Deans, Associate Deans and Teaching Staff Governors Procedures

Purpose

The University of Ontario Institute of Technology recognizes that the expertise, effectiveness and commitment the Deans, Associate Deans and Teaching Staff Governors contribute to the level of excellence in teaching, research, service and opportunities that students receive. The main intent of this document is to establish and explain various procedures that apply to Deans, Associate Deans and Teaching Staff Governors at the University.

Definitions

For the purposes of these Procedures the following definitions apply:

“Associate Dean” means a person who holds an Associate Dean appointment/position. The Associate Dean, as part of the management team of the academic unit, is involved in contributing in a confidential capacity to decisions. An Associate Dean may be appointed to serve as Acting Dean of the unit in the Dean’s absence.

“Teaching Staff Governor” means a member of the University's Board of Governors who holds a full-time continuing position, and is elected by and from within the teaching staff of the University.

“Dean” means a person who holds a Dean appointment/position. The Dean is responsible for the overall direction and development of the academic unit

Scope and authority

These Procedures apply to Deans, Associate Deans and Teaching Staff Governors Representatives.

The Vice-President responsible for Human Resources, or successor thereof, is the Policy Owner and is responsible for overseeing the implementation, administration and interpretation of these Procedures.

Procedures

Appointment to the position

Refer to current policies or procedures in the Policy Library: Policy on Senior Academic Administrative Appointments (ADM 1313) (for Deans), Appointment of Associate Deans, Program Directors and Program Coordinators (ADM 1399.02) and Board of Governors Recruitment, Appointment and Leadership (BRD 1000).

1. Academic Freedom

   The University regards academic freedom as indispensable to the pursuit of knowledge. The freedom of faculty members to define research questions, to pursue the answers with rigor, and to disseminate knowledge according to their best judgment resides at the core of the University's mission. Accordingly, academic freedom is the right of every Dean, Associate Dean and Teaching Staff Governor. The University expects its Deans, Associate Deans and Teaching Staff Governors to exercise this freedom with integrity and with due regard for the rights and freedoms of others.

2. Ranks

   Employees undertaking an exempt academic staff position maintain the rank they last held prior to accepting the exempt academic staff position. In addition, the terms and conditions of their employment will remain the same.

   The Award of Tenure or Promotion to Professor

3. Tenure

   A Dean, Associate Dean or Teaching Staff Governor who is being considered for tenure will follow an appointment process that parallels the Tenure process for Tenured and Tenure Track Faculty.

4. Promotion to Professor

   A Dean, Associate Dean or Teaching Staff Governor who is a candidate for promotion will follow the promotion to Professor process for Tenured and Tenure Track Faculty.

   Promotion to Associate Teaching Professor or Senior Teaching Professor

5. An Associate Dean or Teaching Staff Governor who is a candidate for promotion to Associate Teaching Professor will follow an appointment process that parallels the promotion process for Teaching Faculty.

6. An Associate Dean or Teaching Staff Governor who is a candidate for promotion will follow the promotion to Senior Teaching Professor appointment process for Teaching Faculty.

   Academic Administrators, Designations and Termination

7. Academic Administrators

   Amended: Section 5.7 is superseded by the Policy on Senior Academic Administrative Appointments, February 2016

8. Required Professional Designations

   Needs exist in some Faculties, for program accreditation or other reasons, for faculty to acquire and maintain in good standing certain professional credentials or designations. All such Deans, Associate Deans and Teaching Staff Governors must have, or will be required to obtain, these relevant credentials and to maintain them. Failure to do so could be grounds for dismissal or non-renewal. Required credentials or designations known at the time of appointment will be noted by the supervisor in the letter of appointment. Deans, Associate Deans and Teaching Staff Governors will be notified if other credential requirements arise during their employment and will be expected to obtain the new qualification.

9. Removal of an Associate Dean

   An Associate Dean may be dismissed from the role for adequate cause. Adequate cause entails a fundamental breach of the contract of employment involving either serious wrongdoing or an accumulated record of unsatisfactory employment, including professional incompetence, persistent failure to carry out duties, refusal to carry out reasonable assignments, or gross misconduct, as documented in performance reviews or other written notification.
   
   Gross misconduct does not include free inquiry, discussion, exercise of judgment or honest criticism of views whether inside or outside the University.
   
   In dismissal for cause, the burden of proof shall rest with the University.

10. Removal of a Teaching Staff Governor
    
    A Teaching Staff Governor may be removed only in accordance with Board of Governors policy and procedures.
    
    

11. Removal of a Dean

    The removal of a Dean is governed by the Faculty Dean Appointment and Renewal Procedures. (ADM 1313.05)

ORIENTATION AND PERFORMANCE REVIEW

Orientation

1. The University recognizes that the orientation of and continuing assistance to Deans, Associate Deans and Teaching Staff Governors is important in establishing good employment relationships. An effective orientation process promotes morale, well-being and loyalty, encourages a well-informed faculty, fosters a sense of equity, and serves as an essential human resource function. To that end, the University will provide a thorough and welcoming orientation process for new appointees and continuing assistance with the development of skills that facilitate learning.

Performance Review

Preamble

The University recognizes that a primary method of promoting excellence in the facilitation of learning, in research and creative professional practice, and in community involvement is through effective and constructive evaluation. In addition, the University believes that it is essential that exemplary performance be recognized and rewarded and, to that end, that it is important that a formal process be established to set and maintain standards of high quality.

1. Annual Review
   

   By April 30th, Deans, Associate Deans and Teaching Staff Governors will submit to their respective supervisors an annual activity report summarizing their achievements in the areas of Research (if applicable), Teaching and Service for the past review period.

   Deans, Associate Deans and Teaching Staff Governors shall submit an annual activity report on a form supplied by their supervisor.

   The report may include the following information:

   1. Academic leadership;
   2. Curriculum development;
   3. Course development, including innovation in delivery models;
   4. Teaching responsibilities including courses taught and supervised;
   5. Results of student evaluations;
   6. Books and papers published;
   7. Conference papers, presentations, exhibitions, etc. given;
   8. Research, completed or in progress;
   9. Research grants and contracts awarded, including name of granting body, research grant title, amount awarded and the date of the award;
   10. Awards and other honours received;
   11. Faculty, Academic Council, and other University Service activities;
   12. Contributions to their profession;
   13. Contributions to their community and other forms of external Service;
   14. A statement of their outside professional practice in the previous year;
   15. An account of the academic activities pursued by the Dean, Associate Dean, or Teaching Staff Governor during the semester in which they were not Teaching; and

   16. Any other information that the Dean, Associate Dean, or Teaching Staff Governor deems relevant.
       

2. The Supervisor shall provide a copy of the Dean’s, Associate Dean’s or Teaching Staff Governor’s written performance assessment (as described in Article 9.1) to the Provost no later than June 15th for inclusion in the Dean’s, Associate Dean’s, or Teaching Staff Governor’s Official File.

3. The Dean, Associate Dean or Teaching Staff Governor has the right to add a letter of response or rebuttal to the Supervisor’s assessment, and this letter shall be attached to the Supervisor’s written statement.

RIGHTS AND RESPONSIBILITIES

Deans, Associate Deans and BoG’s will continue to participate in the University’s programs made available to all full time continuing appointments as outlined on the University's HR website (i.e. Pension, Benefits, Dependent Tuition Assistant Program, Short Term Disability Leave, Pregnancy and Parental Leave and Professional Development, etc).

Vacation Entitlement

1. Deans, Associate Deans and Teaching Staff Governors shall be entitled to 25 days of paid vacation annually (30 days after ten years). Vacation days will accrue at the rate of one-twelfth of the annual entitlement per month. While these vacation entitlements will be the normal rule, factors related to seniority and work experience may be taken into account in assigning vacation entitlement at the time of the initial contract or at any subsequent renewal. Normally, vacation days may not be carried from one year to another. However, in certain special situations, and with prior approval from their immediate supervisor, vacation days may be allowed to carry over. Deans, Associate Deans and Teaching Staff Governors have a high degree of independence in scheduling their own time and as such are deemed to have taken their vacation entitlement in a given year. Therefore, they are not entitled to any payout of unused vacation days upon resignation, retirement or other form of termination.

Bereavement Leave

1. A Dean, Associate Dean or Teaching Staff Governor shall be entitled to a leave of absence with pay in the event of the death of a member of their family.

2. Bereavement leave to arrange or attend the funeral of an immediate family member shall be granted by the Dean’s, Associate Dean’s or Teaching Staff Governor’s immediate supervisor. The paid portion of such leaves will be based on the amount of time the Dean, Associate Dean or Teaching Staff Governor is scheduled to work that week and will not exceed five (5) Days for a Dean, Associate Dean or Teaching Staff Governor except in instances where extensive travel is required outside of Canada., In which case the immediate supervisor at their discretion, may give the Dean, Associate Dean or Teaching Staff Governor up to two (2) additional days of paid leave for travel purposes.

3. “Immediate family” is defined as the Dean’s, Associate Dean’s or Teaching Staff Governor’s spouse, common law spouse, same‐sex partner, son, daughter, children of the Dean’s, Associate Dean’s or Teaching Staff Governor’s spouse, children of a common law spouse, children of same‐sex partner, step‐children, ward, brother, sister, father, and mother.

4. Bereavement leave to arrange or attend the funeral of an extended family member shall be granted by the Dean’s, Associate Dean’s or Teaching Staff Governor’s immediate supervisor. The paid portion of such leaves will be based on the amount of time the Dean, Associate Dean or Teaching Staff Governor is scheduled to work that week and will not exceed three (3) Days for that Dean, Associate Dean or Teaching Staff Governor, except in instances where extensive travel is required outside of Canada, in which case the immediate supervisor at their discretion may give the Dean, Associate Dean or Teaching Staff Governor up to two (2) additional days of paid leave for travel purposes.

5. “Extended family” is defined as the Dean’s, Associate Dean’s or Teaching Staff Governor’s father‐in‐law, mother‐ in‐law, brother‐in‐law, sister‐in‐law, son‐in‐law, daughter‐in‐law, grandchild, grandmother and grandfather, grandparents of the employee's spouse, common‐law spouse, or same‐sex partner, step‐ mother and step‐father.

6. If bereavement leave is required in the event of the death of a person significant to the Dean, Associate Dean or Teaching Staff Governor and not specifically named in the definitions listed above, or additional bereavement leave is required in circumstances covered by the definitions listed above, it may be granted up to a maximum of two (2) days, with the approval of the Dean’s, Associate Dean’s or Teaching Staff Governor’s immediate supervisor.

7. It is recognized that the circumstances that call for leave in respect of bereavement are based on individual circumstances. On request, the Employer may, after considering the particular circumstances involved, grant leave with pay for a period greater than and/or in a manner different than that provided above.

8. Bereavement leave may be taken at the time of the bereavement and/or in a non-consecutive manner in the event of a later memorial service. A Dean, Associate Dean or Teaching Staff Governor is expected to give their immediate supervisor adequate notice in the event of a later memorial service

9. Additional time off may be approved by a Dean’s, Associate Dean’s or Teaching Staff Governor’s immediate supervisor and may include the use of personal days, or any other paid time owing to the Dean, Associate Dean or Teaching Staff Governor, or, if none is available, unpaid time.

10. A Dean, Associate Dean or Teaching Staff Governor shall contact their immediate supervisor to request bereavement leave when it is required.

Unpaid leave of absence

1. A Dean, Associate Dean or Teaching Staff Governor may request approval for an unpaid leave of absence from their Supervisor, who will take into account various factors, including the merits of the case, whether the position can be adequately filled during the course of the leave, and its impact on the operations of the Faculty. Leaves in excess of four calendar months must also be approved by the Supervisor. Copies of written approvals from the Supervisor must be given to Human Resources.

2. Normally, unpaid leave may be granted for a maximum of 12 months.

3. Pension and benefits implications of such leaves should be reviewed with Human Resources before leave is requested. While on an unpaid leave of absence, Employer and employee pension contributions will cease and the Dean, Associate Dean, or Teaching Staff Governor will not be eligible for short-term disability benefits or long-term disability benefits.

4. While on an unpaid leave of absence a Dean, Associate Dean, Teaching Staff Governor has the option of paying both the employee and Employer premiums for major medical, dental, life insurance and accidental death and dismemberment insurance coverage.

5. In all cases, the University expects that the Dean, Associate Dean or Teaching Staff Governor will return to the University at the end of the leave.

6. Any other statutory leaves, as requested by the Dean, Associate Dean or Teaching Staff Governor, will be granted in accordance with Employment Standards Act (i.e. Family Caregiver Leave, Critically Ill Child Care Leave and Crime-related Child Death or Disappearance Leave).

Political Leave

Preamble

The University recognizes that, from time to time, employees, including Deans, Associate Deans and Teaching Staff Governors, may wish to participate in the public life of Canada, a province or a municipality by running for and holding public elective office. For purposes of this policy, a public elective office shall include Member of Parliament, Member of a Provincial Parliament, municipal (including Regional) councillor, Mayor of a municipality, member of a Board of Education or other office filled by a vote conducted under the Ontario Municipal Elections Act. The University acknowledges the importance of such activities by adopting policies and procedures that are both supportive of such endeavours and as fair as possible to leave seekers, their colleagues and the University. This policy applies to faculty and staff with continuing appointments regardless of partisan affiliations or political beliefs.

Candidates for the House of Commons or the Ontario Provincial Legislature

1. An official candidate for a seat in the House of Commons or the provincial legislature should normally be granted a leave without pay for the purposes of campaigning. The period of leave will normally begin after the issuance of writs and will normally cover the period between nomination day and polling day. In federal elections, a leave for campaigning would normally be no more than 90 days and no less than 28 Calendar Days. In provincial elections, nomination day may be from 23 to 60 days after writs are issued; as a result, a leave might be as long as 74 days or as short as 14 Calendar Days.
2. Candidates elected to serve in the House of Commons or the Ontario Legislature will normally be granted leave without pay for the life of that Parliament, up to and including polling day for the subsequent Parliament. If the employee is re-elected to serve in successive Parliaments, she/he will be required to apply for a further leave, which will be granted, unless the total number of consecutive years of leave would exceed six.

3. If an employee continues to serve in such an office after the expiry of a University- granted leave, the employee shall be deemed to have resigned her/his University post. Such a resignation does not preclude the possibility of reappointment by the University under conditions satisfactory to all concerned. It should be noted that an employee who is elected to the House of Commons or the Ontario Legislature and is appointed a Minister of the Crown may be asked by the Prime Minister or Premier to resign from the University immediately.

   Candidates for Municipal Office

4. Normally, candidates elected to municipal office will not require a leave of absence; the performance of duties can be considered a form of community service and can often be combined with regular University duties. However, any elected official whose civic duties infringe upon her/his University responsibilities should contact their Supervisor immediately and seek an appropriate adjustment of University responsibilities and compensation under the provisions of Leave of Absence Policies
5. If, in the assessment of the Supervisor, the individual's performance is being adversely affected by civic duties, then she/he may request an adjustment of University responsibilities and compensation. In both cases, the goal should be to preserve the integrity of University operations while facilitating, to the extent possible, the performance of community service.
6. While on an approved leave for these purposes, an employee shall retain all normal rights of those on leave, including pension and benefit entitlements. Such an employee shall be able to return to the University at the same rank or position and at the same salary plus any adjustments that may have been granted during the leave. Deans, Associate Deans or Teaching Staff Governors on conditional appointments may return at the expiration of the leave without pay to complete the conditional term held when elected.
7. Employees who intend to seek election to municipal office (including Boards of Education) normally do not require a leave for campaigning. Instead, some flexibility should be sought, where necessary and where possible, in the performance of regular University duties during the last three weeks before polling day. Possibilities include partial unpaid leave of absence, flexible arrangements or the use of vacation entitlement.
8. No candidate for, or holder of, a public elective office shall speak as a representative of the University.

Complaints and Appeals

1. Every Dean, Associate Dean, and Teaching Staff Governor has the right to make, without fear of reprisals, a complaint or appeal in accordance with University policies and procedures.

Employment of Members of the Same Family

1. The University does not discourage, and in certain cases actively encourages, the employment of more than one member of a family. A member of the immediate family of a Dean, Associate Dean or Teaching Staff Governor may apply for, and shall be considered in competition for, positions at the University. However, because of the potential for conflicts of interest, the appointment of an immediate relative of a current employee to the same department is discouraged and requires prior declaration to the appropriate authority, normally by the immediate Supervisor.
2. All opportunities and benefits normally accruing to employees will obtain when such an appointment is made. However, normally a family member should not exercise any form of supervision or direct influence over an immediate relative. For the purposes of this policy, immediate relative is defined as spouse, common-law spouse, same-sex partner, child, stepchild, sibling, parent, sister/brother-in-law, mother/father-in-law, grandparent or grandchild. This policy should also be applied in circumstances involving intimate personal relationships.
3. Full disclosure of all such familial or intimate relationships must be made to the University. Conflicts of interest related to the employment of relatives include:
   1. Hiring decisions
   2. Tenure decisions
   3. Promotions
   4. Renewal of contracts
   5. Performance evaluation
   6. Disciplinary procedures
   7. Salary considerations
   8. Confidentiality
4. In the event a conflict arises, no family member shall be the sole decision-making authority.

Professional Service, Consulting and Related Work

Preamble

Dean, Associate Dean, and Teaching Staff Governors are expected to devote all their professional endeavours to the purposes of the University. The University believes that a great university should reach out to the world. Accordingly, the University encourages its staff to seek and participate in sponsored research, to consult widely, and to engage in other activities that may benefit not only the participants but also the University itself, and the larger community. Hence, Dean, Associate Dean, and Teaching Staff Governors who engage in contract research administered by the University may benefit personally from their research by receiving in addition to their regular University salary up to one quarter of their University salary, as outlined in the University's Compensation Policy. Recognizing the benefits of such activities, the University is also committed to ensuring that they are conducted properly and consistent with the right of free inquiry and membership in the University community.

Conflict of Interest and Conflict of Commitment

1. Professional service, consulting, and related work are defined as activities involving the application of professional effort and expertise on behalf of individuals or agencies outside the University community. In pursuit of its own mission and consistent with the requirements of external agencies, the University has formulated the following policies to identify and address potential, actual and apparent conflicts of interest and commitment. The fundamental premise of this policy is that each member of the University community has an obligation to act in the best interest of the University, and must not let outside activities or outside financial interests interfere with that obligation.

   Conflict of Commitment
   
   
2. A conflict of commitment occurs when the commitment to external activities of a Dean, Associate Dean, and Teaching Staff Governors adversely affects her/his capacity to meet University responsibilities. Accordingly, the nature and extent of professional service, consulting and related work undertaken should complement the primary commitment of faculty members to the University.
3. The nature and extent of any individual's participation in professional service and related work, and the use of the University's facilities in connection with such work, are matters to be agreed upon beforehand with the University. Such agreements may relate to specific proposals or they may be more general, relating to types of professional service, consulting, and related work, and to limits on the time that may be devoted to such work. In general, a Dean, Associate Dean, or Teaching Staff Governor may not accept salaried employment at another institution while a full-time employee of the University, and may not spend more than one day in a seven- day week on consulting activities.
4. The University requires that its Deans, Associate Deans, and Teaching Staff Governors will meet their classes. It also expects that they will be available to students outside the classroom, will carry their share of committee responsibilities, and will remain productively involved in their research, creative professional practice and other scholarly pursuits. Deans, Associate Deans, and Teaching Staff Governors are expected to satisfy all of the requirements of their jobs, and should not permit outside activities to interfere with the performance of their University obligations. External activities that compromise or diminish an individual's capacity to meet these obligations represent a conflict of commitment

5. Professional service, consulting, and related work of limited scope may be undertaken without the prior agreement of the University. However, the details of all such professional service, consulting, and related work, and the time committed to it, must be reported to the University on a regular and timely basis. This report shall include details about the specific nature of the work and a summary of the time devoted to it.

   Conflict of Interest

6. A conflict of interest exists when an individual, including Dean, Associate Dean, or Teaching Staff Governor, has an economic interest that affects or provides an incentive to affect the individual's conduct of her/his University activities. Conflicts of interest can arise naturally from an individual's engagement with the world outside the University, and the mere existence of a conflict of interest does not necessarily imply wrongdoing on anyone's part.
7. Conflicts of interest may also exist with respect to University financial decisions in which the individual is involved, such as investments, loans, purchases or sales of goods or services, and financial accounting decisions, and with respect to non-financial matters, including in particular the conduct of research and the treatment of students and colleagues. Conflicts may also exist with respect to matters with both financial and non-financial implications, such as decisions about the use of University equipment and facilities and the negotiation of research agreements and license agreements.
8. For the purposes of this procedure, an individual's economic interests include the use of University facilities, an interest in obtaining, maintaining or increasing the value of relationships, such as employment, independent contractor or consulting relationships; management positions, board memberships and other fiduciary relationships with for-profit organizations; and any other activity from which the individual receives or expects to receive remuneration. They also include such interest on the part of the individual's spouse and her/his financially dependent children. When conflicts of interest arise, they must be recognized, disclosed to the appropriate Supervisor, and either eliminated or properly managed.

Conflict of Interest in Research

Refer to current policies or procedures in the Policy Library: Conflict of Interest in Research (LCG1122).

Monitoring and review

These Procedures will be reviewed as necessary and at least every three years. The Vice-President responsible for Human Resources, or successor thereof, is responsible to monitor and review these Procedures.

Relevant legislation

Employment Standards Act, 2000, SO 2000, c 41

Related policies, procedures & documents

Exempt Academic Staff Employment Policy (ADM 1319)
Conflict of Interest in Research Policy (LCG 1122)
Policy on Senior Academic Administrative Appointments (ADM 1313)
Appointment of Associate Deans, Program Directors and Program Coordinators (ADM 1399.02)
Board of Governors Recruitment, Appointment and Leadership (BRD 1000)