. Should the spousal application fail, the revising member shall have the option of proceeding to reduced-time under III.3.4, without the spousal appointment condition, and notwithstanding the deadlines in III.3.4.1.

 

III.3.5.2

A member holding a definite-term reduced-time appointment arising from a request made under III.3.5.1 shall have the right to resume his/her previous status on the day following the last day of the definite term.

 

III.3.5.2.1

A reduced-time member who does not give notice under III.3.5.2.2 or III.3.5.2.3 below shall be deemed to resume his/her previous status at the end of the definite term.

 

III.3.5.2.2

Not later than six (6) months before the end of the definite term, members may apply in writing to extend their revision to reduced-time for a further definite term, provided that the cumulative total shall not exceed three (3) years. Such extension shall require the consent of the departmental committee, of the Dean or University Librarian, and of the President. Upon approval of such request, the Dean shall advise the spousal appointee of the revising member's request and shall invite the spousal appointee to apply in writing within one (1) month for an extension of the spousal appointment for the same definite term. Upon timely receipt of such an application, and with the approval of the departmental committee, the Dean shall renew both the revision to reduced-time and the spousal appointment for the definite term. If the spousal application is not received as required, the Dean shall not extend the spousal appointment, and shall invite the member to proceed with revision to reduced-time under III.3.4, without the spousal appointment condition. The member shall have a month to respond, notwithstanding the deadlines under III.3.4.1.

 

III.3.5.2.3

Not later than six (6) months before the end of the definite term, members may apply in writing to the Dean to make their revision to reduced-time permanent upon the expiry of the definite term. Such revision shall require the consent of the departmental committee, of the Dean or the University Librarian, and of the President. Upon approval of such request, and with the approval of the departmental committee, the Dean shall advise the spousal appointee of the revising member's request and shall invite the spousal appointee to apply in writing within one (1) month for a tenured (or, if the appointee is a librarian, permanent), probationary, or limited term appointment as provided under III.3.5.3.2. If the spousal appointee applies for a limited term appointment, the spousal appointment shall be extended for a definite term as above in III.3.5.2.2. If the spousal appointee applies for a tenured/permanent or probationary appointment, the application shall be treated under this Article as if it had been received de novo; in particular, III.3.5.5 and III.3.5.6 shall apply.

If the spousal application is not received as required, the Dean shall invite the member to proceed with revision to reduced-time under III.3.4, without the spousal appointment condition. The member shall have a month to respond, notwithstanding the deadlines under III.3.4.1.

III.3.5.3

Spousal appointments shall be held independently of the appointment of the spouse revising to reduced-time. Spousal appointments are subject to the provisions of this Collective Agreement.

 

III.3.5.3.1

Spousal appointments shall receive salary compensation and benefits as in III.3.3.1 and III.3.3.2.

 

III.3.5.3.2

Spousal appointments shall be tenured/permanent, probationary, or, at the option of the spousal appointee, limited term, when the revision is permanent; spousal appointments shall be limited term when the revision is for a definite term.

 

III.3.5.3.3

Subject to approval by the Dean, which shall not be unreasonably withheld, the spousal appointment shall be at as high a proportion of full-time as the funds released by the revision provide. The spousal appointee may however request at the time of the appointment a portion of full-time that is lower than that enabled by the amount of funds released, but in no case less than one-half (1/2) of full-time.

 

III.3.5.4

The advertisement provisions of III.5.3 are waived for spousal appointments.

 

III.3.5.5

The criteria and procedures by which candidates shall be appointed to a spousal appointment shall be the criteria and procedures of appointment that are defined in this Collective Agreement and are generally employed in Trent University practice.

 

III.3.5.6

Because spousal candidates cannot be judged in the normal competitive comparison with other candidates, they shall be required to satisfy COAP of their competitiveness by showing evidence which shall include, in addition to other evidence of qualification, at least one of the following three types of external assessment:

 

1. an appointment comparable to the spousal appointment and held or awarded at another university within five (5) years of the date of application for the spousal appointment; or

    

2. shortlisting for not fewer than two (2) such appointments within five (5) years of the date of application for the spousal appointment; or

    

3. written assessments of the competitiveness of the spousal candidate from qualified persons, normally Chairs, at not fewer than three (3) other universities.

Assessments under iii) shall be obtained by the Dean from a list of persons submitted by the department/program. The spousal candidate shall have the right to name one of the persons on the list. In soliciting such assessments, the Dean shall include a copy of this Article III.3.5 and a statement of the circumstances in which the assessment is being sought, including specification of the status, level, and nature of the spousal appointment being considered. On COAP's request, the Dean shall solicit such further assessments as will satisfy COAP, positively or negatively, about a spousal candidate's competitiveness.

A decision by COAP that a candidate for spousal appointment is not competitive in respect of the above criteria shall not be the subject of a grievance or complaint.

 

III.3.5.7

Requests for revision to reduced-time and applications for spousal appointment under III.3.5.1 shall not be unreasonably denied.

 

III.3.5.8

No spousal appointment shall take effect until and unless the appointee accepts it and all its terms and conditions in writing.

 

III.3.5.9

A copy of each letter of appointment and each letter of acceptance of a spousal appointment shall be sent to the Association.

 

III.3.5.10

During the term of this Agreement, the parties agree to work together to develop recommendations on spousal recruitment and initial spousal appointments, both full and shared. The clauses above specify spousal appointments that originate from an existing appointment.

 

III.4 Duration of Appointment

 

III.4.2 Definition

 

Appointment shall include tenured, probationary, and limited term.

 

III.4.2.1

A tenured appointment is an appointment which may be terminated only through resignation, retirement, dismissal for cause, or the procedures set out in Chapter VII.

 

III.4.2.2

A probationary appointment is one which is made initially for a three-year term, and which may be extended for a further two-year term. A probationary appointment entitles a faculty member to be considered for a tenured appointment in accordance with the provisions of this Agreement.

 

III.4.2.3

Limited term appointments shall be of one of the following types:

 

1. a fixed term of one (1) year or less;
2. a fixed term of two (2) or three (3) years; or,
3. in special cases, a fixed term of four (4) or five (5) years.

Term appointments of less than one year would normally be for six (6) months, except where warranted by exceptional or unusual circumstances. Such circumstances include, but are not limited to, maternity leave and sick leave replacement, and consolidations of previously approved part-time stipendiary positions.

 

III.4.2.3.1

At the discretion of the department/program, stipendiary allocations may be consolidated into limited term appointments in accordance with III.4.2.3.2. The University will encourage departments/programs to make such consolidations.

 

III.4.2.3.2

Where consolidated appointments are planned and advertised to include a summer or off-campus course outside the regular academic session, as a linked addition to normal teaching requirements (see also Appendix P), three (3) regular academic session stipends (plus the summer or off-campus stipendiary allocation) shall suffice to consolidate a special ten-month limited term position, and four (4) regular academic session stipends (plus the summer or off-campus stipendiary allocation) shall suffice to consolidate a special one-year limited term position.

 

III.4.2.3.3

The planned inclusion and advertisement of a summer or off-campus course in a specially consolidated bargaining unit position shall follow after the deadlines in III.12.1(a)iii.

 

III.4.2.3.4

No limited term appointment shall carry any presumption of an additional appointment, and the sum of terms under limited term appointments shall not (save as expressly noted below) exceed three (3) years. A limited term appointment of four (4) or five (5) years may be authorized in unique cases, such as to replace academic administrators for the duration of their term of service outside the scope of the bargaining unit, or to assist in the staffing of specific academic programs, where directed program funding is in place for a specified and finite period of time. In each instance of a four (4) or five (5) year limited term appointment, the member shall be specifically advised in the appointment letter of the eight-year maximum period of combined limited term/probationary service (see III.6.2.4) and that, if a probationary appointment should follow the limited term appointment, consideration for tenure must take place not later than during the seventh (7th) year of combined limited term and probationary service.

Duties and responsibilities expected of all limited term appointees shall be as set out in Chapter IV.

 

III.4.3 Appointments for Librarians

 

A full-time or part-time appointment of a librarian shall be for one of the following terms:

 

III.4.3.1

Permanent, which is an appointment which may be terminated only through resignation, retirement or dismissal for cause.

 

III.4.3.2

Probationary, which is an appointment initially made for two (2) years, and which may be extended for one (1) further year. A probationary appointment entitles a librarian to be considered for a permanent appointment in accordance with the provisions of this Agreement.

 

III.4.3.3

Limited term, which is an appointment for a fixed term of up to but not more than three (3) years.

 

III.5 Appointment Procedures

 

III.5.0 Authorization

 

III.5.0.1

All new or replacement faculty positions require authorization by the President or designate. Such authorization shall follow consultation with the Dean who shall consult the department or program.

 

III.5.0.2

All new or replacement librarian positions require authorization by the President or designate. Such authorization shall follow consultation with the University Librarian who shall consult the Library Personnel Committee.

 

III.5.1 Departmental/Program Committees

 

III.5.1.1

There shall be a Departmental or Program Committee in each department or program, chaired by the department or program Chair or designate. This Committee shall consist of the members and academic administrators in the department/program, and any other persons, including students, that the members and academic administrators shall determine. The Committee's duties shall include the selection of the Departmental/Program Personnel Committee and Departmental/Program Tenure Committees.

 

III.5.1.2

There shall be a Departmental/Program Personnel Committee established in each department/program, chaired by the department/program Chair or designate. This committee shall consist of the Chair and at least two (2) members in the department/program, where possible of more than one rank and gender, elected by the Departmental/Program Committee, and it may include students up to a number smaller than the number of faculty members, other than the Chair. Where there are not enough faculty members to satisfy the above, the Dean and the Chair shall mutually agree upon an appropriate replacement. The Committee shall consider applications and make recommendations to the Chair concerning all appointments to the department/program and it shall consider and make recommendations concerning all questions of reappointment, renewal of probationary appointments, promotion, step and merit awards, and requests for unpaid leaves, as defined by this Agreement.

 

III.5.1.3

Applications for positions shall be considered in accordance with departmental/program practices, and the Departmental/Program Personnel Committee in each Department/Program is responsible for making recommendations to the Chair concerning all appointments to the Department/Program. All qualified applicants will be entitled to due and fair consideration in accordance with the provisions of this Agreement.

 

III.5.2.1 Librarians' Committee

 

There shall be a Librarians' Committee chaired by the University Librarian or designate. This Committee shall consist of the librarians and academic administrators in the Library. The Committee's duties shall include the preparation of position descriptions for librarian positions in the Library, excluding that of the University Librarian, and the selection of the Library Personnel Committee and of the Library Permanency Committee. The Committee shall be consulted with respect to major policy changes related to the Library, and about other changes which may have a major impact upon operational activities.

 

III.5.2.2 Library Personnel Committee

 

There shall be a Library Personnel Committee established annually in the Library. This Committee shall consist of at least four (4) librarians, where possible of more than one rank and gender, elected by the Librarians' Committee, one of whom shall be selected as a non-voting Chair, and the University Librarian (ex officio). No elected member may serve more than two (2) consecutive years. The Committee shall consider applications and make recommendations to the University Librarian concerning all appointments to the Library, and it shall consider all questions of reappointment, renewal, renewal of probationary appointments, promotion, step and merit awards, and requests for unpaid leaves, as defined by this Agreement.

When matters are brought to the Librarians' Committee from the Library Personnel Committee, the Chair of the Library Personnel Committee shall chair that portion of the Librarians' Committee meeting.

 

III.5.3 Advertisement

 

III.5.3.1

Following authorization of new or replacement faculty positions by the President, the Dean shall authorize advertisements in appropriate Canadian publications, including the CAUT Bulletin and University Affairs, and these shall be placed so as to allow sufficient time for applications to receive due consideration. The advertisement shall include a description of the position and the necessary qualifications, as well as the starting date, rank, salary range, category of appointment, and a statement that Trent University is committed to Employment Equity, and shall be approved by the Dean before it is placed for publication.

 

III.5.3.2

When unavoidable circumstances require that a replacement appointment be authorized at such short notice that it is not possible to advertise in the manner indicated above, the Dean, with the consent of the Association, may waive this requirement. TUFA shall respond to any such request for consent within five (5) days of receipt, and such consent may not be unreasonably withheld.

 

III.5.3.3 Academic Component of Academic/Administrative Appointments

 

When an appointee who does not hold an academic appointment within the University has been selected by established search procedures for the position of President, Vice-President, Dean or University Librarian, and it is proposed to offer such a candidate an academic appointment within a department or program, the proposed academic appointment need not be advertised or be subject to the normal departmental/program recruitment procedures. For all such appointments made with an effective date on or after July 1, 1990, the academic component of the proposed appointment shall be made conditional upon the academic unit's acceptance of the candidate's qualifications, based upon prevailing criteria and standards.

 

III.5.3.4

Following authorization of new or replacement librarian positions by the President, the University Librarian shall authorize advertisements in appropriate Canadian publications including the CAUT Bulletin and Feliciter, and these shall be placed so as to allow sufficient time for applications to receive due consideration. The advertisement shall include a description of the position and the necessary qualifications, as well as the starting date, rank, salary range, the category of appointment and a statement that Trent University is committed to Employment Equity, and shall be approved by the University Librarian before it is placed for publication.

 

III.5.3.5

When unavoidable circumstances require that a replacement appointment be authorized at such short notice that it is not possible to advertise in the manner indicated above, the University Librarian, with the consent of the Association, may waive this requirement. TUFA shall respond to any such request for consent within five (5) days of receipt, and such consent may not be unreasonably withheld.

 

III.5.3.6 Limited Term Appointments

 

For the purposes of calculating the maximum period of limited term service, as specified in III.4.2.3.4, previous fractional limited term appointments and previous part-time appointments within the bargaining unit shall be pro-rated.

Notwithstanding this paragraph and paragraph III.4.2.3.4, the specified maxima for limited term service shall not include any limited term service at the University separated by a period of five (5) years or more from a proposed new limited term appointment.

 

III.5.3.7

Terms and conditions of employment for members given limited term appointments shall treat any past limited term service within the bargaining unit as equivalent to the service of all other members for purposes of compensation.

 

III.5.4 Recruitment Procedures

 

Recruitment procedures shall be designed so as to ensure due and fair consideration to all qualified applicants. This shall not be construed to require personal interviews of all qualified applicants. Where a Personnel Committee does not contain at least one (1) member of each gender, the Dean shall be notified.

 

III.5.5 Criteria

 

III.5.5.1

The principal criterion for appointment shall be academic and professional excellence as generally understood in university practice. The credentials of applicants shall be judged primarily in relation to the qualifications identified in the advertisement for the position. Among candidates who are judged substantially equal in qualification for appointment, Canadian citizens and permanent residents shall be given preference.

 

III.5.5.2

The Dean shall ensure, through the Chair of each department/program, that all Personnel Committees have a copy of the University's Employment Equity policy. The University Librarian shall ensure through the Chair of the Library Personnel Committee that the Committee has a copy of the policy. In addition, steps will be taken to ensure that each Personnel Committee has available to it the prevailing policy statements and guidelines available from the Ontario Human Rights Commission to assist in ensuring compliance with relevant provisions of the Ontario Human Rights Code. The Chair of any Personnel Committee will be expected to review these materials with other Committee members before a short-list of candidates is determined.

 

III.5.6 New Appointments

 

Where an appointment involves special commitments in relation to capital start-up costs and/or special support services for teaching, research or administration, these shall be detailed in the initial appointment letter. Upon request, such arrangements will be discussed at Joint Committee. Such commitments, where provided, shall be granted to the appropriate academic/administrative units, rather than to the individual member directly, and the total of such commitments shall be reported annually to Joint Committee for information. A list of all such allocations shall be provided to Joint Committee by October 1st for the preceding July 1st to June 30th period.

 

III.6 Tenure

 

III.6.1 Definition of a Tenure Decision

A decision to award or to deny tenure constitutes a tenure decision, and shall be made by the Board only on the recommendation of the President, who shall first receive a recommendation from the Dean, following receipt of a recommendation from COAP and from the relevant Departmental Tenure Committee.

Tenure shall not be granted without a positive recommendation from the department and/or program, the Dean, and the President, provided that each carries out the duties assigned in the tenure process under this Agreement without determinative procedural or substantive error or bias.

 

III.6.2 Eligibility

III.6.2.1

Probationary appointments made at the Associate Professor and Professor ranks shall involve a maximum probationary term of three (3) years.

Tenure decisions shall be made in the second (2nd) year of the appointment. In exceptional cases, when an appointment is made of a person with a record of outstanding scholarship, tenure may be awarded immediately upon appointment, but only after the relevant Departmental/Program Personnel Committee and COAP have been consulted.

 

III.6.2.2

Probationary appointments made at the Assistant Professor rank shall involve an initial probationary term of three (3) years, and may involve a probationary reappointment for a further two-year term. Such members may receive early consideration for tenure in the second (2nd) year of the initial three-year term provided they have demonstrated (i) outstanding scholarship, and (ii) teaching of high quality. In order to assess outstanding scholarship, the Departmental/Program Tenure Committee shall solicit the views, in writing, of two (2) external assessors (i.e., from universities or institutions outside Trent), one (1) of whom shall be named by the candidate. Evidence of outstanding scholarship may include publications, presentations, academic, professional or public recognition related to the member's scholarly work, and such evidence shall clearly demonstrate the significant superiority of such scholarship to that required in the regular tenure process. Members reappointed for a further two-year term shall be considered for tenure in the fourth (4th) year of probationary service.

 

III.6.2.3

Probationary appointments made at the rank of Lecturer shall involve an initial probationary term of three (3) years, and may involve a further probationary term of two (2) years. The decision to award tenure to a Lecturer shall constitute promotion to Assistant Professor, and consideration for tenure must come in or before the fourth (4th) year of probationary service.

 

III.6.2.4 Combined Limited Term/Probationary Service

 

III.6.2.4.1

When a limited term appointment is converted to a probationary appointment, the maximum period of limited term and probationary service shall be eight (8) years.

 

III.6.2.4.2

A member with previous combined limited term service within the bargaining unit of two (2) or three (3) years who is converted to a probationary appointment is eligible to be considered for tenure in the second (2nd) year of the probationary appointment, if the member chooses to count his/her previous limited term service as probationary service. In these cases, reappointment and early consideration for tenure do not apply.

If a member chooses not to count previous limited term service within the bargaining unit as probationary, then III.6.2.2 applies.

 

III.6.2.4.3

A member with previous combined limited term service within the bargaining unit of one (1) year or less, who is converted to a probationary appointment, shall follow the conditions as set out in III.6.2.2.

 

III.6.2.4.4

A member with previous combined limited term service within the bargaining unit of between one (1) and two (2) years, who is converted to a probationary appointment and who chooses to count his/her limited term service as probationary service, shall be referred to the Joint Committee to determine whether he/she is eligible to be treated as those members referred to in III.6.2.4.2 above. Joint Committee shall ensure that all requests are treated equitably and fairly.

 

III.6.2.4.5

If a member with a four (4) or five (5) year limited term appointment (see III.4.2.3.4) is offered a probationary appointment, that member shall be specifically reminded in the offer of appointment that consideration for tenure must take place not later than during the seventh (7th) year of the combined limited term and probationary service.

 

III.6.2.5 Extension of Probationary Period

 

Notwithstanding the various provisions (above) which define a maximum period of probationary service, a member who has had an approved maternity leave during her probationary period may, upon written request to the Dean or University Librarian (as appropriate) at the time of her return to duties after maternity leave, have her maximum probationary period increased by one (1) year. In the case of two (2) or more approved maternity leaves during her probationary period, the maximum probationary period for the member may be increased by a maximum of two (2) years.

 

III.6.2.6

Similarly, in cases of authorized absence due to illness or injury of more than four (4) months, a probationary appointment shall be extended by up to one (1) year, upon written request by the member to the Dean or University Librarian (as appropriate) at the time of return to duties after authorized absence. Where the absence is for one (1) year or more, the maximum probationary period for the member shall be increased by a maximum of two (2) years.

 

III.6.3 Probationary Reappointments

 

III.6.3.1

A member holding an initial probationary appointment at the rank of Lecturer or Assistant Professor who elects to defer consideration for tenure beyond the second (2nd) year of the initial three-year appointment shall instead be considered for a probationary reappointment during that second (2nd) year.

 

III.6.3.2

A candidate for probationary reappointment shall be considered by the Departmental/Program Personnel Committee which must make one of the following three (3) recommendations to the departmental/program Chair:

 

1. a two-year probationary reappointment;

    

2. an immediate tenure hearing; or,

    

3. non-renewal at the end of the initial three-year probationary appointment.

A recommendation from the Chair to reappoint the candidate shall be forwarded to COAP and the Dean for action. A recommendation from the Departmental/Program Personnel Committee to initiate an immediate tenure hearing shall set in motion the tenure hearing procedure as defined in this Agreement. The result of an immediate tenure hearing may be a two-year probationary reappointment. A recommendation of non-renewal must follow the procedure set out immediately below.

 

III.6.3.3 Non-Renewal of Probationary Appointments

 

If the Departmental/Program Personnel Committee decides to recommend the non-renewal of a probationary appointment, it may do so only after it has itself carried out the procedure for a tenure hearing as defined in this Agreement. In this case, the Departmental/Program Personnel Committee will add to its number a faculty member from a cognate discipline, appointed by the Dean in consultation with the Chair of the Committee.

In order that a probationary appointment not be renewed, the candidate must be judged to be unsatisfactory in teaching or research.

In the event that COAP and the Dean do not uphold the recommendation of non-renewal made by the Departmental/Program Personnel Committee, a further two-year probationary appointment shall be granted to the candidate, and consideration for tenure must come in or before the fourth (4th) year of probationary service.

The process of consideration for probationary reappointment or for non-renewal of probationary appointment shall in no way prejudice the outcome of any subsequent tenure hearing.

 

III.6.3.4

If the department/program has reservations about a candidate recommended for a probationary reappointment, these reservations shall be communicated in writing to the candidate at the time of reappointment.

 

III.6.3.5

Except as provided in III.6.3.4, a deferral of consideration for tenure owing to a probationary reappointment shall in no way prejudice the outcome of any subsequent tenure hearing.

 

III.6.4 Procedures for Granting Tenure

 

III.6.4.1 The Departmental/Program Tenure Committee

 

When a tenure decision is to be made, the department/program shall establish a Departmental/Program Tenure Committee composed of up to seven (7) persons, with a majority of academic peers from the candidate's discipline and, when possible, of both tenured and probationary faculty members. The committee shall consist of:

 

1. the Chair of the department/program concerned, as Chair (who shall not vote), three (3) faculty members elected by the Departmental/Program Committee, a faculty member from a cognate discipline appointed by the Dean in consultation with the Chair of the Committee (where faculty members elected by the Departmental/Program Committee are of the same gender, the Dean's appointee from a cognate discipline shall normally be of the other gender);

    

2. when a candidate holds an appointment in a department/program with fewer than six (6) probationary and tenured faculty members, the Dean, in consultation with the Chair and the candidate, may appoint up to two (2) academic peers from cognate disciplines as substitutes for colleagues from within the department/program; here, as in sub-paragraph (i) above, the Committee members from cognate disciplines are regular members of the Committee, with no special responsibilities, and no special authority from or obligations to the Dean; and,

    

3. where the Departmental/Program Committee chooses to make provision for it, up to two (2) students.

For academic departments/programs which wish to permit student participation on Tenure Committees (as per sub-paragraph (iii) above), any existing and/or proposed procedures shall be reviewed, in consultation with Faculty Board, to ensure standardization of procedures and electoral regulations.

The Committee shall make a tenure recommendation, positive or negative, only if the majority of the Committee includes a faculty majority from within the academic unit.

 

III.6.4.2 Criteria

 

In assessing a candidate for tenure, the Departmental/Program Tenure Committee shall pay principal regard to scholarship and scholarly promise. In order to qualify for tenure, the candidate must be judged to have demonstrated high quality in both teaching and research, including fulfilling the applicable duties and responsibilities referenced in Article IV.1.1. i) and ii).

Where individual departments/programs have formally adopted written specific standards for the application of these criteria, then these standards shall be binding upon the departments/programs concerned, provided that they have first been approved by COAP and Faculty Board, and made available for information and discussed at Joint Committee.

 

III.6.4.2.1

Where a department/program adopts or revises its written standards for the application of the tenure criteria (see III.6.4.2, above) during a probationary appointment, candidates for tenure in that department/program shall be evaluated on the basis of the criteria or written standards in place at the time of their initial probationary appointment, unless the written standards have been in place for a minimum period of two (2) years since the initial probationary appointment and prior to consideration for tenure.

In cases where the probationary period has been extended due to sick leave (see III.6.2.6) or maternity leave (see III.6.2.5), the minimum period noted above shall be three (3) years. Where the standards have been changed, specific notice of the change(s) will be given to the persons affected.

 

III.6.4.3 Tenure Hearings

 

The Chair of the Departmental/Program Tenure Committee shall inform the candidate when their tenure hearing has been initiated, and they shall be afforded at least four (4) weeks to submit such supporting evidence as they see fit. The Committee shall follow a fair and reasonable plan to secure the views of faculty and students, and the department/program Chair shall include a report on this plan when the Committee's recommendation is forwarded to the Dean. The Committee may secure the views of qualified assessors from outside the department/program or the University. If the department/program chooses not to do so, the candidate may nevertheless require that the views of qualified assessors be sought. Also, COAP may similarly require the views of qualified assessors, as part of its request for reconsideration of a tenure recommendation under III.6.4.5 (below). In any event, if this is undertaken, the candidate shall be notified and given the opportunity to select one (1) of the assessors whose views are being sought. The views of such assessors shall be confined to the candidate's scholarship or scholarly promise.

If the Departmental/Program Tenure Committee has serious reservations about the qualification of the candidate for tenure, it shall so inform the candidate, and set out in writing the reasons for its reservations. The candidate shall have the right to request reconsideration by the Departmental/Program Tenure Committee before it makes its recommendation to the department/program Chair. The candidate shall also be informed of the recommendation which the department/program Chair intends to forward to the Dean.

In the event of a negative recommendation, the member shall receive full information on the procedures followed.

 

III.6.4.4 Timing

 

The Departmental/Program Tenure Committee shall meet at a time that will enable the tenure decision of the Board to be conveyed to the candidate by June 30 of the penultimate year of the probationary appointment or reappointment. Once a decision to grant tenure has been made by the Board, it shall take effect on July 1. If a decision to grant tenure is delayed because of reconsideration or appeal beyond June 30 of the academic year in which tenure consideration was initiated, tenure shall take effect retroactively to July 1. If a decision to deny tenure is delayed beyond June 30 of the penultimate year of the probationary service, the candidate shall be granted a further one (1) year limited term appointment, notwithstanding the various provisions of Article III.6.2.4.

 

III.6.4.5 The Role of COAP

 

COAP shall strive to ensure that members receive fair and equitable treatment under the procedures for granting tenure provided for in this Agreement. The recommendation of the Departmental/Program Tenure Committee shall be forwarded to COAP together with supporting arguments and all correspondence and documentation considered by the Committee.

COAP may, giving reasons, request that the Departmental/Program Tenure Committee reconsider its recommendation; or COAP may refuse to endorse a recommendation from the Departmental/Program Tenure Committee, but shall not do so without good reason based on the criteria for the granting of tenure as provided for in III.6.4.2, or a finding of determinative procedural or substantive error or bias.

In cases where COAP intends to refuse to endorse a positive recommendation from the Department/Program Tenure Committee, it shall so inform the candidate and the Committee, setting out in writing its reasons, and the candidate and/or the Committee shall have the right to request reconsideration by COAP before COAP's final determination in respect to its recommendation.

As part of its authorized role in monitoring tenure recommendations, COAP may require external assessments in individual cases.

 

III.6.4.6 The Tenure Decision

 

Following receipt of the recommendation from COAP, the Dean shall make a recommendation on tenure to the President, who in turn shall make a recommendation to the Board. The decision to grant tenure shall be made by the Board and communicated to the candidate. If the decision is to deny tenure, the candidate shall be so informed and shall receive in writing a statement of reasons from the Dean or the President. This statement of reasons shall reflect the actual grounds for the decision, be substantive in nature, and be clearly related to the criteria for the award of tenure as defined in this Agreement.

 

III.7 Permanent Appointments for Librarians

 

III.7.1 Definition of a Permanency Decision

 

A decision to award or to deny a permanent appointment constitutes a permanency decision and shall be made by the Board on the recommendation of the President, who shall first receive a recommendation from the University Librarian following recommendation from the Library Permanency Committee. Permanency shall not be granted without a positive recommendation from the Library Permanency Committee, the University Librarian and the President, provided that each carries out the duties assigned in the permanency process under this Agreement without determinative procedural or substantive error or bias.

 

III.7.2 Eligibility

 

III.7.2.1

Probationary appointments made at the Librarian I to IV ranks shall involve a probationary term of two (2) years and, if recommended by the Library Personnel Committee, an extension of one (1) year, the total probationary period not to exceed three (3) years. In exceptional cases where an appointment to Librarian III or IV is made of a person with a proven record of outstanding professional qualifications, a permanent appointment may be awarded immediately upon appointment, but only after the procedures outlined in III.7.1 have been followed. When an initial limited term appointment is converted to a probationary appointment, the limited term of service shall be accredited as the equivalent of probationary service provided that the candidate agrees.

 

III.7.2.2

A member holding an initial probationary appointment in the Library shall be considered for permanency in the second year, such consideration to be initiated not less than nine (9) months before the end of the initial two-year appointment.

 

III.7.3 Probationary Reappointments

 

III.7.3.1

A candidate for a permanent appointment shall be considered in the first instance by the Library Personnel Committee which must make one of the following three (3) recommendations to the University Librarian:

 

1. a one-year probationary reappointment;

    

2. an immediate permanency hearing;

    

3. non-renewal at the end of the initial two-year appointment.

 

III.7.3.2

The Chair of the Library Personnel Committee shall inform candidates when consideration of their reappointment has been initiated, and they shall be afforded at least two (2) weeks to submit such supporting evidence as they see fit.

 

III.7.3.3

If the Library Personnel Committee has serious reservations about the qualifications of a candidate for permanency or recommends non-renewal, it shall so inform the candidate, and set out in writing the reasons for its reservations.

 

III.7.3.4

The process of consideration for probationary reappointment or for non-renewal of probationary appointment shall in no way prejudice the outcome of any subsequent permanency hearing.

 

III.7.3.5

If the Library Personnel Committee has reservations about a candidate recommended for a probationary reappointment, and these reservations are relevant for purposes of a subsequent permanency hearing, these reservations shall be communicated in writing to the candidate at the time of reappointment.

 

III.7.3.6

Except as provided in III.7.3.5 a deferral of consideration for permanency owing to a probationary reappointment shall in no way prejudice the outcome of the final permanency hearing.

 

III.7.3.7

A recommendation from the Library Personnel Committee to reappoint the candidate shall be forwarded to COAP and the University Librarian for action. A recommendation for an immediate permanency hearing or a recommendation of non-renewal shall set in motion the permanency hearing procedure as described immediately following.

 

III.7.4 Library Permanency Committee

 

When a recommendation for a permanency hearing or non-renewal has been made, a Library Permanency Committee shall be established. The Committee shall consist of: the Chair of the Library Personnel Committee as Chair, who shall not vote; three (3) permanent or probationary librarian members elected by the Librarians' Committee; and one (1) faculty member from within the University appointed by the University Librarian, provided that faculty member is acceptable to the candidate.

 

III.7.5 Criteria

 

In assessing a candidate for a permanent appointment, the Library Personnel Committee and the Library Permanency Committee shall pay principal regard to competence in the performance of duties and promise of continuing development as a librarian. In order to qualify for a permanent appointment, a candidate must be judged to have demonstrated high quality in the performance of duties in the Library, including fulfilling the applicable duties and responsibilities referenced in Article IV.1.2 i) and iv).

 

III.7.6 Permanency Reviews

 

III.7.6.1

The Chair of the Library Permanency Committee shall inform candidates when their permanency hearing has been initiated, and they shall be afforded at least four (4) weeks to submit such supporting evidence as they see fit. The Committee shall meet at a time that will enable the permanency decision of the Board to be conveyed to each candidate no later than three (3) months before the end of the second year of their initial two-year appointment, or of their subsequent one-year probationary reappointment.

 

III.7.6.2

If the Library Permanency Committee has serious reservations about the qualifications of a candidate for permanency, it shall so inform the candidate, and set out in writing the reasons for its reservations. The candidate shall have the right to request reconsideration by the Library Permanency Committee before it makes its recommendations to the Chair of the Library Personnel Committee. The candidate shall also be informed of the recommendation which the Chair of the Library Personnel Committee intends to forward to the University Librarian and COAP.

 

III.7.7 The Role of COAP

 

III.7.7.1

COAP shall strive to ensure that members receive fair and equitable treatment under the procedures for granting permanency provided for in this Agreement. The recommendation of the Library Permanency Committee shall be forwarded to COAP together with supporting arguments and all correspondence and documentation considered by the Committee.

COAP may, giving reasons, request that the Library Permanency Committee reconsider its recommendation, or COAP may refuse to endorse a recommendation from the Library Permanency Committee, but shall not do so without good reason based on the criteria for the granting of permanency as provided for in III.7.5 of this Agreement, or a finding of determinative procedural or substantive error or bias.

In cases where COAP intends to refuse to endorse a positive recommendation from the Library Permanency Committee, it shall so inform the candidate and the Committee, setting out in writing its reasons, and the candidate and/or the Committee shall have the right to request reconsideration by COAP before COAP's final determination in respect to its recommendation.

As part of its authorized role in monitoring permanency recommendations, COAP may require external assessments in individual cases.

 

III.7.7.2

In the event that the University Librarian and COAP do not uphold the recommendation of the Library Permanency Committee, a further one-year probationary appointment shall be granted to the candidate and final consideration for permanency must come in the following year (the third (3rd) year of the probationary appointment). In this instance the same time constraints as stated in III.7.6.1 shall apply.

In all cases where there has been a probationary re-appointment, final consideration for permanency shall take place in the third (3rd) year in a Library Permanency Committee, without prior recommendation from the Library Personnel Committee, according to the conditions set out in III.7.6.1.

In the event of a negative recommendation, the member shall receive full information on the procedure followed.

 

III.7.8 The Permanency Decision

 

III.7.8.1

Following receipt of the recommendation from COAP, the University Librarian shall make a recommendation on permanency to the President, who in turn shall make a recommendation to the Board. The decision to grant permanency shall be made by the Board and communicated to the candidate. If the decision is to deny permanency, the candidate shall be so informed and shall receive in writing a statement of reasons from the University Librarian or the President. This statement of reasons shall reflect the actual grounds for the decision, be substantive in nature, and be clearly related to the criteria for the award of permanency as defined in this Agreement.

 

III.7.8.2

If at any time more than one candidate for a permanent appointment is under review, the candidates shall be considered on merit and not as in competition with each other.

 

III.8 Promotion

 

III.8.1.1

Lecturers, Assistant and Associate Professors shall be considered for promotion during the academic year in which they are on the step of their current rank scale immediately below the lowest step in the next highest rank scale, unless they formally request not to be considered.

 

III.8.1.2

If not promoted at this point, members shall be considered for promotion in any subsequent year that they so request in writing to the Departmental/Program Personnel Committee.

 

III.8.1.3

When members are recommended by the Dean to the President for a merit award which would have the effect, when awarded, of placing them at a point at which they would be eligible for promotion, they shall be immediately considered for promotion, unless such a member formally requests not to be considered. The provisions of III.8.1.2 shall also apply in this case.

 

III.8.2 Criteria for Promotion

 

III.8.2.1

In considering the member for promotion from Assistant to Associate Professor, the committees and the individuals responsible shall determine that the member has continued to fulfill the criteria for the granting of tenure, and is entirely satisfactory in the performance of the duties and responsibilities as set out in IV.1.1.

 

III.8.2.2

The criteria for promotion to Full Professor shall be based on both teaching and research; the candidate must be very highly regarded in one of teaching and research, and entirely satisfactory in the other. Where individual departments/programs have formally adopted written specific standards for the application of these criteria, then these standards shall be binding upon the departments/programs concerned, provided that they have first been approved by COAP and Faculty Board, and made available for information and discussed at Joint Committee.

 

III.8.3.1 Procedures for Preparation for Promotion Decisions

 

1. The Departmental/Program Personnel Committee shall ascertain, before October 15 of each year, whether any members of the department/program are eligible to be considered for promotion under the provisions of III.8.1.1, or eligible to request consideration for promotion under the provisions of III.8.1.2.

    

2. Eligible candidates shall be notified and be given the opportunity to request or defer consideration.

    

3. Candidates shall be given at least four (4) weeks (following notification) to submit such supporting evidence as they see fit. In the case of a candidate who becomes eligible under the provisions of III.8.1.3, notification of eligibility shall not occur later than December 15.

    

4. The Departmental/Program Personnel Committee shall follow a fair and reasonable plan to secure the views of faculty and students, and the departmental/program Chair shall include a report on this plan with the recommendation to COAP and the Dean.

    

5. All materials submitted shall be treated in accordance with the provisions concerning personnel files ( IV.8).

    

6. In the case of candidacy for promotion to Full Professor, candidates shall indicate no later than the time of submitting supporting evidence whether they wish their candidacy to be considered by the criteria of (i) being entirely satisfactory in research and very highly regarded in teaching or (ii) being entirely satisfactory in teaching and very highly regarded in research. In every case the department/program shall nominate two (2) external assessors (i.e., from universities or institutions outside Trent), of whom the candidate shall have the right to name one (1). The assessors shall then be requested by the Dean of Arts and Science to furnish assessments of the candidate's performance in research in accordance with the criteria by which the candidate elects to be assessed. On receipt of the assessors' reports, the Dean shall make them available to the Departmental/Program Personnel Committee.

    

7. In the case of a candidacy for promotion to Full Professor, if the Dean, after consultation with COAP, determines that the available evidence with respect to the candidate's performance in research does not suffice to make a reasonable judgment, the Dean may secure up to two (2) additional external assessments. If two (2) additional assessments are sought, the candidate shall have the right to name one (1) of the assessors. In the case of a single assessor the agreement of the candidate is required.

    

8. A request that the Dean secure such additional external assessment(s) may be made by the Departmental/Program Personnel Committee, the departmental/program Chair, or COAP. Any such additional external assessments shall be made available to the Departmental/Program Personnel Committee.

    

9. Whether acceding to such a request, or acting upon independent initiative, the Dean shall prepare a statement of reasons for securing such additional external assessment(s). In every case, the statement of reasons shall be submitted to COAP with copies to the departmental/program Chair, the Departmental/Program Personnel Committee, and the candidate.

    

10. In the event of a negative decision duly communicated by the Dean, the member shall receive in writing full information on the procedures followed.

     

    III.8.3.2 Recommendation of the Departmental/Program Personnel Committee

     

    The Departmental/Program Personnel Committee shall be advisory to the Chair. After considering all the submissions and discussing the case, the Committee shall vote formally to recommend or not recommend to the Chair that the candidate be promoted. The Chair shall not vote.

     

    III.8.3.3 Recommendation to COAP

     

    The Chair shall then inform the Departmental/Program Personnel Committee of the intended recommendation to COAP. Members of the Departmental/Program Personnel Committee who disagree with the Chair's recommendation shall have the right to submit, together or singly, a dissenting report to COAP.

     

    III.8.3.4 Right of Rebuttal

     

    III.8.3.4.1
    Where the Chair decides to recommend against promotion, the candidate shall be informed in writing of the reasons for this negative recommendation before it is forwarded to COAP. The Chair shall make available to the candidate all material tabled in the Personnel Committee. The candidate shall then have the right to submit a written rebuttal to the Dean as Chair of COAP, with a copy to the departmental/program Chair.

     

    III.8.3.4.2
    In the case of a recommendation against promotion to Associate Professor, if the Dean, after consultation with COAP, determines that the available evidence with respect to the candidate's performance in research does not suffice to make a reasonable judgment, the Dean may secure up to two (2) external assessment(s) of the candidate's performance in research. If two (2) external assessments are sought, the candidate shall have the right to name one (1) of the assessors. In the case of a single assessor the agreement of the candidate is required.

     

    III.8.3.4.3
    In the case of a recommendation against promotion to Full Professor, if the Dean, after consultation with COAP, determines that the available evidence with respect to the candidate's performance in research does not suffice to make a reasonable judgment, the Dean may secure up to two (2) additional external assessments. Where two (2) external assessors are used, the candidate shall have the right to name one (1); in the case of a single external assessor, the agreement of the candidate is required.

     

    III.8.3.4.4
    A request that the Dean secure external assessment(s) as allowed under III.8.3.4.2 and III.8.3.4.3 may be made by the Departmental/Program Personnel Committee, the departmental/program Chair, the candidate, or COAP. Any such additional assessments shall be made available to the Departmental/Program Personnel Committee.

     

    III.8.3.4.5
    Whether acceding to such a request, or acting upon independent initiative, the Dean shall prepare a statement of reasons for securing such external assessment(s). In every case, the statement of reasons shall be submitted to COAP with copies to the departmental/program Chair, Departmental/Program Personnel Committee and the candidate.

     

    III.8.3.5 Recommendation of COAP

     

    COAP shall review all the submissions and recommendations pertaining to the promotion in the light of the criteria set out in III.8.2 above, and shall have access to all materials tabled in the Departmental/Program Personnel Committee.

    COAP by formal vote shall make its recommendation to the Dean. The Dean shall not vote. A COAP recommendation against promotion which contradicts the recommendation of the departmental/program Chair must be communicated to the Chair in writing by the Dean. The Dean shall provide the Chair with a summary of COAP's reasons for its recommendation, including the weight given in that recommendation to outside assessments. The Dean shall also indicate if COAP considered any additional evidence to that considered by the Departmental/Program Personnel Committee and the departmental/program Chair. If such evidence was considered by COAP, the Dean shall transmit copies of it to the departmental/program Chair. The departmental/program Chair shall discuss the Dean's communication with the Departmental/Program Personnel Committee, and may ask COAP to reconsider its recommendation.

     

    III.8.3.6 Promotion Decision

     

    The Dean shall, in the case of a positive decision, so recommend to the President, who in turn shall make a recommendation to the Board. In the case of a negative decision, the Dean shall communicate that decision in writing to the candidate, and provide a full report on the procedures followed and the reasons for the negative decision, including the weight given to outside assessments. A decanal decision to promote is not open to appeal.

     

    III.8.4 Promotion for Librarians

     

    III.8.4.1
    Librarians I, II, and III shall be considered for promotion during the academic year in which they are on the step of their current rank scale immediately below the lowest step in the next highest rank scale.

     

    III.8.4.2
    If not promoted at this point, librarian members shall be considered for promotion in any subsequent year that they so request in writing to the Library Personnel Committee.

     

    III.8.4.3
    When librarian members are recommended by the University Librarian to the President for a merit award which would have the effect, when awarded, of placing them at a point at which they would be eligible for promotion, they shall be immediately considered for promotion, unless such a member formally requests not to be considered. The provisions of III.8.4.2 shall also apply in this case.

     

    III.8.4.4 Criteria for Promotion for Librarians

     

    The criteria for promotion shall be those appended to this Agreement ( Appendix A).

     

    III.8.4.5 Procedures for Preparation for Promotion Decisions

     

    1. The Library Personnel Committee shall ascertain, before December 15 of each year, whether any librarians are eligible to be considered for promotion under the provisions of III.8.4.1, or eligible to request consideration for promotion under provisions of III.8.4.2.

        

    2. Eligible candidates shall be notified and be given the opportunity to request or defer consideration.

        

    3. Candidates shall be given at least four (4) weeks (following notification) to submit such supporting evidence as they see fit. In the case of a candidate who becomes eligible under the provisions of III.8.4.3, notification of eligibility shall occur not later than February 15.

        

    4. The Library Personnel Committee shall follow a fair and reasonable plan to secure the views of librarians. Included with the recommendation of the University Librarian to the President shall be a report on this plan.

        

    5. All materials submitted shall be treated in accordance with the provisions concerning personnel files ( IV.8).

     

    III.8.4.6 Recommendation of the Library Personnel Committee

     

    The Library Personnel Committee shall be advisory, through the Librarians' Committee, to the University Librarian. After considering all the submissions and discussing the case, the Library Personnel Committee shall vote formally to recommend or not recommend to the University Librarian that the candidate be promoted. The Chair of the Library Personnel Committee shall not vote.

     

    III.8.4.7 Recommendation to the University Librarian and COAP

     

    The Chair of the Library Personnel Committee shall then inform the Library Personnel Committee of the intended recommendation to the University Librarian and COAP. Members of the Library Personnel Committee who disagree with this recommendation shall have the right to submit, together or singly, a dissenting report to COAP.

     

    III.8.4.8 Right of Rebuttal

     

    Where the Library Personnel Committee decides to recommend against promotion, the candidate shall be informed in writing of the reasons for this negative recommendation before it is forwarded to COAP. The Chair of the Library Personnel Committee shall make available to the candidate all material tabled in the Library Personnel Committee. The candidate shall then have the right to submit a written rebuttal to COAP, with a copy to the Chair of the Library Personnel Committee.

     

    III.8.4.9 Outside Assessments

     

    III.8.4.9.1
    If the University Librarian determines that the evidence already available does not suffice to make a reasonable judgment, outside assessments may be secured in connection with the recommendation for promotion. A statement of the University Librarian's reasons for seeking such outside assessments shall be submitted to the Library Personnel Committee in every case.

     

    III.8.4.9.2
    The Library Personnel Committee may also request that the University Librarian secure such outside assessments.

     

    III.8.4.9.3
    Where such outside assessments are to be sought, the University Librarian shall give the candidate the opportunity to name one (1) of such outside assessors.

     

    III.8.4.10 Promotion Decision

     

    III.8.4.10.1
    COAP shall review all the submissions and recommendations pertaining to the promotion in the light of the criteria set out in III.8.4.4, above, and shall have access to all materials tabled in the Library Personnel Committee.

    COAP, by formal vote, shall make its recommendation to the University Librarian. The University Librarian shall not vote. A COAP recommendation against promotion which contradicts the recommendation of the Library Personnel Committee must be communicated to the Chair of the Library Personnel Committee, in writing by the University Librarian. The University Librarian shall provide the Chair with a summary of COAP's reasons for its recommendation, including the weight given in that recommendation to outside assessments. The University Librarian shall also indicate if COAP considered any additional evidence to that considered by the Library Personnel Committee. If such evidence was considered by COAP, the University Librarian shall submit copies of it to the Library Personnel Committee. The Chair of the Library Personnel Committee, shall discuss the University Librarian's communication with the Library Personnel Committee, and may ask COAP to reconsider its recommendation.

     

    III.8.4.10.2
    The University Librarian shall, in the case of a positive decision, so recommend to the President, who in turn shall make a recommendation to the Board. In the case of a negative decision, the University Librarian shall communicate that decision in writing to the candidate, and provide a full report on the procedure followed and the reasons for the negative decision, including the weight given to outside assessments.

     

    III.9 Career Development Increments and Merit

     

    III.9.1 Career Development Increments

     

    III.9.1.1 Denial of Career Development Increment

     

    No member shall be denied an annual career development increment provided for in Schedule A of this Agreement, except in consequence of a disciplinary decision to deny it, reached in accordance with the provisions of this Article.

     

    III.9.1.2
    Where the Dean is concerned about a member's performance of required duties and responsibilities, to the extent that there may be a serious deficiency which could lead to the denial of a CDI, the Dean shall consult with COAP in order to determine whether to initiate the following procedures:

     

    III.9.1.2(a)
    If it is determined that the matter should be pursued,
    

    1. the Dean shall inform the member of the action and the reasons;

        

    2. the case shall be formally submitted to COAP, and the Committee will be provided with the documentation to justify this concern; and,

        

    3. the Dean shall ask the advice of the Chair, and through the department/program Chair the advice of the Departmental/Program Personnel Committee in writing; the Dean shall forward this advice to COAP.

     

    III.9.1.2(b)
    COAP shall invite the member to respond within four (4) weeks to the case made by the Dean under (a) (ii). The response must be in writing and must contain whatever supporting evidence the member deems pertinent.

     

    III.9.1.2(c)
    After considering the member's response, COAP shall advise the Dean and the member either:

     

    1. that the Dean's concerns regarding the member's performance are well-founded; or,

        

    2. that these concerns are not well-founded.

     

    III.9.1.2(d)
    Upon receiving COAP's advice, the Dean may recommend to the President that the annual career development increment of the member be denied. The Dean, in doing so, must inform the member concerned in writing, and include in this information a copy of the recommendation of COAP.

     

    III.9.1.2(e)
    The Dean's recommendation to the President (sub-paragraph (d) above) shall specify an effective date for the CDI denial, which shall normally be the second July 1 subsequent to the communication of the decision by the President to the member.

     

    III.9.1.2(f)
    During the period after receipt of the President's letter but prior to the effective date of CDI denial, the member may ask COAP, through the Dean, to re-consider the CDI denial, based upon any significant new information regarding performance of duties.

     

    III.9.1.3
    A member denied a career development increment hereunder is to consider such an action a serious disciplinary warning concerning performance of required duties.

     

    III.9.1.4
    In the case of librarian members, the place of the Chair and the Dean shall be taken by the University Librarian, and the place of the Departmental/Program Personnel Committee and COAP shall be taken by the Library Personnel Committee.

     

    III.9.1.5 Alternative Duties Arrangements

     

    III.9.1.5.1
    Where the Dean has advised a member that there are concerns about the member's performance of duties (see III.9.1.2.(a) (i)), or where COAP has made a determination that the Dean's concerns regarding the member's performance of duties are "well-founded" (see III.9.1.2.(c) (i)), the member may ask to undertake alternative duties for a defined period of time of between one (1) and five (5) years.

     

    III.9.1.5.2
    To become effective, the alternative duties proposal requires the agreement of the academic department/program, the Dean and COAP.

     

    III.9.1.5.3
    Alternative duties would normally involve additional teaching, research, and/or the assumption of additional administrative/service responsibilities of a substantial nature, or a combination of the above.

     

    III.9.1.5.4
    Subject to satisfactory performance of duties, including the alternative duties, the member, on the recommendation of COAP and the Dean, would be entitled to annual career development increments (but not merit awards) up to but not exceeding the ceiling of the member's rank.

     

    III.9.1.5.5
    Joint Committee shall be consulted about each such proposed arrangement on a case-by-case basis, as well as annually after implementation.

     

    III.9.1.5.6
    A member may give six (6) months' notice of an intention to terminate an alternative duties arrangement, thereby returning to a regular appointment as of any July 1 of the alternative duties period.

     

    III.9.1.5.7
    Members 1) who do not request alternative duties, 2) whose alternative duties proposal is not agreed to, or 3) who revert to regular duties, shall be subject to the possibility of a CDI denial on the second July 1 after notice to the member under III.9.1.2.(d) or the first July 1 after reversion to a regular appointment, whichever is sooner.

     

    III.9.1.5.8
    Members at a defined rank ceiling who become subject to the denial of a CDI shall undertake such additional duties as may be arranged under III.9.1.5.3, subject to any other arrangements which might be agreed to at Joint Committee.

     

    III.9.1.6 Restoration of CDI(s)

     

    III.9.1.6.1
    Where a member has been denied one (1) or more CDIs, in accordance with the provisions of this Article, the denied CDI(s) will be restored in the following circumstances:

     

    1. when COAP and the Dean have agreed that there have been five (5) years of satisfactory performance of regular duties (i.e., this is not available for those performing alternative duties), in which case the denied CDI(s) will be credited to the member on the July 1 immediately following the completion of five (5) years of satisfactory performance; or,

        

    2. upon the attainment of a merit award, in which case the denied CDI(s) will be credited to the member on the effective date of the merit award.

     

    III.9.1.6.2
    The restoration of CDI(s), in accordance with 1(a) and (b) above, shall not result in the movement of a member past the normal salary ceiling within the relevant rank (i.e., A10, B14, C18, or D19).

     

    III.9.2 Merit
    III.9.2.1
    Thirty-three (33) merit awards shall be allocated and awarded in each of the contract years.

    These shall be allocated annually among tenured/permanent bargaining unit members on the basis of the provisions of this section. Probationary members could also become eligible for consideration for merit if a tenure recommendation can be made which would permit COAP simultaneously to review both the tenure and merit recommendations. The procedure for determining who are to be awarded merit in any academic year (i.e., July 1 to June 30) shall be undertaken in the same academic year. For those who are selected, the payment will be made retroactive to the beginning of the academic year concerned. In those years when the Collective Agreement is being negotiated, COAP will proceed on the assumption that the number of merit awards will not be reduced.

     

    III.9.2.2
    All merit awards shall be single career development increments. Members will be permitted to exceed a stated salary ceiling, at any rank and by way of merit only, to a maximum indicated by the bracketed salary steps indicated in Schedule A.

     

    III.9.2.3
    Merit awards shall be allocated as follows:

     

    • In the case of faculty members, exceptional performance in at least one of teaching, research, or university service, and satisfactory performance in the other specified areas.
    • In the case of librarians, exceptional performance of library duties. In this case, one of the following is required in addition: contribution to the profession at large, scholarship, university teaching, university service, or professionally related community service.
      (Note: the number of merit awards allocated annually for librarians - see Appendix A.)

     

    III.9.2.4(a)
    In the case of members other than departmental/program Chairs, recommendations concerning such merit awards shall be made to the Chair by the Departmental/Program Personnel Committee acting on its own initiative or on the suggestion of the Chair. Such recommendations shall be transmitted together with the Chair's own recommendation in each case to the Dean who, after consultation with COAP, shall make a recommendation to the President. The President, in turn, shall make a recommendation to the Board.

     

    III.9.2.4(b)
    In the case of librarians, such merit awards shall be recommended by the Library Personnel Committee and forwarded to the University Librarian, who, after consultation with COAP, shall make a recommendation to the President, who in turn shall make a recommendation to the Board.

     

    III.9.2.5
    In the case of consideration of merit awards for departmental/program Chairs, the Departmental/Program Personnel Committee shall designate a Deputy Chair who shall fulfill the role of departmental/program Chair for the purposes of III.9.2.4(a).

     

    III.9.2.6
    In the case of members serving in more than one (1) department/program, the Dean shall solicit the recommendation of the Chair, other than the Chair of the department/program initiating the recommendation, prior to submitting a recommendation to the President.

     

    III.9.2.7(a)
    Except as indicated in the special provisions for Chairs in III.9.2.5, no merit award shall be awarded unless there is a favourable recommendation from at least the Chair of a department/program in which a member teaches, or the Departmental/Program Personnel Committee of such a department/program.

     

    III.9.2.7(b)
    No merit award shall be awarded to a librarian without a favourable recommendation from the Library Personnel Committee, unless the University Librarian informs the Library Personnel Committee of the reasons for such a recommendation.

     

    III.10 Appointment of Departmental/Program Chairs

     

    III.10.1
    In the final year of a Chair's term of office, or when a vacancy occurs, the Dean shall initiate proceedings for the selection of a successor, or for reappointment of the incumbent Chair.

     

    III.10.2
    The Departmental/Program Committee shall meet to discuss the requirements of the position, and shall elect a search committee which excludes the incumbent Chair and which may include up to two (2) students. The Dean shall appoint an additional member of the search committee from outside the department/program.

     

    III.10.3
    The search committee shall submit a single name, or two (2) names if it prefers, to the Departmental/Program Committee for approval or choice.

     

    III.10.4
    Once a proposed candidate is approved by the Departmental/Program Committee, the Chair of the search committee shall forward the search committee's recommendation to the Dean.

     

    III.10.5
    If the Dean approves the proposed appointee, that recommendation shall be forwarded to the President. The President in turn shall make a recommendation to the Board.

    If the Dean does not approve the proposed appointee, the Departmental/Program Committee shall be asked to reconsider the matter.

    No appointment of a Chair shall be made without a positive recommendation from the Departmental/Program Committee, the Dean, and the President.

     

    III.10.6
    Acting Chairs may be appointed by the Dean for short terms or in special circumstances. Such appointments may not exceed a term of one (1) year.

     

    III.11 Academic Administrators

     

    III.11.1
    Academic administrators are persons who, in addition to their administrative office, hold probationary or tenured faculty appointments in departments or programs, but who are excluded by definition from the bargaining unit because of their administrative office.

     

    III.11.2
    Faculty members who are appointed as academic administrators or as members of the Board of Governors shall retain their academic status within their departments or programs. During their term of administrative or Board service, they shall be deemed eligible for consideration by Departmental/Program Personnel Committees, departmental/program Chairs, COAP, and the Dean for career development decisions, including merit awards, on the basis of their academic achievements over that period. Where an academic administrator or faculty member on the Board of Governors is awarded a merit award, such shall be in addition to the number provided for in III.9.2.1 (above).

     

    III.11.3 Re-entry of Academic Administrators

     

    Academic administrators, as defined above, and faculty members on the Board of Governors, shall retain the right to enter or re-enter on a full-time basis their departments or programs, and the right to enter or re-enter the bargaining unit, at such time as they relinquish their academic administrative or Board appointments.

    An individual re-entering the bargaining unit shall normally return to the department or program of which they were a member before receiving the administrative or Board appointment. When entering the bargaining unit for the first time, the individual shall normally remain in the department or program which initially accepted their qualifications (see III.5.3.3). Alternatively, in either case, the individual could return to a different department or program in accordance with the provisions of III.14.

     

    III.11.4
    Members entering or re-entering the bargaining unit after service as academic administrators or as members of the Board shall be placed at the salary steps determined by the Board consistent with the provisions of this Agreement concerning promotion and tenure, and shall enjoy all rights and privileges of members, provided that the terms of this Agreement, as they apply to members, not be impaired.

     

    III.12 Courses Outside the Regular Academic Session

     

    III.12.1
    Where they have voluntarily agreed to do so, members may teach at least one (1) university credit course outside the regular academic session, provided they are qualified to teach such course, and provided they express a willingness to do so within the deadlines as set out in III.12.1(a). If a member wishes to teach more than one (1) such course at any one time, or more than two (2) such courses during any twelve (12) month period, the Dean's consent is required. Such consent shall not be unreasonably withheld.

     

    III.12.1(a)
    1. By October 1st of each year for the Summer Session (January 15 for the Fall/Winter Off-campus Session), members will be advised that the process of planning and receiving suggestions for Summer and Off-campus course offerings has commenced;

        

    2. By November 15 for Summer and Inter-session (March 1 for the Fall/Winter Off-campus Session), a list of the courses to be offered shall be circulated to all members; and,

        

    3. Members shall indicate in writing, after the dates in ii) above, and by no later than January 15 for Summer and Inter-session courses (April 20 for Fall/Winter Off-campus courses), whether they wish to teach a Summer or Off-campus credit course.

     

    III.12.1(b)
    Extension or alteration of any deadlines established in accordance with III.12.1(a) shall require the written joint approval of the Dean (or designate) and of the Association.

     

    III.12.1(c)
    Courses outside the regular academic session that are not assigned on the basis of III.12.1 and III.12.1(a) are eligible for advertisement in the framework of specially consolidated limited term appointments (see III.4.2.3.2). Such advertisements shall be decided, with notice to the Dean and the Association, within two (2) weeks of the deadlines in III.12.1(a)(iii).

     

    III.12.2
    A member who teaches a university credit course under III.12.1 shall receive the per-course stipend provided for in VIII.3 of this Agreement, in all cases except:

     

    1. as provided in III.12.3.1 or III.12.3.2; or,

        

    2. when the member agrees to teach the course, where it is under- enrolled, on a reduced-stipend basis in accordance with VIII.3 and with existing practice.

     

    III.12.3.1
    A member may ask that a university credit course or courses under III.12.1 be considered as partial fulfillment of normal teaching responsibilities, instead of being subject to per-course remuneration. Such a request may only be approved with the agreement of the Departmental/Program Committee, the departmental/program Chair, and the Dean.

     

    III.12.3.2
    A member who has agreed to teach a course under III.12.1 may submit a written request to the Dean (copy to the Chair) to bank a course release in lieu of per course remuneration. Banking will be permitted to a maximum of three (3) course releases. Use of banked course releases, in order to facilitate identified research projects, shall be subject to the following conditions:

     

    1. a member's proposal for specific course releases must be submitted in writing to the Dean (copy to the Chair) by October 15 of the academic year prior to the academic year for which the course releases are requested;

        

    2. the proposed course releases must be supported by the member's Chair and approved by the Dean;

        

    3. the departmental/program recommendation must consider proposals for course releases in relation to its sabbatical plan (see IV.5.2.5.1), and approved course releases shall be appropriately noted on the sabbatical plan;

        

    4. three (3) banked courses are required for a full research leave;

        

    5. the research project for full research leave under III.12.3.2 must be approved by COAP, and the report on the research must be submitted to the Dean within three (3) months of return to teaching duties;

        

    6. support or approval for proposed course releases shall not be unreasonably withheld;

        

    7. course releases which are banked in this fashion shall not be the basis for any claim to compensation upon termination of employment or otherwise.

     

    III.12.4
    Willingness or unwillingness to participate in teaching courses outside the regular academic session shall not be considered in any decisions concerning the member's career development.

     

    III.12.5
    Except for the cases provided in III.4.2.3.2, III.12.3.1 and/or III.12.3.2, teaching outside the regular academic session shall not count as time of service for any purpose other than compensation.

     

    III.12.6
    Teaching outside the regular academic session shall not relieve a member from those portions of duties and responsibilities which relate to scholarship or service to the University.

     

    III.13 Evaluation of Teaching

     

    III.13.1
    The parties agree that annual assessments of teaching effectiveness by students are valuable in contributing to the improvement of teaching within the University.

     

    III.13.2
    COED (The Committee on Educational Development as constituted by Senate) shall assist departments and programs to develop and maintain assessment instruments that are appropriate to their academic disciplines. Chairs shall encourage the annual application of such instruments within their department or program. If asked, members shall explain to the Chair of their department or program, in writing, why they did not in any given year use such instruments to have students assess their teaching.

     

    III.13.3
    Members shall not be present when the students assess their teaching and assessments shall not be transmitted to the department or program by the members. Departments or programs shall count the number of assessments transmitted annually for each member. Members may read the assessments after final grades are submitted. Assessments shall remain confidential except if the member authorizes their use for personnel decisions. Members shall return the same number of assessments, for personnel decisions, as were submitted after the assessment.

     

    III.13.4
    Each faculty member shall be encouraged to create a teaching dossier, consisting of annual teaching evaluations and other information the member deems pertinent. Members may submit these dossiers for consideration in cases of tenure, merit, and/or promotion. The decision not to submit a teaching dossier shall not be held against a member.

     

    III.14 Procedures for Voluntary Transfer and Cross-appointment of Faculty

     

    III.14.1
    An individual faculty member from one academic unit may request to be transferred, in whole or in part, to another academic unit, by written application to the Dean.

     

    III.14.2
    The agreement of the Dean, the home unit and the receiving unit shall be required for an individual faculty transfer. A member shall be able to grieve if either the Dean or the home unit objects to the transfer. An objection to a transfer by the receiving unit shall not be the subject of a grievance.

     

    III.14.3
    The home unit of cross-appointed faculty must be specified at the time of the cross-appointment. This will automatically be the unit allotted the larger share of the faculty member except (a) in the case where the cross-appointment is on a .5/.5 basis, and (b) when the cross-appointment is for three (3) years or less. In these cases, the faculty member has the right to select the home unit.

     

    III.14.4
    The home unit of a cross-appointed faculty member has the primary responsibility for making personnel recommendations regarding merit awards, tenure and promotion. In making such recommendations, the home unit must request and duly consider the evaluation of the other unit concerning teaching, scholarship and university service, as appropriate. Where the individual requests it, tenure and promotion committees will also include a representative from the non-home unit, with full voting rights.

     

    III.14.5
    The leaves and sabbaticals requests of cross-appointed faculty are to be processed, at the departmental/program level, by the home unit, but with the provisos that:

     

    1. individuals must inform the non-home unit at the time of their request to be included in the home unit's leaves and sabbaticals plan for a particular year. Individuals must also inform the non-home unit of any existing plans at the time of cross-appointment;

        

    2. the home unit must consult the non-home unit before making a final decision about a cross-appointed member's leave request; and,

        

    3. there must be agreement between both units regarding changes or additions to the home unit's three-year plan that directly affect the staffing plans of the other unit.

     

    III.14.6
    The proportion of a cross-appointed faculty member located in each of the units involved must be specified at the time of cross-appointment. Normally, cross-appointments will be allocated on a .7/.3 basis.

     

    III.14.7
    The teaching and other responsibilities allocated to a cross-appointed faculty member in each academic unit should be approximately proportional to the norms accepted by that unit. However, by agreement between the units and the individual, these proportions may be regarded flexibly. In the event of a dispute, the Dean would be arbiter and have the final decision.

     

    III.14.8
    The cross-appointed faculty member has the same rights of participation in each of the units as if located as a regular full-time member of those units. In cases which concern both units, the cross-appointed member should not vote twice on the same issue.

     

    III.14.9
    Cross-appointments and transfers may be for a definite term (up to five (5) years) or be permanent. The duration of the arrangement must be specified when it is requested and approved. Any individual request for a further change in status, once a transfer arrangement has been made, will be regarded as a new request, and will have to follow the procedures outlined above.

     

	Title Index
Chapter	I, II, III, IV, V, VI, VII, VIII
Schedule	A, AA
Appendix	A, B, C, D, E, F, G, H, I, J, K, L, M, N, O, P
Signatures