Policy 69: Tenure, Appointments for Contractually Limited Terms and Termination of Employment (Under Revision)

Approved Board of Governors 14.1.70

TENURE, APPOINTMENTS FOR CONTRACTUALLY LIMITED TERMS AND TERMINATION OF EMPLOYMENT (UNDER REVISION)


INTRODUCTION

SECTION l

This section of the policy applies to G.F.T. whose salaries are totally paid by the University or T and R.

LIMITED STATUS OF MEMBERS AND RELATED PROVISIONS

1. A G.F T. who holds an academic rank but does not have tenure, is hired on the basis of a limited-term contract. Employment under these conditions cannot extend beyond a total of six (6) years.

2. A G.F.T. engaged by contract pursuant to 1 above has the right to know not later than December 31st preceding the termination of his contract, whether he will be offered another limited-term contract. The decision whether or not to offer another limited-term contract is made by the Dean of the Faculty after consultation with the Clinical Teaching Personnel Committee of the said Faculty.

3. A new contract will be offered to a non-tenured professor, provided that the Dean can be assured that:

a) all the provisions of the previous contract have been respected;

b) the quality of the teaching and research of the professor and of his overall contribution to the work of the University has been clearly satisfactory;

c) the professional qualifications of the professor correspond to the needs of the teaching and/or research unit to which he is attached;

d) the professor has not been hired as a replacement. An engagement of this nature, at any rate, cannot extend beyond two (2) years unless there is agreement in this regard between the two parties.

4. Until such time that a professor, according to the stipulations of item 7 or 8 below, can be considered for tenure, refusal to grant him a new contract shall not give rise to dispute by the professor.

5. When the Dean decides to renew the appointment of a non-tenured professor who is already in his fourth year of employment at the University, he shall inform him of any initiative which the professor could take for the purpose of improving his chances of fulfilling the conditions stipulated in paragraph 12 below.

6. A non-tenured professor may be dismissed by the University and/or the Hospital at any time for cause in accordance with the laws of the Province of Ontario and/or By-Laws and/or Policies of the Hospital and/or the University and may be terminated by three (3) months' notice in writing to the Hospital and the University.

TENURE

7. The Joint Committee of the Senate and the Board of Governors must make a decision concerning the tenure of a professor before December 31st of the academic year at the end of which he will have completed five (5) years of full-time employment at the University of Ottawa, as a member of the full-time teaching staff or as a G. F. T. (tenure stream). Keeping in mind, this requirement, the contract of a professor engaged for a limited-term will specify the academic year in which this decision will be made provided his limited term contract is extended sufficiently by new contracts.

8. A clinical professor who wishes that his dossier be submitted to the Joint Committee of the Senate and the Board of Governors for tenure, must submit a written request prior to September 1st. The Joint Committee of the Senate and the Board of Governors will make a decision concerning his tenure prior to December 31st of the academic year in which he will have completed:

a) either five (5) years of full-time teaching experience and/or of research at a university or in an institution judged to be of an equivalent level, provided that the last two (2) years of this experience have been acquired at the University of Ottawa;

b) or a second year of full-time employment as a professor at the University of Ottawa as a G. F. T. (tenure stream) and at least three (3) additional years of professional experience judged to be pertinent for teaching at the University level.

9. During the academic year in which, according to the provisions of 7 or 8 above, the University must make a decision concerning the tenure of a professor, the Clinical Teaching Personnel Committee of the Faculty of the professor concerned will undertake through the Dean whatever consultation it might judge to be appropriate in order to submit to the Joint Committee of the Senate and the Board of Governors a recommendation:

a) either in favour of granting tenure as of the beginning of the forthcoming academic year;

b) or in favour of delaying the decision to refuse or grant tenure and offering a final contract of one (1) year at the end of which tenure will be granted or employment terminated. In such a case, the Committee must specify the reason(s) for this decision and, if necessary, specify exactly what condition(s) the professor personally must fulfill in order to comply with the requirements of 12b) below when the Clinical Teaching Personnel Committee will examine his file for the last time relative to the granting or the refusal of tenure; except in the case of a recommendation made pursuant to 8 above, where by way of an exception the recommended duration of this final contract will be for two (2) years;

c) or in favour of refusing tenure, thus signifying that the employment of the professor will terminate at the end of his current contract.

10. The professor will receive copies of any recommendation made concerning him to the Joint Committee of the Senate and the Board of Governors other appropriate authority.

11. In the case of a negative recommendation of the Clinical Teaching Personnel Committee of the Faculty or the Dean, the Dean will send a letter to the professor conveying the recommendations of a Clinical Teaching Personnel Committee. It shall correctly reflect the recommendations and the rationale. A copy of this letter shall be sent to the director of the department.

12. For the purpose of paragraph 9 above, the Clinical Teaching Personnel Committee of the Faculty may recommend that tenure be granted to a professor when he:

a) has the kind of qualifications required to support effectively the programmes of study and of research that the University has decided to pursue;

b) fulfills each and all of the following conditions:

1) is a full-time member of the teaching staff as G.F.T. (tenure stream) and holds an academic rank;
2) holds a doctorate, it being understood that the University will consider as an equivalent in this regard any work judged by his peers as having contributed in a significant manner to the advancement of a science, of an art or of a profession;
3) holds a certification or a fellowship;
4) has accumulated sufficient and adequate experience to permit him, at the end of the current academic year, to comply with the requirements of 7 or 8 above;
5) has demonstrated a high quality of clinical practice as seen by an evaluation made by his peers;
6) has demonstrated that the quality of his teaching is clearly satisfactory, as may be established by the evaluation of his teaching;
7) has demonstrated a visible activity in the field of research, literary or professional creativity:

i) in addition to that conducted in the drafting of his doctoral thesis or the work considered in granting recognition for experience equivalent to a doctorate; it being understood that the work connected with the doctoral thesis or the equivalent work shall, with the approval of the Dean, have been accomplished during a substantial portion of the first five (5) years of employment at the University of Ottawa, they will be considered at the same time as the additional research work for assessing whether the applicant fulfills the condition stipulated in the present paragraph 12;
ii) the results of which are available in a form suitable for evaluation;
iii) which is likely to be positively evaluated by the peers of the professors concerned.

8) has, when invited to do so, accepted and discharged reasonable administrative responsibilities within the University Community;
9) has met those qualifications in respect of the level of knowledge of English and/or French such as determined at the time of hiring.

13. The Clinical Teaching Personnel Committee concerned may, by exception, take into consideration in the evaluation the requirements of the fourth and fifth sub-paragraphs of 12b) above:

a) exceptional quality of teaching, which could be demonstrated by an evaluation of this teaching, or the introduction of innovative instructional methods, which may compensate for a lesser research output on the part of the professor;

b) exceptional research qualifications of a professor, as confirmed by the opinion of his peers, which may compensate for a lesser teaching performance on the part of the professor;

c) extensive administrative service or significant involvement in a community activity related to the academic work of a professor - coupled when necessary with teaching of a clearly satisfactory quality - may compensate for a lesser performance on the part of a professor.

14. Tenure may not be recommended for:
a) a visiting professor;
b) a part-time lecturer;
c) a replacement professor;
d) a voluntary part time, a major part-time or a G.F.T. soft funded;
e) clinical teachers employed on an hourly basis, or teachers having a full-time appointment with an institution other than one which is affiliated by contract with the University.

15. For the purposes of 9 above, the Clinical Teaching Personnel Committee will complete its deliberations prior to November 1st and will forward its recommendation to the Joint Committee of the Senate and the Board of Governors, through the Dean of the Faculty. In forwarding the recommendation of the Committee, the Dean will attach all relevant documents, including:
a) the text and the grounds for his own recommendation;
b) the text and the grounds for the recommendation of the Department Head;
c) a copy of the opinions received in the course of consultations undertaken by the Clinical Teaching Committee;
d) a copy of the evaluations requested by the Clinical Teaching Committee.

16. Prior to December 31st, the Dean must inform, in writing, each professor concerned of the final decision of the Joint Committee of the Senate and the Board of Governors.

If the decision is to defer the granting or the refusal of tenure, and to offer, in the meantime, a final limited-term contract, the Dean must specify the reason(s) for this decision and, if necessary, indicate precisely what condition(s) must be fulfilled personally by the professor in order to satisfy the requirements of 12b) above when the final decision concerning tenure is made.

LIMITATIONS ON SECURITY OF EMPLOYMENT

17. Subject to 18, 19, 20 on disciplinary measures, a tenured professor may be dismissed only on one or more of the following grounds:

a) Request for tenure or term hiring of clinical professors of the Faculty of Health Sciences is made on the condition that these professors are certified members of the medical staff of a hospital contractually affiliated to the University with the understanding that any change in affiliation must be approved by the Dean. Loss of such certification will automatically terminate employment and will entail the loss of tenure;

b) all changes in affiliation designed to transfer a clinical professor affiliation from one hospital to another must be carried out according to the normal procedures.

DISCIPLINARY MEASURES

It is agreed to distinguish between two types of disciplinary measures:
a) those related to misconduct or to the failure of a professor to comply with his tasks and responsibilities;
b) and those related to the incompetence of a professor or to his unfitness to maintain an appropriate level of quality relative to his participation in the general work of the University.

18. The University may reprimand, suspend or dismiss a professor engaged under contract, or a tenured professor, for misconduct or for failure to comply with his obligations. In such a case, the following provisions will apply;

a) when the Dean of a Faculty is of the opinion that a professor does not conform in a satisfactory manner to his tasks or gives proof of misconduct, he may reprimand the professor in writing, specifying the grounds and adding this reprimand to the personal file of the professor concerned. The professor may appeal this decision by submitting a request to the Review Commission;

b) any failure by a professor having already been the object of a reprimand to correct reprehensible Conduct for which he has been reproached constitute sufficient cause to justify a more severe disciplinary measure than a simple reprimand, e.g. a suspension, withholding a progress in-the-rank or part of salary increase during the coming year, or even dismissal if the prejudice caused by the professor is sufficiently serious to warrant such action. Dismissal may be imposed only by the Board of Governors upon recommendation of the Dean of a Faculty and the Rector. Such penalties may be imposed only by the Board of Governors upon whom will fall the onus of proof if the decision is sent through the revision procedure;

c) for the purpose of applying this article, failure by a professor to respect a number of the provisions to which he is subjected will give sufficient grounds for dismissal, the University having to provide proof in such a case.

19. Upon recommendation by the Dean and the Clinical Teaching Personnel Committee of the Faculty (or School), the Joint Committee of the Senate and the Board of Governors may reprimand or dismiss a professor for incompetence or unfitness to maintain his professional qualifications at an appropriate level. In such a case, the following provisions shall apply:

a) when following evaluation of the teaching of the professors in an academic unit or an evaluation of the relevance of the scholarly activities of a teaching unit and/or research or otherwise, the Dean is of the opinion that the quality of the teaching, research and/or the overall contribution of a professor is not satisfactory, he submits the case for consideration by the Clinical Teaching Personnel Committee of his Faculty and makes available to this Committee all documentation that he has at his disposal to justify his misgivings;

b) after having examined the file, the Teaching Personnel Committee of the Faculty (or School) must advise the Dean:

1) that his misgiving concerning the competence of a professor or relative to the inability of a professor to maintain a satisfactory standard of teaching and/or research and/or his overall contribution to the work of the University are well founded;
2) or that the misgivings of the Dean in this regard are not founded.

c) upon receipt of this notice and provided the professor concerned has already received at least one written notice, or other form of reprimand, in respect of his competence or his teaching and/or research and/or general contribution to the work of the University at an acceptable level, the Dean may recommend to the Joint Committee of the Senate and the Board of Governors that, beginning in the forthcoming year, the professor concerned be deprived of the progress in the rank portion of the annual salary increase. In such a case, he must attach a copy of the advice that he has received from the Clinical Teaching Personnel Committee. He also must inform the professor concerned in writing of this recommendation, its content and grounds, together with the advice received from the Clinical Teaching Personnel Committee;

d) the professor concerned may appeal this recommendation to the Joint Committee of the Senate and the Board of Governors in accordance with the provisions set out in paragraph 23 of this policy;

e) the decision to deprive or not to deprive a professor of the progress in the rank portion of his annual salary increase is made by the Joint Committee of the Senate and the Board of Governors. This decision is communicated to the professor, by his Dean, in writing;

f) the withholding of the progress in the rank portion of his annual salary increase must be considered by the professor as a severe reprimand relative to the quality of his teaching and/or research, and/or of his overall contribution to the work of the University. Consequently, such action may lead to:

1) non-renewal of his limited-term contract, in the case of a non-tenured professor if the quality of his performance is not appreciably improved in a short time;
2) the dismissal of a tenured professor concerned for failure to maintain his professional qualifications up-to-date, should such withholding action have been taken on two (2) consecutive occasions.

g) if application of the procedure contemplated in the preceding paragraph is under consideration, it is understood that the holdback of a progress through the ranks increase for two (2) consecutive years cannot lead directly to a dismissal, but instead will allow the University to initiate the dismissal procedure, for good reason and using the holdback of two (2) consecutive progress through the ranks increases as an indication of the incompetence of the professor. In the case of a dismissal for reasons of the inability of a professor to maintain his qualifications up-to-date, the Clinical Teaching Personnel Committee of the Faculty will again be consulted.

SECTION II

This section applies to tenure for administrative exclusions and for the Deans.

TENURE OF ADMINISTRATIVE EXCLUSIONS AND DEANS

20. When the tenure candidate is a Dean or an administrative exclusion, the duties which fall upon the Dean by virtue of this policy shall be taken up by the Vice-Rector, Academic. With regards to tenure of Deans and administrative exclusions, duties which are performed by the T.P.C. of the faculty concerned, in the case of regular professors, fall upon the Joint Committee of the Senate and the Board of Governors.

DISCIPLINARY MEASURES

21. For administrative exclusions, the decision to withhold all or part of the salary linked to "progress-through-the-ranks" is made by the Joint Committee of the Senate and the Board of Governors, upon recommendation by the T.P.C. and the Dean of the faculty concerned.

22. For Deans, the decision to withhold all or part of the salary linked to "progress-through-the-ranks" is made by the Joint Committee of the Senate and the Board of Governors upon recommendation of the Vice-Rector, Academic.

SECTION III

THE REVIEW COMMISSION

23. Should there be a disagreement between a professor and the University, both parties agree to encourage the unofficial settlement of differences and, upon request by the other party, to take part in such a settlement, provided that the procedure does not cause an unreasonable delay.

24. A review commission shall be established to propose solutions in the case of a professor's dismissal, in the case where a professor believes that the employment termination procedure for surplus personnel has not been followed, and in the case where a professor believes that the termination of employment violates academic freedom or the procedure set out by this policy.

25. The review commission shall be made up of three (3) members chosen by the Joint Committee of the Senate and the Board of Governors with two (2) of these members coming from a list established by the faculty executive after consultation with the professor concerned. Committee members shall be full-time professors of the University except for the chairman who in this case must be a member of the Ontario or Quebec Bar.

26. One of the members shall act as Chairman and such Chairman shall be a member of the Ontario or Quebec Bar who shall be appointed by the Board of Governors on the recommendation of the Executive Committee of the Senate.

27. The appointment of any tenured professor to the Review Commission made pursuant to paragraphs 25 and 26 above shall be for a three (3) year term subject however to earlier termination as provided by paragraph 27a) of this Policy.

a) The appointment of any tenured professor to the Review Commission which is made pursuant to paragraphs 25 and 26 above shall be earlier terminated:

i) if such tenured professor ceases to be a member of the teaching staff of the University; or,
ii) if such tenured professor becomes an elected member of the Senate.

b) Any vacancy resulting from the occurrence of anyone of the events provided for in paragraph 27a) above or by reason of the fact that the term of appointment of a tenured professor has expired, shall be filled in the manner provided in paragraph 25 and 26 above.

28. Any professor who belongs to the same Department (or Faculty or School where there are no departmental divisions) as the professor launching an appeal to the review commission cannot be part of this commission. Should the Secretary choose by chance the name of such a professor, or of a professor who does not feel able to take part in the commission, he will choose another name, and so on, until the commission is duly formed.

29. The Review Commission shall, within seven (7) days of its formation, appoint a date, time and place for a hearing to study the basis of the decision being appealed and shall advise the Secretary of the University accordingly. The Secretary shall forward a notice of hearing to the professor concerned.

30. At least seven (7) days before the Review Commission's hearing, the Secretary of the University shall serve by registered mail to the said member of the teaching staff a notice of hearing stating the time, place and purpose of the hearing; the notice shall also include a statement that if the party notified does not attend the hearing, the Commission may proceed in his absence, and he shall not be entitled to any further notice of the proceedings.

31. Where notice of a hearing has been given in accordance with paragraph 29 of this Policy and the party does not attend the hearing, the Commission may proceed in his absence and he shall not be entitled to any further notice of the proceedings.

32. The Commission's hearing shall be held in camera unless the member of the teaching staff requests in writing that the hearing be open to the public. In such case, the Commission, if it is of the opinion that the desirability of adhering to the principle that hearings be open to the public outweighs the desirability of avoiding disclosure of the matters it is studying, may hold a public hearing.

33. The member of the teaching staff who has been served with a notice of hearing may waive the hearing at any time before the date set for the hearing by filing a written waiver of such hearing with the Secretary of the University.

34. The member of the teaching staff who has been served with a notice of hearing may, at the opening of the hearing, waive the hearing of compliance with any procedural requirement or requirements set out in this Policy. In such case, the Chairman of the Commission shall note such waiver and shall either:
a) declare the hearing closed if such waiver was a waiver of the hearing; or,
b) proceed with the hearing if such waiver is related to a matter or matters of procedure.

35. A hearing may be adjourned from time to time by the Commission on its own motion or where it is shown to the satisfaction of the Commission that the adjournment is required to permit an adequate hearing to be held.

36. The Faculty or School to which the member of the teaching staff belongs may at the hearing;
a) be represented by counselor an agent;
b) call and examine witnesses;
c) cross-examine witnesses called on behalf of the members of the teaching staff who have given evidence before the Commission;
d) present arguments and submissions.

37. A member of the teaching staff may at hearing;
a) be represented by counselor an agent;
b) call and examine witnesses;
c) cross-examine witnesses who have given evidence on behalf of the Faculty or School on the facts on which they have given evidence;
d) present his arguments and submissions.

38. a) A witness at a hearing before the Commission may be advised by counsel or agent, but such counselor agent may not address the Commission without its permission.

b) Where a hearing is in camera, a counselor agent for a witness is not entitled to be present except when that witness is giving evidence.

39. a) The Commission may reasonably limit further cross-examination of a witness where it is satisfied that the cross-examination has been sufficient to disclose fully and fairly the facts in relation to which the witness has given evidence.

b) The Commission may exclude from a hearing anyone other than a barrister and solicitor qualified to practice in Ontario or Quebec appearing as an agent on behalf of the Faculty or School or as an adviser to a witness if it finds that such person is not competent properly to represent or to advise the member of the teaching staff of the Faculty or School or a witness or does not understand and comply at a hearing with the duties and responsibilities of an advocate or adviser.

40. a) Subject to subparagraph 40b) above, the Review Commission may admit as evidence at a hearing, whether or not given or proven under oath or affirmation or admissible as evidence in a court:

i) any oral testimony; and
ii) any document or other thing relevant to the subject matter before it and may exclude anything unduly repetitious.

b) Except as herein provided, nothing shall be admissible in evidence at a hearing that would be inadmissible in a court of law by reason of any privilege under the law of evidence.

c) Where the Commission is satisfied as to their authenticity, a copy of a document or other thing may be admitted or used in evidence at a hearing.

d) Where a document has been filed in evidence at a hearing, the Commission mayor the person producing it or entitled to it may with the leave of the Commission cause the document to be photocopied and the Commission may authorize the photocopy to be filed in evidence in the place of the document filed and release the document filed or may furnish to the person producing it or the person entitled to it a photocopy of the document filed certified by a member of the Commission.

e) A document purporting to be a copy of a document filed in evidence at a hearing, certified to be a true copy thereof by a member of the Commission, is admissible in evidence in proceedings in which the document is admissible as evidence of the document.

41. The Commission may, in making its decision:
a) take notice of facts that may be judicially noticed; and,
b) take notice of any generally recognized scientific or technical facts, information or opinions within its scientific or specialized knowledge.

42. The member of the teaching staff and/or any person appearing on his behalf, and person appearing on behalf of the Faculty or School shall be entitled to examine any document which is filed as evidence at a hearing while such hearing is in progress.

43. Only a person who is entitled by law to administer oaths and affirmations within the Province of Ontario shall be entitled to administer oaths and affirmations at a hearing and the Commission may ask that evidence before it be given under oath or affirmation but may not compel any witness to give evidence under oath.

44. The Commission shall compile a record of any proceedings before it which shall include:
a) any application, complaint, reference or other document, if any, by which the proceedings were commenced;
b) the notice of hearing;
c) all documentary evidence filed with the Commission;
d) the transcript, if any, of the oral evidence given at the hearing; and,
e) the decision of the Commission and the reasons therefor.

45. Any matter relating to the costs of the hearing shall be dealt with by the Chairman of the Commission and shall only constitute a recommendation for consideration by the Board of Governors.

46. Any decision rendered by the Commission shall be in writing and shall give reasons therefor and shall only constitute a recommendation for consideration by the Board of Governors of the University.

47. The Commission shall render its decision no later than six (6) weeks after its formation unless it is specifically authorized to deliver the same at a later date by the Board of Governors of the University.

48. The Commission shall deliver a copy of its decision forthwith to the Secretary of the University.

49. The Secretary of the University shall upon receipt of the decision:
a) deliver a copy thereof forthwith to the Rector of the University;
b) deliver copies thereof forthwith by registered mail:
     i) to the member of the teaching staff;
     ii) to the Faculty or School.

50. The Rector shall transmit the decision of the Review Commission together with his own recommendations or to the Board of Governors within ten (10) days of the date upon which he shall have received such decision.

51. The decision of the Board of Governors shall be transmitted by the Secretary of the University forthwith by registered mail to the member of the teaching staff and to the Faculty or School.

EXCEPTION

52. No exception may be made to this Policy without the written consent of the Board of Governors.

Revised October 2, 1980 (supersedes edition dated May 15, 1974)

INDEX

Review commission
Limitations on security of employment
Disciplinary measures
Appointments for contractually limited terms
Tenure
Tenure of administrative exclusions and Deans

(Office of the Vice-Rector; Academic)

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