Memorandum of Agreement -- UW / FAUW

Note: this online version of the MoA is the most up to date version available and should be considered the official version. While a hard-copy version of this MoA is available, it is printed periodically and, therefore, may not be up to date.

Memorandum of Agreement between the Faculty Association of the University of Waterloo and the University of Waterloo

Current as of 30 October 2018

1. Preamble

17. Lay-Offs

1. PREAMBLE

 1.1 The Parties to this Agreement are the Faculty Association of the University of Waterloo (FAUW) and the University of Waterloo (UW), hereinafter referred to as the Association and the University, respectively. 1.2 The University recognizes the Association as representing the University employees (Members) as defined under Article 2.1.1. Recognition of the Association under this Agreement does not constitute voluntary recognition equivalent to certification. 1.3 This Agreement is a “special plan” agreement negotiated between and ratified by the Parties. 1.4 The Parties recognize that the objective of the University is the attainment of high standards of academic excellence in the pursuit and dissemination of knowledge for the benefit of students and of the academic and wider communities. Further, the Parties agree that the goals of the University include the following: (a) the attainment of high standards of excellence in teaching, scholarship, research, and creativity; (b) the development of skills and attitudes essential for scholarly study and scientific investigation, and for the effective sharing of the results of these activities with students and fellow scholars and with the community at large; (c) the encouragement of the pursuit of truth by individuals and groups through teaching, research, free enquiry, and criticism, in order to extend the frontiers of knowledge and understanding; and (d) the provision of an environment which will support the intellectual, cultural, and physical development of the University community. 1.5 This Agreement has the following purposes: (a) to set out terms and conditions of employment for Members, and to describe procedures for developing and revising Policies concerning terms and conditions of employment; and (b) to define and describe the relationship between the University and the Association, to provide for regular communication and consultation between the University and the Association, and to provide means for resolving differences which may arise between them. 1.6 The University and the Association agree: (a) to encourage within the University community a climate of freedom, collegiality, responsibility and mutual respect; (b) to foster harmonious relations and a working environment that enables individual Members to achieve the goals and objectives of the University; and (c) to ensure the equitable treatment of individual Members through fair procedures and practices. 1.7 In this Agreement, for academic units, Chair refers to Chair or Director, and Department refers to Department or School.

2. RECOGNITION AND RIGHTS OF THE ASSOCIATION

3. CORRESPONDENCE AND INFORMATION

 3.1 The University and the Association recognize that both Parties require access to information for the proper administration of this Agreement, and agree to use professional discretion in dealing with such information. 3.2 Correspondence between the Association and the University related to this Agreement shall pass between the President of the Association and the President of the University. Where written notice is specified, the University's internal mail may be used. 3.3 The University undertakes to provide the following information to the Association in a timely manner: (a) an annual list of Members as of May 1, including name, rank, department, appointment category and dates, FTE, and approved leaves of absence during the salary year for each Member; (b) a monthly update giving the same data as in (a) for new Members and listing terminations of Members; (c) the names and new ranks of Members who have received promotions, and the effective dates of such promotions; (d) during the first month of the salary year and within one month of any changes to benefit plans, a list and detailed description of all benefit plans applicable to Members, and the rates charged to Members for these plans; (e) public agenda materials and minutes of the Senate, Senate Finance Committee, Senate Long Range Planning Committee, Board of Governors, Board Pension and Benefits Committee; (f) agenda materials and minutes of the Faculty Relations Committee; (g) a copy of the latest University budget and budget reports when circulated to the Board; (h) names and professional addresses of members of the Board of Governors and Senate, and of Board and Senate committees, together with the terms of reference of such committees; and (i) such other information as the Parties agree from time to time. 3.4 The University agrees to provide the report of the Pension Plan Actuary, and audited and other reports concerning the pension and benefits plans to the Association on request. 3.5 The Association undertakes to provide the following information to the University in a timely manner: (a) a copy of each FAUW Forum, newsletter, or other public communication to all Members at the time of distribution; (b) an up-to-date copy of the Association's Constitution and Bylaws within one month of their revision; (c) an up-to-date list of the Association's Board of Directors and Executive within one month of any changes; and (d) such other information as the Parties agree from time to time.

4. FACULTY RELATIONS COMMITTEE

 4.1 The Faculty Relations Committee (FRC) is a consultative committee with equal representation from the University administration and the Association Board of Directors. 4.2 The President of the Association and the Vice-President Academic & Provost shall alternate from meeting to meeting as Chair of the FRC. The additional members shall be four senior administrators appointed by the University President and four members of the Association Board of Directors appointed by the Association President. 4.3 The Parties confirm as part of this Agreement that the practices and procedures followed by the FRC are as described in Policy 1 and in Appendix A to Policy 1. In particular, no formal decision may be made by the FRC except by agreement of the "double majority" comprised of majority support from each of the two groups of members appointed to the FRC by the University and Association Presidents. The Parties agree that for the purposes of this Agreement the content of Appendix A to Policy 1 shall be regarded as part of Policy 1. 4.4 The FRC provides a regular forum for discussion of issues affecting faculty members, including matters arising from the application of this Agreement (but excluding any individual or group grievance which is at that time being resolved under the grievance and arbitration procedures set out in Article 9). The FRC also has responsibility for the development and approval of Class F and Class A Policies, and shared responsibility with the Staff Relations Committee for the development and approval of Class FS Policies. 4.5 The FRC shall meet on a regular basis, usually every two weeks from September through June, although meetings may be held more or less frequently by mutual agreement of the two Chairs. It is expected that the FRC will operate in a collegial manner, with most decisions made by consensus rather than by formal vote. 4.6 The University Secretariat shall provide a Secretary for meetings of the FRC. Minutes of meetings are confidential to the Committee.

5. MEMORANDUM OF AGREEMENT AND POLICIES

 5.1 Agreement and Policies 5.1.1 The relations between the Parties, and between the University and the Members, are defined partly in this Agreement and partly in University Policies. 5.1.2 The Faculty Relations Committee has responsibility for the development and approval of Class F and Class A Policies, and shared responsibility for the development and approval of Class FS Policies. Class F Policies deal exclusively with the terms and conditions of employment of faculty members, Class A Policies deal with the appointment of academic administrative officers, and Class FS Policies deal with terms and conditions of employment of faculty and other employees. The policy classifications and development and approval process are described in Policy 1. 5.1.3 The current list of F, A and FS Policies at the date this Agreement comes into effect or as amended during the life of this Agreement is given in Appendix A to this Agreement. 5.2 Policy Development and Amendment 5.2.1 Nothing in this Agreement is intended to prevent the development, amendment or review of any University Policies in accordance with Policy 1 during the term of this Agreement. 5.2.2 Where there are differences between this Agreement and any Policy other than a Class F, A, or FS Policy, the provisions of this Agreement shall prevail. 5.2.3 Where there are differences between this Agreement and any existing Class F, A, or FS Policy at the date this Agreement comes into effect, the provisions of this Agreement shall prevail, and the Parties agree to revise the existing Policies to harmonize them with this Agreement. 5.2.4 If a Class F, A, or FS Policy is revised or a new Class F, A, or FS Policy is developed in accordance with Policy 1 and goes forward for approval, the Parties agree to a limited opening of this Agreement at the request of either Party for the sole purpose of negotiating revisions to this Agreement to harmonize it with the new or revised Policy. The Parties agree to make all reasonable efforts to negotiate these revisions before the new or revised Policy is submitted to the Board of Governors for final approval. 5.2.5 Amendments to this Agreement made as a consequence of 5.2.4 shall not require ratification by the Parties to take effect.

 6.1 Academic freedom provides the possibility of examining, questioning, teaching, and learning, and involves the right to investigate, speculate, and comment without deference to prescribed doctrine. As such, it entails the freedom of individuals to practise their professions of teacher, researcher and scholar, the freedom to publish their findings, the freedom to teach and engage in open discussion, the freedom to be creative, the freedom to select, acquire, disseminate, and use documents in the exercise of their professional activities, and the freedom to criticize the University and the Association. Academic freedom also entails freedom from institutional censorship. 6.2 The University and the Association recognize that the provision of academic freedom is particularly vital to those whose approaches to teaching, scholarship, and research result in criticism of and challenge to established, conventional beliefs and practices. 6.3 The academic freedom of any person shall not be infringed upon or abridged in any manner. As academic freedom will wither and die unless the university community as a whole is committed to it, the University and the Association agree to support and defend academic freedom at the University of Waterloo. 6.4 As the common good of society depends upon an unhampered search for knowledge and its free expression, and as academic freedom in universities is essential to the attainment of each of these purposes in the teaching function of the university as well as in the pursuit of its scholarship and research, those who are guaranteed academic freedom have also a responsibility in exercising it not to infringe upon the academic freedom and rights of other members of the university community. Indeed, academic freedom carries with it the duty to use that freedom in a manner that is consistent with the scholarly obligation to base research and teaching on an honest and ethical quest for knowledge. Academic freedom does not require neutrality on the part of the individual; rather, academic freedom makes commitment possible. 6.5 As the censorship of information is inimical to the free pursuit of learning, the creation, collection, organization, and dissemination of knowledge shall be done freely and without bias in support of the research, teaching, and study needs of the university community. No censorship shall be exercised or allowed against any material relevant to the pursuit of learning which a faculty member desires to be placed in the library collections of the University.

7. NON-DISCRIMINATION

 7.1 The Parties agree that all Members have a right to equal treatment with respect to employment and that there shall be no discrimination, interference, restriction or coercion exercised or practised towards any Member in respect to appointment, benefits, dismissal, promotion, rank, reappointment, salary, tenure or any other terms or conditions of employment by reason of age (except for retirement pension and benefit conditions as permitted or mandated by law), ancestry, citizenship, clerical or lay status, colour, creed, ethnic origin, family status, gender, language (except where competence in the language is a bona fide occupational requirement), marital status, membership or non-membership in the Association, physical or emotional ill health or disability (except where the Member refuses to seek medical treatment and/or where the physical or emotional ill health or disability would clearly prevent the carrying out of the required duties of the position), place of origin, political or religious affiliation or belief, pregnancy, race, sexual orientation, or any activity pursuant to the principles of academic freedom and responsibilities set out in Article 6. 7.2 Policies, practices, or acts which create, intentionally or unintentionally, a sustained negative working climate which can clearly be attributed to any of the prohibited grounds in 7.1 will be considered discrimination. 7.3 This Article shall not preclude the Parties agreeing to any equity measures.

8. DISCIPLINE

 8.1 8.1 A Member may be disciplined only for just cause and only in accordance with the provisions of this Article and, for matters dealing with scholarly research, the provisions of Article 14. Disciplinary processes are not to be used to inhibit free inquiry, discussion, exercise of judgement, or honest criticism within or without the University. Disciplinary action shall be reasonable, commensurate with the seriousness of the violations, and consistent with accumulated practice under this Article. The Parties recognize the value of promoting corrective action through guidance and progressive discipline, although this will not always be appropriate. 8.2 In all matters of discipline, a Member has the right to seek advice from the Association and to be accompanied by an academic colleague for advice and support (including, if necessary, aid in presenting the Member's position) during any meetings attended to discuss such matters. All disciplinary measures are grievable under Article 9. 8.3 The University bears the onus of proving that a disciplinary action was taken for just cause. 8.4 The only disciplinary measures which may be taken by the University against a Member are the following: (a) A letter of warning or reprimand. Such letters must be specific and must be clearly identified as disciplinary measures. (b) Suspension with pay. Suspension is the act of relieving a Member, without her/his consent, of some or all university duties and/or privileges. (c) Suspension with partial pay, or without pay, or a fine in lieu thereof, where appropriate. (d) Dismissal for cause. For Members with tenure or continuing lecturer appointments, dismissal means the termination of appointment without the Member's consent. For all others, dismissal means termination of appointment without the Member's consent before the end of the contract. Non-renewal of definite term or probationary appointments and denial of tenure do not constitute dismissal. (e) A public statement from the University that a Member was guilty of misconduct in research. 8.5 Just cause for the dismissal of a tenured Member includes, but is not limited to, the persistent and serious neglect of the normal duties of a faculty member, particularly with respect to teaching and scholarship, or the failure to carry out such duties as are reasonably assigned by the appropriate academic authorities. In a case of persistent neglect, 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. 8.6 Just cause for dismissal also includes but is not limited to: a serious breach of criminal law; violent behaviour or threats of violence against a member of the University community; a serious breach of ethical behaviour; violations of ethics in respect of scholarship, teaching, or collegiality. Any of the above must be of such a serious nature as to render the Member clearly unfit to continue to hold a tenured appointment at the University of Waterloo. 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. 8.9 The Dean shall take reasonable steps to maintain the Member's privacy and the confidentiality of the investigation and its findings until the imposition of discipline, if any. However, some disclosure of concerns and allegations may be necessary, either in order to conduct the investigation or if the Dean has reasonable grounds to believe that such confidentiality may place a person or persons at risk of significant harm. In the event that it is determined that there shall be no disciplinary action, the Dean must inform each individual to whom concerns and allegations were disclosed that there is no basis for disciplinary action. 8.10 When the investigation has been completed, and if disciplinary action is being considered, the Dean shall notify the Member in writing of the results of the investigation and of the proposed disciplinary action. The notice shall provide the specific details of the alleged cause for the discipline, including all names, places, and dates of the alleged incidents, and shall either be hand-delivered to the Member, or delivered by registered mail to the Member's last known address. The date of notice is defined to be either the date on which a registered letter has been signed for or the date on which the notice is hand-delivered to the Member. 8.11 The Dean shall convene a meeting within twenty-five working days of the date of notice to afford the Member an opportunity to make oral and/or written submissions before any disciplinary measures are imposed. The Member shall be given at least seven working days notice of the time and place of the meeting. The Dean may invite the person or persons who have carried out the investigation to attend. At this meeting an attempt shall be made to resolve the matter in a manner satisfactory to all concerned. For the purposes of this clause, days during which the Member is on pre-scheduled vacation, as well as Saturdays and Sundays, other holidays, days during which the University is officially closed, and days during which the Member is absent on pre-scheduled official University business shall not be treated as working days. 8.12 If no satisfactory solution is reached at the meeting referred to in 8.11, within two weeks the Dean shall notify the Member in writing of the disciplinary decision with reasons. 8.13 The Dean shall make every reasonable effort to notify the Member of the meeting referred to in 8.11. If the Dean is unable to contact the Member, or if the Member is notified and chooses not to attend, the meeting shall be dispensed with, and the Dean may give notice of discipline as in 8.12 above. 8.14 Where the disciplinary decision in 8.12 is dismissal for cause and where the Member chooses to contest the decision, a formal grievance shall be submitted to the Vice-President, Academic & Provost (VPA&P) in accordance with Article 9. The VPA&P shall act as a committee of one to decide the matter on behalf of the Board of Governors. The decision of the VPA&P may be taken to external arbitration under 9.6. 8.15 Where the disciplinary action is dismissal for cause, suspension with reduced pay or a fine in lieu thereof, the Member shall retain full salary and benefits (subject to the rules and regulations of UW benefit programs (see Article 11.1.3) until the time limit for filing a grievance under Article 9 has expired. If the disciplinary action is grieved, the Member shall retain full salary and benefits for a period of one year from the date of the disciplinary decision in 8.12, or until the grievance and arbitration procedures set out in Article 9 have been completed, whichever is earlier. In the event that the Tribunal or Arbitrator finds in favour of the Member, any lost compensation shall be restored. 8.16 Notwithstanding 8.15, eligibility for full salary and benefits shall not extend beyond the Member's retirement date (if a retirement date exists), nor beyond the termination date for a definite term or probationary appointment terminated in accordance with Policy 76. Furthermore, the University may terminate salary and benefits if, during the period referred to in 8.15, the Member accepts outside employment in excess of the normal guidelines as specified in Policy 49. 8.17 Where the disciplinary action is dismissal for cause or suspension, at the request of either the Member or the Dean, the VPA&P may relieve the Member of her/his duties during the period of full salary and benefits as specified in 8.15. If this action is taken the Association shall be informed. If the disciplinary action is suspension with pay, such suspension shall count towards the period of suspension in the event that the grievance is unsuccessful. 8.18 Failure of a Member to grieve a letter of reprimand or warning at the time of receipt of the letter shall not be deemed an admission of the validity of the reprimand or the warning.

9. GRIEVANCE AND ARBITRATION

10. COMPENSATION NEGOTIATIONS

 10.1 Annual compensation changes for Members, other than selective increments as defined in Article 13, are as specified in the Memorandum of Settlement describing the results of compensation negotiations between the Association and the University. 10.2 The Memorandum of Settlement shall specify the annual scale change. Each year the Compensation Negotiation Teams shall use the annual change in the Canada Consumer Price Index as a starting figure for the discussion of the scale adjustment. Adjustments in the salary scale are influenced by economic factors, relevant salary trends and by the University's financial position. Scale changes, expressed as a percentage change, apply to the salary structure and to all salaries. Other items that may be specified include changes in the salary structure (see Article 13), anomalies and other special salary increases, and changes in the Faculty Professional Expense Reimbursement Plan (see 11.5) and other benefits specific to Members. The Memorandum of Settlement may also include an amount for proposed changes in benefits defined in University Policies and/or administered by the Pension and Benefits Committee. If the proposed benefit changes are not approved, the negotiated amount shall be awarded as a scale change. 10.3 The Memorandum of Settlement shall be for one year, two years, or three years. In the absence of agreement between the Parties on a longer period the Memorandum of Settlement shall be for one year. The years in the Memorandum of Settlement shall begin on May 1 and end on April 30, coincident with the salary year for Members. 10.4 The Memorandum of Settlement shall be part of this Agreement, and shall be binding on the Board of Governors, the Association, and individual Members. 10.5 Start of Compensation Negotiations 10.5.1 Prior to June 15 in any year in which compensation changes are to be negotiated the President of the Association and the President of the University shall begin the process of establishing lists of possible mediators and arbitrators as specified in 10.9. These lists are to be completed prior to the commencement of negotiations. 10.5.2 By the November 15 immediately preceding the expiry date of the Memorandum of Settlement, each Party shall inform the other of the names of its Chief Negotiator and the other two members of its Negotiating Team. 10.5.3 Negotiations shall commence as soon as can be arranged by the two Chief Negotiators, and at the latest by December 1st. The Chief Negotiator and at least one other member of each Negotiating Team shall be present at each negotiation session. 10.5.4 By mutual agreement, the Parties may alter any of the dates specified in this Article. 10.6 Stage 1 Negotiations The Parties agree to negotiate in good faith and to make every reasonable effort to reach an agreement in Stage 1. If the Parties reach agreement, a Memorandum of Settlement shall be prepared and signed by the Chief Negotiators and at least one other member of each Negotiating Team. 10.7 Stage 2 Negotiations – Mediation 10.7.1 If the Parties have not reached agreement by February 1, an external mediator shall be appointed unless both Parties agree to waive mediation. Mediation shall commence not later than February 15. If mediation is waived, Stage 1 negotiations may continue. 10.7.2 The role of the mediator is to assist the Parties in reaching a negotiated agreement. The procedure for appointing the mediator is specified in 10.9. The cost of the mediator shall be shared equally by the Parties. 10.7.3 Mediation shall terminate by the earliest of March 1, the date on which an agreement is reached, or the date on which either the mediator or both Parties decide that further mediation would not be useful. 10.7.4 If an agreement is reached, a Memorandum of Settlement shall be prepared and signed by the Chief Negotiators and at least one other member of each Negotiating Team. 10.8 Stage 3 Negotiations – Arbitration (Final Offer Selection) 10.8.1 If an agreement has not been reached by March 1, an arbitrator shall be appointed. The role of the arbitrator is to select between the final positions of the two Parties. The procedure for appointing an arbitrator is specified in 10.9. The cost of the arbitrator shall be shared equally by the Parties. 10.8.2 The arbitration hearing shall commence not later than March 15. One week prior to the arbitration hearing, each Party shall submit its proposed Memorandum of Settlement to the arbitrator with a copy to the other Party. 10.8.3 Within three weeks after the arbitration hearing, the arbitrator shall provide each Party with a copy of her/his report, indicating which Party's proposed Memorandum of Settlement has been selected and the reasons for selecting it. 10.9 Selection of Mediator and Arbitrator 10.9.1 In accordance with 10.5.1, the Association and University Presidents shall begin the process of establishing a list of at least three possible mediators and a second list of at least three possible arbitrators by the June 15 prior to the start of negotiations. These individuals must be external to the University and acceptable to both the Association and the University. 10.9.2 In the event that a mediator or arbitrator is required, names shall be drawn at random from the agreed list until one of them is available to serve. By mutual agreement in writing, the two Presidents may select a listed mediator or arbitrator out of turn, or may select a mediator or arbitrator not on the list. No individual shall serve as both mediator and arbitrator in the same year.

11. PENSION AND BENEFITS

 11.1 UW Pension Plan and Shared Benefit Programs 11.1.1 The University of Waterloo has a common pension plan for all eligible employees, including eligible Members. The UW Pension Plan is administered by the Board of Governors Pension and Benefits Committee. Membership of this committee is determined by Board of Governors Resolution, which specifies that the Board of Governors shall appoint three faculty members to the committee on the recommendation of the Association President. 11.1.2 The UW Pension Plan is a defined benefit plan integrated with the Canada Pension Plan, with costs shared by employees and the University. Specific details are contained in the official Pension Plan text (available from Human Resources) which is approved by the Board of Governors and registered with federal and provincial pension authorities. 11.1.3 UW also has a number of common benefit programs for all eligible employees, including eligible Members. These programs are administered by the Board of Governors Pension and Benefits Committee, and include extended health care, dental plan, sick leave and long term disability, and group life insurance. Several government programs are also applicable (e.g., OHIP, Workers' Compensation, Employment Insurance, Canada Pension Plan; details are available from Human Resources). 11.1.4 The Parties agree that the Association shall receive notice of, and have input into, any proposed changes to the common pension and benefit programs in so far as they affect Members. 11.2 Vacation Entitlement 11.2.1 The annual vacation entitlement for Members with appointment duration of one year or more shall be one month during each of the first ten years of employment. The annual entitlement shall increase to one month plus one week in the earlier of the eleventh year of employment or at the earliest possible retirement date under the pension plan. 11.2.2 Vacation entitlement normally shall be used during the contract year in which it is earned. In exceptional circumstances with the prior written permission of the Department Chair, vacation entitlement may be carried forward for a maximum of one year. All vacation entitlement must be used prior to termination or retirement. 11.2.3 Vacation shall be scheduled at a time or times which are mutually satisfactory to the Member and the Department Chair. 11.3 Retirement 11.3.1 “Retirement” refers to termination of employment at the University of Waterloo. Receiving a UW pension does not mean that a Member has retired unless he or she has stopped working at UW. Termination of employment prior to age 55 or dismissal for cause is not considered retirement. 11.3.2 Normal Retirement Date (as defined in the University of Waterloo Pension Plan) for University employees is the first day of the month following or coincident with the 65th birthday. 11.3.3 Notwithstanding Article 11.3.2, a Member has the right to retire at a date of his/her choosing. 11.3.4 A Member continuously employed by the University of Waterloo from a date prior to January 1, 1969 will continue to have the rights and privileges as specifically defined under the University of Waterloo Pension Plan and insured UW benefits for that group. 11.4 Conversion of Vacation Entitlement Prior to Retirement at Age 66 or Earlier 11.4.1 Under the conditions set out below, a Member may opt to convert (the "Conversion Option") one week of annual vacation entitlement in each year preceding retirement (to a maximum of three) into a one-time 2% salary increase based on the Member's salary in the immediately preceding salary year. The 2% increase will be calculated on the Member’s base salary immediately prior to the start of the salary year during which it takes effect. Both the salary increase and the reduction in vacation will be ongoing until the Member's retirement date. 11.4.2 Eligibility date for conversion of vacation entitlement shall be not later than 30 April 2027 with retirement on or before 1 May 2030. 11.4.3 The Member shall submit the Conversion Option to the University within three years (or earlier) of his or her intended retirement date. The latest eligibility date for the Conversion Option shall be the Member's 65th birthday, with a retirement date no later than the end of the academic term (i.e., either April 30, August 31, or December 31) during which he or she turns 66. 11.4.4 Where the Member notifies the University prior to the earliest eligibility date, the 2% salary increase shall take effect on the earliest eligibility date (three years prior to the retirement date). Where the Member notifies the University after the earliest eligibility date, the 2% salary increase shall take effect on the first day of the month following such notification. 11.5 Faculty Professional Expense Reimbursement Plan 11.5.1 Every regular faculty member shall be entitled to a Faculty Professional Expense Reimbursement (FPER) in each salary year. The maximum FPER shall be prorated for Members with fractional-load appointments or who are employed by the University for only a portion of the salary year. 11.5.2 The FPER provides reimbursement for expenses related to the performance of teaching, research, and professional duties. All goods purchased under this Plan are the property of the University. Eligible expenditures include but are not limited to: (a) membership fees for professional associations or learned societies (but not including Association dues); (b) books, journals, subscriptions, and other similar professional publications; (c) purchase of supplies, equipment, software or services; and (d) travel to attend relevant scholarly conferences or conduct scholarly work (allowable expenses per Policy 31). 11.5.3 Members pay the professional expense costs themselves and obtain reimbursement from the University by submitting an FPER Plan claim form with appropriate receipts attached. For a given salary year, the claim form must be submitted in the two-month period (March 1 to April 30) which includes the end of the salary year. 11.5.4 An unspent FPER balance cannot be carried forward. Allowable expenses that exceed the maximum FPER in a particular year may be carried forward for up to three years, provided that they are documented on the FPER Plan claim form for the year in which the expenses were incurred. 11.5.5 On each May 1, the FPER shall be indexed by the annual average percentage change (January to December) in the Canada Consumer Price Index for the immediately preceding year. See: the FAUW Compensation page for the current value (the information is sorted by year). 11.6 Additional Benefits A number of additional benefit programs are described in University policies, for example: Policy 3:              sabbatical and other leaves of absencePolicies 4 and 24:  tuition benefitsPolicy 14:             pregnancy, adoption and parental leavesPolicy 28:             moving expensesPolicy 31:             travelPolicy 38:             paid holidaysPolicy 67:             employee assistance program

12. TERM OF AGREEMENT – DURATION

 12.1 This Agreement shall come into effect upon ratification by the Parties, shall be binding on both Parties, shall remain in effect until April 30, 2000, and may not be opened prior to that date except by mutual consent of the Parties or as provided in 12.2 below. 12.2 Irrespective of the provisions of 12.1 the Parties agree to undertake additional negotiations regarding the proposed inclusion of librarians as Members for the purposes of this Agreement, as defined under 2.1.1, starting no later than November 1, 1998. Except by mutual consent of the Parties no other matters shall be addressed in these negotiations. Should these negotiations result in an agreement on new Articles, or changes to existing Articles, the Chief Negotiators shall recommend them for ratification by their respective Parties. Upon ratification this Agreement shall be opened for the sole purpose of incorporating the new Articles or changes to existing Articles into the Agreement. 12.3 As of April 30, 2000, this Agreement shall automatically renew itself for successive one-year periods unless either Party provides written notice to the other that it wishes to terminate or revise the Agreement. 12.4 If such written notice is given, the following rules and practices shall govern exchanges between the Parties: (a) written notice of termination must be received in the period from May 1 to May 31, inclusive, prior to the expiry date; (b) if either Party serves notice to terminate, this Agreement shall terminate as of the April 30 following; (c) written notice by one Party of intent to renegotiate this Agreement, provided that the other Party has not already given notice to terminate the Agreement as in 12.4 (a) above, must be received in the period from June 1 to September 30, inclusive, prior to the expiry date; (d) notice from either Party regarding renegotiation shall include the names of its Chief Negotiator and two additional persons who will be members of its Negotiating Team, a list of the Articles that it wishes to revise, and the subject matter of new Articles that it wishes to negotiate; and (e) within one month of the notice referred to in 12.4 (d) above or by September 30, whichever is later, the other Party shall reply with the names of its Chief Negotiator, the two additional members of its Negotiating Team, a list of the Articles that it wishes to revise, and the subject matter of new Articles that it wishes to negotiate. 12.5 Negotiations shall begin as soon thereafter as can be arranged by the Chief Negotiators and, except by mutual agreement at any time, shall address only those Articles listed by one or other of the Parties as above. All other Articles shall be incorporated unchanged into a revised Agreement. The notice periods may be waived by mutual agreement of the Parties. 12.6 Subject to the agreement of both Parties a mediator may be appointed at any time to assist in settling any outstanding issues in the negotiations. The mediator shall be selected by the procedure in 10.9. The costs of the mediator shall be borne equally by the two Parties. The mediator shall hear representations from the Parties, shall mediate between the Parties, and shall encourage them to resolve the outstanding issues. Mediation shall continue for as long as both Parties agree that it is helpful. 12.7 If negotiations under 12.5 and 12.6 do not for whatever reason result in a new and ratified Agreement by the April 30 following the start of negotiations, the current Agreement shall renew automatically for one year. 12.8 If a revised Agreement has been negotiated, the Chief Negotiators shall recommend it for ratification by their respective Parties. Upon ratification by the Parties the revised Agreement shall replace the current Agreement. 12.9 If the Agreement is not re-opened under the provisions of this Article, but compensation negotiations occur under Article 10, a new Agreement consisting of the Articles in the current Agreement and the new Memorandum of Settlement shall be deemed to come into effect on the date that the Memorandum of Settlement comes into effect. 12.10 Amendment of this Agreement 12.10.1 Amendment of this Agreement may be made by the Parties at any time in accordance with the provisions of this Article. 12.10.2 Minor change: If the proposed change is deemed by all members of the Faculty Relations Committee to be minor, approval of the change by the President (acting on the advice of Deans’ Council) and the Board of Directors of the Association is required for it to take effect. No change to Articles 10, 13 or 17 can be deemed minor. Members (as defined in Article 2.1.1) shall be informed of a minor change via email shortly after approval. 12.10.3 Except for minor changes (see Article 12.10.2) and changes to the Memorandum of Settlement (see Article 10.4), a change to this Agreement must be approved by the Association and the Board of Governors before it takes effect.

13. FACULTY SALARIES, ANNUAL SELECTIVE INCREASES AND MEMBER EVALUATION PROCEDURES

13.1 This Article states the principles governing the determination of salaries for faculty members holding regular appointments. These principles include the establishment of a salary structure for these purposes, the procedures used to establish the extent of annual selective increases, and the rules that have been developed to direct the annual evaluation process in each Faculty used to determine individual selective increases.

13.2 Faculty Salary Structure

13.2.1

The salary structure for regular faculty members shall consist of a salary floor and two thresholds for each of the four ranks and for Clinical Lecturers, together with the Selective Increase Unit (SIU).

Effective 1 May 2018, the selective increase unit (SIU) shall be $3,920, and the salary floors and thresholds shall be as stated below:  Rank Floor Threshold T1 Threshold T2 Lecturer$62,180 $126,997$147,800 Clinical Lecturer $80,143$156,296 $175,483 Assistant Professor$80,143 $175,779$212,398 Associate Professor $100,868$175,779 $212,398 Professor$128,505 $175,779$212,398
13.2.2 Effective May 1 of each year, the annual scale change as specified in the Memorandum of Settlement shall be applied to the salary floors, thresholds, and Selective Increase Unit. Otherwise, changes in these amounts shall require the mutual agreement of the Association and the University.

13.3 Selective Salary Increases

13.3.1 Selective salary increases are intended to move a Member through the salary structure at a rate determined by her/his achievements in the profession and contributions to the University, measured by annual performance ratings undertaken as specified in 13.5. In order to ensure orderly career progress consistent with long-range academic goals, the commitment of funds required for this purpose shall have the highest priority in the preparation of the annual budget.

13.3.2

Within each Faculty, the Selective Increase Pool for Members shall be determined as follows:

0.25 SIU for each FTE Member, plus
0.25 SIU for each FTE Member with salary below T2, plus
0.5 SIU for each FTE Member with salary below T1.

For these purposes the value of the SIU shall be its value as of May 1 of the salary year in which the selective increases are to take effect, adjusted from year to year as specified in 13.2.2.

13.3.3 (a)

A Member’s selective salary increase depends both on her/his  performance rating (actual R) and on the position of the Member’s salary relative to the thresholds T1 and T2 for her/his rank. Thus the performance rating (adjusted R) for purposes of calculating a Member’s selective increase amount may not be the same as the performance rating (actual R) determined as specified in 13.5.5. For Members on a biennial performance review cycle, during non-review years, actual R is equal to the actual R for the previous year. These non-review year actual Rs are subject to adjustment, just as review year actual Rs are. The appropriate values for the adjusted  performance rating shall be determined in the following way:

If salary is less than T1 then adjusted R is actual R

If salary is equal to or greater than T1 but less than T2 then adjusted R is actual R less 0.75

If salary is equal to or greater than T2 then adjusted R is actual R less 1.25

The value of adjusted R shall never be less than 0

(b) The actual dollar value in any one year associated with an adjusted R of 1.0 in each Faculty is calculated by adding all individual adjusted ratings in that Faculty together, and dividing the resulting number into the total value of that Faculty's Selective Increase Pool as determined by 13.3.2. All other adjusted R values are assigned a selective increase dollar value by multiplying the adjusted R value by the dollar value of an adjusted R of 1.0.
(c) Where a selective salary increase as determined in 13.3.3 (a) and (b) would result in a salary which crosses a threshold, that increase shall be "feathered". That is to say, that part of the increase which would bring a Member's salary up to a threshold shall be received by the Member, but the part of the increase which would cause the salary to exceed the threshold shall be adjusted to make it commensurate with the selective increase to which she/he would be entitled with a salary at or above that threshold.
(d) Effective May 1, 2006, the University will provide annually an Anomalies Fund for each Faculty equal in value to five percent of that Faculty's Selective Increase Pool, to correct individual salary anomalies. These special permanent increases require the approval of the Vice President Academic and Provost (VPA&P) who shall consult with the President of the Association. Any unspent amount in the anomalies fund of a given Faculty will be carried forward to the next salary year.
(e)

Effective May 1, 2004, the University will provide annually an Outstanding Performance Fund for each Faculty equal in value to ten percent of that Faculty's Selective Increase Pool, to provide special permanent salary increases as described below.

Members in each Faculty unit (department or school) whose  performance rating for the current year is within the top twenty percent of ratings within the unit may be considered for a special permanent salary increase. For Members on a biennial review cycle, eligibility for consideration for Outstanding Performance Fund salary increases during non-review years are based on the previous year's performance ratings.Members who have received a special increase in either of the previous two years are not eligible to receive a special increase, and are excluded for purposes of determining the top twenty percent and those within it.

All Members identified by the process above will form a single Faculty-wide pool. The Dean of the Faculty, in consultation with the Vice-President, Academic & Provost, will review the performance of all Members in this pool, and make special salary increase awards equal in value to one Selective Increase Unit (SIU) to a subset of them. For at least eighty percent of the awards, the sole criterion will be outstanding performance in teaching and scholarship. Remaining awards may be given on the basis of outstanding service to the University. Consideration also should be given to dispersing the awards across Faculty units, ranks, and to both women and men. Awards given on the basis of outstanding service will not be limited to Members holding administrative positions. The number of awards made will be such that, in the aggregate, they will differ from ten percent of each Faculty's Selective Increase Pool by less than one SIU, and any unspent amount in the Fund of a given Faculty will be carried forward to the next salary year. The Vice-President, Academic & Provost will publicly announce the award recipients.

13.4 Miscellaneous

13.4.1 In every case, scale and selective increases shall be applied to the Member's nominal full-time salary.

13.4.2 For Members on approved pregnancy, adoption or parental leave: the full scale and selective increases shall apply.

13.4.3 For Members newly appointed within the evaluation year, or who are on full or partial unpaid leave for part of the evaluation year: the full scale increase shall apply, but the Merit Increase will be prorated by the fraction of the year served at the University.

13.5 Member Evaluation

13.5.1 (a) Each Faculty shall have Faculty Performance Evaluation Guidelines setting out the evaluation criteria for that Faculty. The Faculty Performance Evaluation Guidelines shall be reviewed and updated no less than once every five (5) years, and changes shall be approved by a majority vote of the Faculty Council no later than 15 October in the year before evaluation calendar year to which the changes would apply.

(b) Each Department shall have an Addendum to their Faculty Performance Evaluation Guidelines setting out the performance expectations in the Department for scholarship, teaching, and service. The Addendum shall be reviewed and updated biennially, and changes shall be approved by: (i) a majority vote of members of the Department, and (ii) the Faculty Dean who shall review for consistency with the documents listed in 13.5.1(c) no later than 15 October in the year before the evaluation calendar year(s) to which the changes would apply.

(c) Faculty Performance Evaluation Guidelines and Departmental Addenda shall be consistent with this Agreement, and with University policies, procedures and guidelines (including the evaluation criteria set out in Policy 77). Departmental Addenda shall also be consistent with Faculty Performance Evaluation Guidelines. In case of a conflict, precedence shall be given first to this Agreement; then to University policies, procedures and guidelines; and then to the Faculty Performance Evaluation Guidelines.
(d) Current versions of faculty Performance Evaluation Guidelines and Departmental Addenda shall be posted on the relevant Faculty website and publically accessible.
13.5.2 (a) Each Member shall receive performance evaluation based upon documentation provided by the Member, submitted in the format and by the deadline specified in the Faculty Performance Evaluation Guidelines. Performance evaluations shall occur on an annual basis for Members holding probationary or definite-term appointments, and on a biennial basis on odd numbered years for Members holding tenured or continuing appointments.  A Member who does not submit the required documentation by the specified deadline normally will receive an overall rating of at most 0.5 as specified in 13.5.3.

(b) Members shall provide documentation for the calendar year(s) under evaluation (one year for Members holding probationary or definite-term appointments, and two years for Members holding tenured or continuing appointments). Members shall in addition provide documentation for the number of previous years specified by their Faculty Guidelines.  Scholarship shall be assessed on the total evidence from a window of two years. Teaching and service shall be assessed on the evidence from the year(s) under evaluation. The remaining documented years shall provide context to the assessed evidence.
(c) When Faculty Performance Evaluation Guidelines or Departmental Addenda change during the course of a Member's probationary contracts, the Member will continue to be governed by the guidelines and addenda in effect at the beginning of their first probationary contract, unless the Member elects to be governed by the new set of guidelines or addenda, at the Member's discretion. The Member shall advise their Department Chair if they elect to be governed by the new set.
13.5.3

Each Member shall receive one of the following nine numerical performance ratings in each of teaching, scholarship and service:

2.0     Outstanding
1.75   Excellent
1.5     Very Good
1.25   Good
1.0     Satisfactory
0.75   Needs Some Improvement
0.5     Needs Significant Improvement
0.25   Needs Major Improvement
0.0     Unsatisfactory

13.5.4 (a) Performance ratings shall pertain to the portion of the evaluation year during which the Member was a paid employee of the University, including sabbatical leave, but excluding pregnancy, adoption, parental, or sick leave.
(b) For newly appointed Members, and for Members on paid or unpaid leave, it may not be possible to assess performance in all three categories during the evaluation year. In these cases only, the practices described in 13.5.1, 13.5.2, and 13.5.3 may be amended as follows: (1) A newly appointed Member shall receive, in any category where assessment is not possible, a rating equal to the average rating of Members in the Department who hold the same rank; and (2) A continuing Member who has been on leave shall receive in any category where assessment is not possible as a result of the leave, a rating equal to the average ratings of the three previous years in which the Member was not on leave.

(c) In situations where a Member has held a fractional load appointment, or has taken a leave of absence, in the period for which evaluation data is being considered, expectations for quality shall remain the same but expectations for quantity shall be adjusted.
13.5.5 (a) The overall rating (R) for each Member shall be computed as the weighted average of the individual ratings in teaching, scholarship and service for the year(s) being reviewed. For Members on a biennial performance review cycle, the rating for non-review years shall be equal to the rating for the previous review year. The weight for each area shall be as specified in the member’s letter of appointment. In the absence of specified weights for professorial positions, the normal weights shall be 40 percent for teaching, 40 percent for scholarship, and 20 percent for service; for lecturer positions, the normal weights shall be 80 percent for teaching and 20 percent for service.  These default weights do not apply to lecturer appointments made prior to May 1, 2008. Member weights remain in effect for the duration of the appointment unless otherwise changed under sub articles (b) and (c).  There is no intended linear relationship between the percent for teaching and the number of courses taught.
(b) Weightings and duties may be adjusted in a formal agreement between the Member and the Chair with the approval of the Dean. The weights shall be at least 20 percent in every category, except in the case of lecturer appointments. Weight redistribution does not modify the performance quality expected in any of the three areas, though expectations for quantity will change.
(c) Any such formal agreement under 13.5.5 (b) shall be by mutual consent and, except in the case of definite-term appointments, shall be for a period of up to 5 years but no less than 2 years. Such an agreement may be renewed by mutual consent.

(d) The performance evaluation of a Member shall be done with all evaluators being informed of the weights in each area, and any adjustments made to the weights in each area, over the entire period for which evaluation data is being considered. Each Member shall be informed of the weight information used in their evaluation. The Chair shall collect and provide this weight information, which must be consistent with sub article (a) and any adjustments made under sub articles (b) and (c).
13.5.6 (a) The Chair has the responsibility for annual performance evaluations of all Members in the Department.  The Chair shall inform the Dean of the proposed ratings in the three categories and overall.
(b) For Departments with 15 or fewer full-time equivalent regular faculty positions, the Members of the Department shall decide by majority vote whether to elect an advisory committee of no more than five Members to assist the Chair in carrying out the responsibility in 13.5.6 (a). A common committee spanning two or more small Departments may be considered.
(c)

For Departments with more than 15 full-time equivalent regular faculty positions, the Members of the Department shall elect an advisory committee of no more than five Members to assist the Chair in carrying the responsibility in 13.5.6 (a).

13.5.7 The Dean shall review the ratings proposed by the Chair, and may establish an advisory committee to assist with this review. The Dean may modify the ratings for a Member or Members of a Department, if necessary, to maintain consistency of standards across the Faculty. The Dean shall inform the Chair in writing of the final individual and overall ratings, together with reasons for any changes.

13.5.8 The Chair shall inform the Member in writing of her/his final individual and overall ratings, and shall provide an opportunity for the Member to discuss her/his performance evaluation.

13.5.9 The Dean shall evaluate the performance of Department Chairs and Associate Deans, and shall forward proposed performance ratings in the three categories and overall to the VPA&P for approval. The VPA&P shall inform the Dean and the Chair or Associate Dean in writing with reasons of any changes in the recommended ratings.

13.5.10 (a) A Member who disagrees with her/his performance evaluation should proceed first to the Department Chair, and then, if not resolved, to the Dean of the Faculty for disposition.
(b) A Department Chair or Associate Dean who disagrees with her/his performance evaluation should proceed first to the Dean, and then, if not resolved, to the VPA&P for disposition.
(c) Performance evaluations and selective salary increases are not normally grievable except under Article 9.2.2 or 9.2.3 of this Agreement.

13.5.11 For each evaluation period, members shall have online access to, at a minimum, histograms showing the distribution by rank in the Faculty, of: (a) final overall ratings and (b) unweighted ratings in the categories of teaching, scholarship, and service. In cases where there are fewer than ten members of the same rank within a Faculty, instead of histograms, those members shall be provided with averages by rank. In cases where there are fewer than three members of the same rank within a Faculty, no data shall be provided.

14. INTEGRITY IN SCHOLARLY RESEARCH