Chair Accountabilities

The following list is meant to provide some assistance with understanding the Chair’s role as it is laid out in various University policies. It does not replace the policies, which should always be consulted (see further below), and in case of any inadvertent conflict between the material in this Handbook and University policies, the latter should be considered authoritative.

For UW policies, see the section on ‘Policies’ below (or go directly to the Secretariat website). Much important guidance for Chairs is also to be found in memoranda periodically disseminated from the Provost’s Office: see the Memos and Reports website[SA1] .

The following chart pulls together specific Chair accountabilities, but does not speak to more general, ‘non-legislated’ aspects of Chair leadership, such as mentoring, career advice, guidance in preparing tenure and promotion briefs, etc.

Chair Accountabilities

Accountability 1: Hiring of faculty members, including visiting scholars

Accountability 2: Faculty performance review (FPR)
  • Memorandum of Agreement 13.5: ‘Member Evaluation’.
  • Note: Each Faculty and each Department has (or should have) Faculty- and Department-specific addenda to the MoA setting out guidelines for APR assessments (MoA §13.5.1).
  • Policy 77: Promotion and Tenure of Faculty Members 2: ‘It is the responsibility of department Chairs to assess the performance of each regular faculty member annually, to provide a written performance review and to be available to discuss it upon request. Performance reviews are especially important in helping new faculty members gauge their progress towards meeting the standards for reappointment and tenure. Annual performance reviews form part of the evidence in tenure and promotion considerations, together with reports from external referees and more extensive career reviews carried out by the Department Tenure and Promotion Committee (DTPC).’

Note: It is particularly important to provide detailed and realistic feedback to probationary faculty on their FPRs.

Accountability 3: Faculty Tenure and promotion
  • Policy 77: Promotion and Tenure of Faculty Members
  • Note: Each Faculty has its own guidelines on tenure and promotion
  • Report the composition of the Department Tenure and Promotion Committee to the Dean and to potential candidates by May 1 each year
  • Identify tenure and promotion candidates by June 1. Tenure candidates must adhere to the timelines laid down in policy 77.4 “Timing and Criteria” - Candidates for promotion to Full Professor may be identified through querying all eligible colleagues. Chair meets with candidate(s) to discuss procedures.
  • Chairs the DTPC
  • Informs the candidate of names of external referees proposed by the DTPC
  • Submits external referee sheets and candidate’s material to Dean’s Office (candidate’s vita, samples of scholarly work, and teaching, research, and service statement)
  • Provides DTPC with copies of all written assessments of the candidate made within the Department (annual performance reviews, peer teaching evaluations).
  • Handles the procedures involved in potentially negative decision (§6: “Tenure and Promotion Procedures – Procedures at the Department Level”).
  • Informs the candidate in writing of the DTPC’s decision and forwards the file to the Dean.
  • Must be available during the days the FTPC meets in order to present the DTPC’s recommendation and/or address any questions.
  • Note: Although this is not required, each Department should have a set of discipline-specific guidelines for tenure and promotion. It is the responsibility of the Chair to maintain these guidelines and review them with Department colleagues at regular intervals.
  • See also the relevant Deans’ Council memoranda.

Forms: See Provost’s Office: Forms and Templates.

Accountability 4: Faculty Service
  • Policy 77: Promotion and Tenure of Faculty Members: ‘In addition to their primary duties of teaching and scholarship, regular faculty members have a responsibility to participate in the effective functioning of the University through service on committees, student advising, coordination of activities and in administrative positions. It is important that all faculty members be willing to assist with administrative duties when their help is needed. Many faculty members also provide valuable service to groups outside the University, such as disciplinary or professional organizations, conferences, journals and granting councils. Community service related to a faculty member's scholarly activities is normally considered as service to the University.’
  • Forms: See Provost’s Office: Forms and Templates
  • Faculty Administrative Appointments (DOC)

Accountability 5: Faculty Sabbaticals and Extra-University Activity

Policy 3: Sabbatical and Other Leaves for Faculty Members:

  • The Chair reviews and signs off on sabbatical applications prior to forwarding them to the Dean. Note that by signing off on a sabbatical request, the Chair is guaranteeing that the Department’s mission will not be negatively impacted by the absence of the faculty member for the period of the sabbatical. The question of sessional teaching replacement should be discussed with the Dean.
  • The Chair reviews faculty members’ reports on work done on the sabbatical upon their return. Assuming that faculty members actually submit such reports.
  • Note: Probationary term faculty members are allowed to apply for special early sabbaticals, normally taken in the first year of the second probationary term.
  • Policy 49: Extra-University Activity (Faculty Members): ‘Regular appointments to the University must be construed as constituting a full-time occupation. Given this understanding, any extra-University occupation that requires more than one work day a week should be examined and judged very carefully. It is the responsibility of the individual faculty member to inform the department Chair and Dean concerning any activities where expenditure of time is substantial.’
  • Cf. Policy 69: Conflict of Interest §3 under ‘Conflict of Commitment’: ‘Undertaking external consulting, professional or other activities which, by virtue of their time commitment, prevent the faculty or staff member from fulfilling her/his obligations to the University.’
  • Forms: See Provost’s Office: Forms and Templates

Accountability 6: Faculty discipline

Memorandum of Agreement §8: ‘Discipline’:

Note: Deans are ultimately responsible for dealing with faculty discipline; Chairs should not take any action without first consulting with the Dean.

Note especially the following:

  • 8.5: ‘In a case of persistent neglect [of professional duties], the action for dismissal must have been preceded by letters of warning from the Member's Chair or Dean. Warnings shall not only state the nature of the alleged deficiencies and make constructive suggestions for improvement, but also shall be followed by a reasonable period in which to make improvements.’
  • 8.7: ‘Disciplinary processes must be kept distinct from academic assessments associated with annual performance reviews and consideration for tenure, promotion, and probationary reappointment. The fact that a disciplinary measure has been imposed or is contemplated cannot be considered in an academic assessment, but the facts which resulted or may result in the imposition of discipline can be considered, if relevant to that assessment.’
  • 8.8: ‘The Member's Dean shall promptly investigate any concerns or allegations about a Member if the Dean reasonably believes that a situation warranting disciplinary measures may exist. The Dean shall inform the Member as soon as may reasonably be possible both of the nature of the allegation and if an investigation is being undertaken. The conduct of all or part of such investigations may be delegated to appropriate persons, including the Member's Department Chair. The investigation itself is not a disciplinary measure, and an investigation which has not yet been completed is not a matter for grievance.’

See also Memorandum of Agreement §14 ‘Integrity in Scholarly Research’

Accountability 7: Faculty grievances
  • Memorandum of Agreement, §9: ‘Grievance and Arbitration: The first, informal stage of a grievance (technically ‘pre-grievance’) is most likely to be addressed to the Chair/Director.
  • Note: In general, matters touching on promotion, tenure, or probationary-term renewal are not subject to grievance/arbitration: ‘Notwithstanding 9.2.2 and 9.2.3, no matter which may be the subject of procedures set out in either Policy 76, Faculty Appointments or Policy 77, Tenure and Promotion of Faculty Members concerning promotion, tenure, or probationary-term reappointment may be the subject of grievance or arbitration under this Article, except that an alleged failure by the Tenure or Promotion Appeal Tribunal or the FTPC (in the case of probationary-term reappointment) to comply with such procedures may be the subject of an individual grievance and, subject to the terms of this Article, may be taken to arbitration (see 9.6.7).’

Accountability 8: Faculty research
  • While faculty research is in general carried out independently of the Chair/Director, there may be various points of intersection with the Chair’s authority or oversight (beyond the regular activities of signing off on research grants and sabbatical leaves, and the provisions of space and/or equipment). See the following examples:
  • Policy 41: Contract Research at University of Waterloo: ‘While [the University] acknowledges the general freedom of its personnel to engage in research of their choosing, the provision of departmental resources for contract research will nevertheless be subject to the final approval of the respective Chair (and where necessary the Dean) provided that, in the matter of grants, where such approval is denied an appeal may be made to the Senate Graduate & Research Council.’
  • Policy 66: Use of University Resources and Affiliation: While Departmental resources may be deployed in support of a faculty member’s research, it is the Chair’s responsibility to oversee the equitable distribution of staff members’ workloads.
  • Policy 73: Intellectual Property Rights §12 ‘Dispute Resolution’: ‘This policy recognizes that conflicts may arise due to an inability to reach an agreement with respect to the determination of IP rights. Such conflicts may or may not involve allegations of wrong-doing; members of the University may simply have incompatible perceptions of the meaning or application of this policy. In general, conflicts are best dealt with at an informal level. It is advisable for persons in conflict to seek mediation or other forms of informal dispute resolution. Persons in conflict can find assistance in interpreting this policy from their department chair, Faculty Dean or the Office of Research.’
  • Animal Research: Department Chairs required to sign off.
  • Human Research: Department Chairs required to sign off.
  • Integrity in Research Administrative Guidelines (including Memorandum of Agreement 14 ‘Integrity in Scholarly Research’): No direct responsibility as Chair, beyond passing on allegations to VP Research; nevertheless, Chairs should be familiar with the guidelines and 14 of the Memorandum of Agreement.
  • Safety Guidelines for Field Work: A Field Work Risk Management form may be required; the Chair normally signs off on this.

Accountability 9: Staff hiring, salaries, and classification

Accountability 10: Staff overtime and additional duties

Accountability 10: Staff overtime and additional duties

  • Policy 16: Overtime, University Support Staff: ‘Where possible, managers should organize work assignments/responsibilities to minimize the need for staff members to work overtime. As much as possible, the need for overtime should be anticipated and scheduled in advance and at a time that will minimize the impact on staff members' personal lives. Managers are responsible for restructuring staff member's workloads if overtime becomes a regular and ongoing occurrence.’
  • Policy 47: Part-Time Teaching Appointments for Full-Time Staff: ‘The approval of the home department Head, as well as the normal academic appointment approvals, are required.’

Accountability 11: Staff annual performance appraisals
  • Policy 18: Staff Employment
  • §4: Performance Management: ‘Staff and Managers are expected to work collaboratively to identify goals, establish priorities and determine what success looks like for the Staff member. Measurement will be achieved through regular ongoing meetings, feedback sessions and support on performance, culminating in a formal annual evaluation and plan.’
  • Appendix C: Performance Management
  • Note: Staff Performance Appraisals are generally carried out via instructions annually communicated from Human Resources and from Faculty Executive Officers.

Accountability 12: Staff dispute resolution

Accountability 13: Staff vacation

Accountability 13: Staff vacation

Accountability 14: Student grievances

Accountability 14: Student grievances

  • Policy 70: Student Petitions and Grievances: ‘A student who is not satisfied with the outcome of a request may initiate a challenge by delivering either a Notice of Challenge (Form 70B) to his/her associate dean or a Notice of Reassessment Challenge (Form 70C) to the chair of the department hosting the course, indicating the ground(s) on which the challenge is being made.’
  • Other than grade reassessments, grievances are handled by the Associate Dean; appeals of grade reassessments also go to the Associate Dean.

Accountability 15: Student safety

Accountability 16: Faculty and staff illness, emergency, etc.

All UW employees are entitled to consideration in cases of illness, pregnancy, bereavement, or other circumstances that would make carrying out regular duties difficult or impossible. Chairs are responsible for managing appropriate accommodations, but are not entitled to know the details of an individual employee’s illness. In many instances, consultation with the Manager of Occupational Health would be necessary or at least advisable. Following is a list of policies and guidelines that govern the Chair’s actions and decision-making:

Note: In cases where an employee’s need for accommodation has a financial impact on the Department (e.g., a temporary staff member needs to be hired or a course needs to be given to a sessional instructor), the Chair should contact his/her Dean to request assistance (the Dean may ask the Provost for support).

Accountability 17: Faculty and staff education benefits

Accountability 18: Ethical behaviour, equity, and human rights
  • Policy 33: Ethical Behaviour: ‘[SA1] Those with supervisory authority (academic or employment) are expected to be proactive in promoting respect for the general principles articulated in Section I and, with assistance and guidance from the Conflict Management and Human Rights Office (CMAHRO), are responsible for dealing with alleged violations of those principles. Such authority shall be taken to include permanent, temporary or delegated supervision of any faculty or staff member or student. Those who receive complaints or who perceive what they believe to be violations of this policy shall act promptly to notify an appropriate administrative officer, normally one's immediate supervisor, the department Head, Chair or Director, to provide or initiate the appropriate remedial or disciplinary measures.’
  • Policy 34: Health, Safety and Environment §7 ‘Roles, Responsibilities and Procedures Regarding Workplace Violence’.
  • Policy 42: Prevention and Response to Sexual Violence; Sexual Violence Response Protocol and Procedures §6.5: ‘Persons with supervisory authority have a duty to inform the University when they become aware of an incident of Sexual Violence. A Disclosure or Report to a “person with supervisory authority” can lead to an investigation by the University. Persons with supervisory authority should consult with the SVRC when they are assisting someone who Discloses or Reports an incident of Sexual Violence.’
  • Note: as with any form of faculty discipline, allegations of sexual misconduct by a faculty member are dealt with by the Dean, not the Chair.
  • Policy 61: Religious Accommodation: ‘Options must be discussed with the employee’s supervisor or manager and approved in advance of the time to be taken as a religious observance.’
  • Policy 62: Conflict of Interest in the Employment and Supervision of Personnel: ‘Should an administrative term appointment create a situation where one family member reports to another, all University of Waterloo procedures affecting tenure, salary increases, promotions and similar matters, will be adjusted so that these procedures take place without the participation of the superordinate family member.’
  • Policy 65: Equality in Employment: ‘It is expected that all department Heads, managers, supervisors, and individuals in a position to influence a decision concerning employment of an individual or the status or working conditions of faculty and staff will ensure the consistent application of this policy and be aware of the legislation which governs these activities.’
  • Policy 69: Conflict of Interest: ‘The immediate supervisor (in consultation with her/his supervisor, when appropriate) will determine whether a conflict, real or potential, exists. In the event that a conflict exists or will exist, the immediate supervisor and the member will agree on a course of action to monitor or avoid the conflict, after which written documentation of the agreement will be held by both the member and her/his immediate supervisor. In the event that agreement cannot be reached, the case will be referred through the appropriate line management channels for resolution, up to and including the Vice-President, Academic & Provost, if necessary.’
  • Memorandum of Agreement §7: Non-Discrimination.
  • Harassment and Discrimination – Guidelines for Supervisors: ‘When problems related to harassment and discrimination arise, you may be the first person within an official capacity called upon to respond. You are required under Waterloo’s Ethical Behaviour Policy 33, along with provincial human rights and occupational health safety legislation, to respond in a timely and sensitive manner. You are expected to take steps to stop improper behaviour and to take whatever action seems appropriate, including disciplinary and/or educational.’
  • Workplace Harassment Program

Accountability 19: Health and safety
  • Policy 34: Health, Safety and Environment: Note especially the following:
  • 3.1: Supervisors must provide for the health and safety of employees under their authority, including training in specific work tasks, and must take necessary measures to comply with environmental requirements.
  • 3.2. Supervisors will inform themselves of and comply with their duties under the Act and other applicable legislation governing health and safety, as well as University policies, guidelines and procedures.
  • 3.3. Supervisors will promptly investigate and take corrective action, as necessary, upon identification of a hazard or receipt of a report from a worker re: conditions that are contrary to good health, safety or environmental practices or that contravene any legislative requirements.
  • 3.4. If an employee under a supervisor’s authority refuses work or an assignment for reasons of safety, the supervisor will promptly investigate and take necessary corrective action, as necessary.
  • 3.5. In the event an employee under a supervisor’s authority is injured or becomes ill as a result of a work assignment, the supervisor will ensure that prompt first aid and health care treatment is obtained, if necessary and that University reports are completed by the end of the business day following the incident
  • 3.6. Supervisors will post this policy and other health, safety and environment program information provided by the Safety Office in a conspicuous location.

  • Workplace Violence Prevention Program

  • Workplace Harassment Program.

  • See also Policy 33 (Ethical Behaviour); Policy 42 (Prevention and Response to Sexual Violence).

Accountability 20: Risk management
  • Policy 11: University Risk Management: Chairs do not have a specific role to play in overall University risk management (Chairs are not considered members of ‘Senior Administration’), but along with all employees are expected to actively monitor risk on a day-to-day basis and to carry out risk assessments as and when necessary.
  • See also Risk Management Reporting Guideline

Accountability 21: Fundraising and development

  • Chairs are required to work closely with the Office of Advancement in this area, and should not engage in fund-raising efforts (or acceptance of gifts) without prior consultation. First steps should include consulting with the Advancement Officer in your own Faculty.

  • See Policy 7 (Gift Acceptance) and Policy 10 (Naming Opportunities)

Accountability 22: Records
  • Policy 46: Information Management.
  • Policy 75: Official Employment Files of Regular Faculty Members: ‘Part of the File shall be kept in the Office of the Dean of the Member's Faculty, part shall be located in the Office of the Chair of the Member's department, and part (information for pension, benefits, payroll) shall be located in the Department of Human Resources. Together, these three parts shall comprise the entire File.’
  • Guidelines for Managing Student Information for Faculties, Departments and Schools: ‘Faculty associate deans, directors of schools, and chairs of academic departments are responsible for ensuring that student information created and/or maintained in their departments is kept securely and retained and disposed of according to the university’s approved policies and procedures. This responsibility extends to information such as class grades, assignments, and examination papers that are often managed on a day to day basis by individual faculty members and other course instructors.’
  • Human Resources Records: ‘The department Head or designate uses personal information concerning employment records to help in managing and guiding an individual’s career. Information about start dates, salaries, performance ratings, job classifications, etc. is provided to the manager or designate. Personal information about an individual’s health, beneficiaries, medication, employment equity status, etc., is not provided without the express permission of the individual concerned.’