Policy 76 – Faculty Appointments

2. FACULTY APPOINTMENT CATEGORIES

A. Regular Faculty Appointments

As of September 1, 2024, Regular Faculty appointments are made in two mutually exclusive categories: Tenure Stream and Teaching Stream. The ranks in the Tenure Stream are: Assistant Professor, Associate Professor, and Professor. The ranks in the Teaching Stream are Assistant Professor, Teaching Stream; Associate Professor, Teaching Stream; and Professor, Teaching Stream. Additionally, there may remain Lecturers with permanence (Continuing Lecturers, see section 3D) appointed before September 1, 2024; these are also deemed Teaching Stream appointments. These seven titles, without additional qualifiers or with the qualifier “clinical”, are reserved for regular faculty appointments.

Definite-term appointments in the Tenure Stream may be made at the rank of Assistant Professor, Associate Professor, or Professor. Definite-term appointments in the Teaching Stream may be made at the rank of Assistant Professor, Teaching Stream; Associate Professor, Teaching Stream; or Professor, Teaching Stream. Definite-term appointments are intended to meet time-limited needs of an academic unit and are to be made with the explicit understanding that no commitment to any further appointment, whether definite-term, probationary, or tenured/permanent is implied (see 3.A). Examples of appropriate definite-term appointments, include, but are not limited to, replacing faculty members on extended leave, or who have been assigned duties outside the Department, or to serve in a Department where there are specific and time-limited Department workloads that do not require permanence or Tenure Stream appointments.

Definite-term appointments in the Teaching Stream are limited to teaching and service, and formal teaching duties are normally assigned in all three terms. Definite-term appointments in the Tenure Stream normally have duties in teaching, service, and scholarship; formal teaching duties are often assigned in all three terms.

When considering the creation of definite-term appointments, it is important to ensure that the duties involved are appropriate to the job category, whether Tenure Stream, Teaching Stream, or a professional staff appointment.

These appointments may be made on a full-time or fractional-load basis. Clinical faculty appointments can be made at all these ranks. Reference to faculty ranks in this policy include all regular faculty appointments, including clinical appointments, except where explicitly noted otherwise.

Faculty members in the Tenure Stream contribute to teaching, scholarship and service. Faculty members in the Teaching Stream contribute to teaching and service and do not normally have a scholarship weighting greater than zero. For further details, see Sections 2B and 2C, Tenure Stream Expectations and Teaching Stream Expectations.

Faculty members in the Tenure Stream are not eligible for transfer to the Teaching Stream without applying for and being appointed to an open position following standard hiring practices. Faculty members in the Teaching Stream are not eligible for transfer to the Tenure Stream without applying for and being appointed to an open position following standard hiring practices.

B. Tenure Stream Expectations

Faculty members in the Tenure Stream contribute to all aspects of delivering on the University’s mission: teaching, research and scholarship, and play the primary role in the University’s efforts to deliver on its mission in research and scholarship. They also play an important role in the operation of the University through their service contributions. Regular full-time faculty in the Tenure Stream are normally assigned formal teaching duties in two of the three terms in which the University operates, but are expected to engage in scholarship, supervise students as required, and contribute to University service throughout the year. However, due to the close relationship between clinical practice and scholarly activity for clinical faculty, it is typical and appropriate for the clinical teaching duties for clinical faculty in the Tenure Stream to be spread over all three terms.

During a term for which formal teaching duties are not assigned, Tenure Stream faculty members are expected to increase their scholarly activity. In special circumstances, a faculty member and the department Chair may arrange a different assignment of responsibilities. Any such arrangement must be documented and must have the formal approval of the Faculty Dean.

Professorial rank is intended to reflect a faculty member's stature and record of accomplishment as a teacher and scholar. An Assistant Professor normally has a doctorate or terminal professional degree, as well as experience or strong potential in teaching and scholarship. An Associate Professor has demonstrated ongoing competence, maturity and independence in teaching and scholarship. A Professor has demonstrated a clear commitment to teaching and has shown substantial achievement in research as evidenced by the production of a body of scholarly work that is widely known and respected.

C. Teaching Stream Expectations

Faculty members in the Teaching Stream contribute primarily to the teaching mission. They are expected to contribute to and advance a culture of teaching excellence and educational innovation that enhances education. Some Teaching Stream faculty members have appointments that involve especially large service contributions.

An Assistant Professor, Teaching Stream often has a doctorate, a terminal professional degree or credential, or special industrial, professional or other experience that is highly valuable for teaching in their discipline, as well as strong potential or experience in teaching. An Associate Professor, Teaching Stream has demonstrated ongoing proficiency, maturity, and independence in teaching. A Professor, Teaching Stream has demonstrated a continuing and longstanding record of (i) highest quality teaching both as part of formal course-based teaching and outside of this formal teaching, as detailed in the University’s Framework for Teaching Effectiveness and Addendum, and (ii) educational leadership.

D. Tenure, Permanence, and Promotion

Procedures for tenure and promotion and permanence and promotion consideration for faculty members who hold probationary appointments and promotion procedures for faculty members who hold tenured or permanent appointments are set out in Policy 77. For those holding definite term appointments, a recommendation to reappoint at a higher rank shall be considered by the Faculty Tenure, Permanence and Promotion Committee (FTPPC), and requires the approval of the Dean and the Vice-President, Academic & Provost.

The results of annual performance reviews carried out for each faculty member must be taken into account in consideration for reappointment, tenure/permanence or promotion.

E. Other Faculty Appointments

All faculty appointments, other than regular appointments as described in the preceding section, are definite-term appointments (see 3.A). They may be full-time or part-time, as specified in the letter of appointment.

Research Appointments
These appointments carry the titles Research Professor, Research Associate Professor or Research Assistant Professor, with rank determined according to the same scholarship criteria that apply to regular faculty appointments. A recommendation to reappoint at a higher rank shall be considered by the FTPPC, and requires the approval of the Dean and of the Vice-President, Academic & Provost.

Research faculty members are normally appointed to an academic department or school, and their duties are as specified in their appointment letters. Duties will be primarily research-oriented, but in some cases may include some service, teaching and/or student supervision. Research faculty members should be encouraged to take part in the normal life of the department and Faculty, as permitted by their research duties. The performance of research faculty members should be reviewed annually, in accord with the nature of the appointment as specified in the letter of appointment, by the research director (supervisor, principal investigator) and the department Chair.

Where the appointment includes components of service, teaching or student supervision, the department Chair shall review the performance of the research faculty member in these specific areas annually. The results of all such reviews shall be communicated to the research faculty member as soon as possible upon completion.

Research appointments are definite-term, and may be conditional on the availability of external research funding, as specified in the letter of appointment. A conditional appointment may be terminated should the external research funding for this purpose be discontinued; otherwise the usual considerations for definite-term appointments apply (see 3.A). If a research appointment is terminated prior to the contract end-date because external research funding is discontinued, any salary component promised from department operating funds and the associated teaching or other duties may, at the option of the appointee, be continued until the end of the definite-term contract period.

Visiting Appointments
These appointments are definite-term, normally of duration one year or less, and carry the titles: Visiting Professor; Visiting Associate Professor; Visiting Assistant Professor; Visiting Professor, Teaching Stream; Visiting Associate Professor, Teaching Stream; or Visiting Assistant Professor, Teaching Stream.

Adjunct Appointments
These appointments carry the titles Adjunct Professor; Adjunct Associate Professor; Adjunct Assistant Professor; Adjunct Professor, Teaching Stream; Adjunct Associate Professor, Teaching Stream; or Adjunct Assistant Professor, Teaching Stream. They are made to individuals, external or internal to the University, who are qualified to undertake certain specific responsibilities within an academic unit for teaching, scholarship or the co-supervision of students. Where appropriate, adjunct faculty members should be encouraged to take part in the normal life of the academic unit and Faculty.

Special Appointments
The titles given (e.g., Visiting Critic, Writer-in-Residence, Resource Person) are expressive of the functions performed; the normal ranks are not used.

F. Miscellaneous Appointments

Overload Appointments
An individual who already has a faculty appointment in one of the other categories and who is asked to take on specific duties additional to their normal responsibilities may be given an overload appointment with additional remuneration. An overload appointment is for a definite-term, and requires approval of the Chair of the individual's home department.

Cross and Joint Appointments
The terms 'cross' and 'joint' applied to appointments denote administrative arrangements, not different appointment categories. A faculty member with a joint appointment has responsibilities in two or more academic units to such an extent that these units share salary and other expenses. A cross appointment does not involve cost sharing, but does identify a faculty member who is formally associated with the work of more than one academic unit.

Administrative Appointments
Faculty may hold administrative appointments as department Chairs, Deans, Vice-Presidents and so on. These appointments are covered by separate policies, and are not categories of faculty appointment under this policy.

Honorary Titles
The titles Professor Emeritus/a and Distinguished Professor Emeritus/a are honorary designations, and do not indicate categories of faculty appointment under this policy.

3. TYPES OF FACULTY APPOINTMENT

A. Definite-Term Appointments

A definite-term appointment is an appointment for a contractually limited period of time. Although reappointment is not precluded (except by the time limits indicated below), a faculty member on a definite-term appointment is not entitled to consideration for reappointment upon the expiration of the term.

A definite-term appointment is for any period up to five years, with the provision that contracts for 1 day less than a multiple of 4 months, and other similar practices, are prohibited. Wherever practical, definite-term appointments should end on April 30, June 30, August 31, or December 31 to line up with the end of academic terms. For those whose first definite-term regular appointment was made after September 1, 2024, no further definite-term appointments can be made beyond the fifth year; however, they may be considered for probationary appointments.

A faculty member with a definite-term appointment of one year or more shall be notified by the Dean no less than six months before the end of the contract with regard to reappointment. Should this deadline for notice be missed, the contract will be extended by an additional month for each partial or whole month by which notice is late. (For example, if the end date of a contract is April 30, notice is due by October 31 in the previous calendar year. If notice is not given until December 6, the contract would be extended by two months until June 30.) Faculty members with definite term appointments of less than one year may request, in writing, notification concerning reappointment on or after the mid-point of their contracts, and the Dean shall respond within one week.

For regular faculty members, a recommendation to terminate a definite-term appointment before the contractual completion date is handled in accordance with the procedures outlined in the Memorandum of Agreement between the Faculty Association and the University of Waterloo. For non regular faculty members, a termination before the contractual completion date is handled in accordance with the Employment Standards Act of Ontario.

B. Probationary Appointments

A probationary appointment is a regular faculty appointment for a contractually limited period of time. While probationary appointments can be made at any rank in the Tenure Stream or the Teaching Stream, they are generally made at the ranks of Assistant Professor and Assistant Professor, Teaching Stream. A faculty member holding a first probationary appointment is entitled to formal consideration for reappointment to a second probationary contract. A faculty member holding a second probationary appointment is entitled to formal consideration for tenure or permanence; see Policy 77. Faculty members with probationary appointments are not eligible for promotion prior to the granting of tenure or permanence.

A first probationary appointment shall have an end-date of June 30, and its duration shall be at least two years and ten months, but less than three years and ten months. A second probationary appointment shall be for three years. If an appointment is at fractional-load, the duration of each probationary appointment may be extended by one year. Pregnancy, or parental leaves reduce the time available to prepare for tenure or permanence consideration. Therefore, the probationary period and the time to tenure decision will be extended as described in Policy 14, Section 12.

An extended period of illness that prevents the fulfillment of duties can reduce the time available to prepare for tenure or permanence consideration. A period longer than 180 days may result in a Long Term Disability leave, in which case an extension to the probationary appointment and the time to tenure/permanence decision shall be made. A continuous period of debilitating illness which prevents the fulfillment of duties, but does not result in Long Term Disability, may also be eligible for an extension to the tenure/permanence clock upon application to the Dean. Normally such extensions will be for one year; renewable depending on the severity and continuation of the illness as determined by the University Physician. The applicant shall provide relevant medical information to the University Physician, who will provide detailed written advice to the Dean. The University has the right to request a second medical opinion, at the University's expense. Any medical information provided shall be kept in a separate confidential file, accessible only by the University Physician. If the Dean denies the request, they shall provide written reasons to the applicant, who may appeal the decision to the Vice-President, Academic & Provost. The decision of the Vice-President, Academic & Provost is final.¹

Consideration for reappointment to a second probationary appointment shall occur during the final year of the first probationary appointment; see below. If reappointment is not approved, the candidate's appointment shall be extended as necessary to provide twelve months' notice from the date they are informed of the Dean's negative decision.

Termination of a probationary appointment prior to the contractual end-date constitutes dismissal and is subject to the terms set out in the Memorandum of Agreement between the Faculty Association and the University of Waterloo.

Probationary Reappointment
The Chair shall give the candidate written notification of consideration for reappointment at least 13 months before the end-date of the first probationary appointment. The candidate shall meet with the Chair to discuss the process to be followed and the materials to be submitted. Except in unusual circumstances, external reference letters are not required for reappointment; however, if the candidate and/or the Department Tenure, Permanence and Promotion Committee (DTPPC) decide that external referees should be contacted, the procedures in Section 6 of Policy 77 shall apply. The Department (DTPPC), Faculty (FTPPC) and University Tenure, Permanence and Promotion Advisory (UTPPAC) Committees are described in Section 5 of Policy 77.

For reappointment of Tenure Stream faculty members, the candidate is expected to present a record as a good teacher and evidence of scholarly or creative work as described in sections 2 and 3 of Policy 77. The DTPPC shall assess whether the candidate is making satisfactory progress towards tenure, recognizing that at this stage it may be necessary to make judgments in some areas based on potential. The DTPPC Chair shall forward the DTPPC recommendation to the Dean and shall inform the candidate in writing, including reasons if the recommendation is negative.

For reappointment of Teaching Stream faculty members, the candidate is expected to present a record (i) as an effective teacher and evidence of becoming a strong teacher, both as part of formal course-based teaching and outside of this formal teaching, as detailed in the University’s Framework for Teaching Effectiveness, and (ii) of satisfactory service, as described in sections 2 and 3 of Policy 77. (In the case of Teaching Stream faculty members with service weight greater than or equal to 40%, expectations for Service are higher than “Satisfactory” because of the prominence of this part of their roles.) The DTPPC shall assess whether the candidate is making satisfactory progress towards permanence, recognizing that at this stage it may be necessary to make judgements in some areas based on potential. The DTPPC shall forward the DTPPC recommendation to the Dean and shall inform the candidate in writing, including reasons if the recommendation is negative.

The candidate may appeal a negative decision in writing to the FTPPC within ten working days of being notified. For purposes of the appeal, the FTPPC shall be chaired by its non-voting UTPPAC member; the Dean and the DTPPC Chair shall be available to present evidence and to answer questions, but shall not otherwise participate in the proceedings. The candidate may choose to appear before the FTPPC and may choose to be accompanied by a UW academic colleague. The FTPPC shall decide whether to reappoint and shall inform the candidate and the Dean in writing, including reasons if the decision is negative. The FTPPC shall conduct its proceedings in accordance with the principles of natural justice and its decision shall be final and binding, except that an alleged failure of the FTPPC to comply with the above procedures may be grieved under the grievance and arbitration provisions of the Memorandum of Agreement between the Faculty Association and the University.

The Dean and/or Chair shall write to candidates who are to be reappointed to summarize any concerns that may have been identified, and to provide advice on preparing for future tenure/ permanence consideration.

C. Tenured and Permanent Appointments

Tenure and permanence are forms of continuing appointment granted only to regular faculty members, full or fractional load, in the Tenure Stream and Teaching Stream respectively. Tenure will be awarded only at the ranks of Associate Professor, or Professor; permanence will be awarded only at the ranks of Associate Professor, Teaching Stream, or Professor, Teaching Stream. Continuing Lecturers appointed before September 1, 2024 who opted to retain that status will also be deemed to have permanence. For clinical faculty, the term “clinical tenure” is sometimes used, for instance in advertising open positions. This alternative terminology does not reflect any difference in the status of the appointment; it is in place because it is sometimes useful to indicate that suitable candidates for the position can have scholarly or teaching activities that differ from those typical of non-clinical faculty. In particular, scholarly activities may focus on activities described in Policy 76, sec. 2 as “new applications of knowledge to the problems of society.”

Normally, faculty members are considered for tenure or permanence during their fifth or sixth year of probationary appointment at the University of Waterloo. The criteria and procedures for the granting of tenure or permanence are set out in Policy 77.

An initial appointment with tenure or permanence is unusual and can be made only at the rank of: Professor; Associate Professor; Professor, Teaching Stream; or Associate Professor, Teaching Stream. An appointment with tenure or permanence must be recommended by the FTPPC, and requires approval by the Dean, the VPA&P and the Board of Governors.

A tenured or permanence appointment can be terminated prior to retirement only for adequate cause or for reasons of financial exigency. Dismissal of a tenured or permanence faculty member is handled in accordance with the procedures outlined in the Memorandum of Agreement between the Faculty Association and the University of Waterloo. Similarly, dismissal of a Continuing Lecturer is handled in accordance with the procedures outlined in the Memorandum of Agreement between the Faculty Association and the University of Waterloo.

D. Lecturer Appointments

Lecturers are regular faculty appointments made on a full-time or fractional-load basis and are of two types: definite-term or continuing. Effective September 1, 2024, new appointments will no longer be made to the rank of Lecturer.

Continuing Lecturers appointed before September 1, 2024 who did not elect to transition to the professorial Teaching Stream ranks will maintain the same terms and conditions of employment that applied to the rank of Lecturer prior to the introduction of the professorial Teaching Stream ranks.

Dismissal of a Continuing Lecturer is handled in accordance with the procedures outlined in the Memorandum of Agreement between the Faculty Association and the University of Waterloo. This appointment category and any other reference to the rank of Lecturer or the title of Continuing Lecturer shall be removed from policy once no faculty members remain who continue to hold an appointment at the rank of Lecturer.

4. OTHER INFORMATION

A. Participation in Roles and Governance

Regular Tenure Stream faculty members and regular Teaching Stream faculty members have equal rights with respect to participation in University governance. In particular, all regular faculty from both streams may attend and vote at Department meetings and Faculty Council meetings, although it is appropriate that for some longer-term decisions voting may be restricted to probationary, tenured, and permanent faculty members.

Probationary, tenured and permanent faculty members from both streams may sit on and be eligible for election to appropriate departmental, Faculty and University committees and service roles, noting that for some of these roles differential eligibility is indicated in Policy, procedures, or as a reasonable qualification for a particular role.

B. Issues Particular to Teaching Stream

“One-in-Six” Term
With the exception of clinical faculty members, full-time faculty members in the Teaching Stream are entitled to at least one term out of six in which they are not assigned courses to teach. More precisely, in every two-year period beginning January 1 of an odd-numbered year and ending 24 months later, full time Teaching Stream faculty members are entitled to take at least one term without assigned courses; Teaching Stream faculty members whose positions started after January 1, 2025 and whose appointment date was in an even-numbered year shall have their two-year windows begin on January 1 of even-numbered years.

One such term without courses assigned shall be designated the “one-in-six” term in an agreement between the faculty member and their Chair, and a formal list of these terms will be kept by the Chair. In this “one-in-six” term, faculty members in the Teaching Stream will focus more closely on other pedagogical elements, educational elements, and/or educational leadership in support of teaching as described in the University’s Framework for Teaching Effectiveness.

By mutual agreement between a faculty member and the Chair, the timing of this term may be adjusted within the designated two year period; in extraordinary circumstances, the timing of this term can be moved into one of the first two terms in the subsequent two year period, resulting in two such terms in that period. Such agreements will make explicit in writing when a replacement term without formal teaching duties will occur.

During the Teaching Stream faculty member’s designated “one-in-six” term, no overload teaching is permitted.

Course Reduction
It is the intention of the University to support in every way possible the earned course reductions for probationary and permanent Teaching Stream faculty members as detailed below.

It should be clearly understood that granting earned course reductions is contingent upon the faculty member's department being able to make the necessary arrangements to accommodate such an absence, having taken reasonable steps to do so. Consistent with Policy #3 (Sabbatical and Other Leaves) granting of earned course reductions is also contingent upon the financial resources of the University in any given year.

Should problems arise in any of the above creating reasonable operational limitations on the ability to grant earned course reductions, it may be necessary to postpone individual requests until such time as all the conditions can be satisfied. In such circumstances, the member shall continue to accumulate course reduction credits, and this accumulation shall not be subject to approval by the Dean that is specified in subsection g.

(a) Continuing Lecturers and definite-term Assistant Professors, Teaching Stream are not eligible for the earned course reductions laid out in Policy 76.

(b) Probationary Assistant Professors, Teaching Stream hired after September 1, 2024 will have their teaching load reduced by 1 course in the first year of their contract.

(c) Probationary Assistant Professors, Teaching Stream hired after September 1, 2024 who are re appointed to a second probationary contract will have their teaching load reduced by 1 course in the first year after re-appointment.

(d) Permanent Associate Professors, Teaching Stream and Professors, Teaching Stream will accumulate 1 course reduction credit for each assigned course (equivalent to 0.5 units) that they teach as part of their regular position. (Overload courses taught for a stipend are not eligible to contribute to course reduction credit.) Permanent Associate Professors, Teaching Stream and Professors, Teaching Stream will also accumulate course reduction credits for course reductions granted for service tasks that do not involve a teaching or educational leadership component. For instance, no credit would accumulate where earned course reductions are allocated for the purposes of developing teaching materials or serving as a Teaching Fellow, but would for roles such as Associate Chair, Associate Dean, Associate Vice-President. For service tasks involving multiple earned course reductions, and that partially involve a teaching or educational leadership component, careful consideration of the number of course reduction credits is required. The number of course reduction credits that will be granted for a service role shall be discussed with the faculty member and is subject to approval of the Chair and the Dean, and is to be documented in writing at the time of
appointment.

(e) Course reduction credits can be converted to earned course reductions at the rate of 13 course reduction credits for 1 earned course reduction (equivalent to a 0.5 unit). Permanent Teaching Stream faculty members must apply to use earned course reductions (see subsections (h) and (i)). Course reduction credits can be converted starting in the term following the accumulation of the 13th course reduction credit.

(f) Teaching Stream faculty members may share their preference in scheduling earned course reductions with their Chairs, and subject to operational requirements, reasonable efforts will be made to accommodate preference. When the intention of the Teaching Stream faculty member is to convert their earned course reductions into an additional term without assigned courses, additional efforts will be made to make this term adjacent to their one-in-six term if requested.

(g) Generally, permanent Teaching Stream faculty members can accumulate at most 45 unused earned course reduction credits, which cannot be paid out at retirement. In exceptional circumstances (for example, when a project has to be delayed for project related reasons or department-related reasons), additional course reduction credits maybe accumulated with the approval of the Dean. (For clarity, in circumstances where a member has not used their earned course reduction entitlement, they will not lose their existing course reduction credits; however they will not continue to accumulate additional course reduction credits unless and until an earned course reduction is utilized.)

(h) Permanent Teaching Stream faculty members can apply for 1, 2 or 3 earned course reductions in a given fiscal year, subject to the condition that one cannot apply for earned course reductions that are greater than half of that year’s teaching load.

(i) Earned course reductions are granted to enable projects or activities that have the potential to improve teaching and learning at University of Waterloo or more generally. The Chair and the Dean will be responsible for the approval of an earned course reduction on the basis of an application which sets out the tasks or project related to educational leadership which the faculty member intends to carry out. Where a Chair is considering not approving a reduction, they will first provide the member with feedback on the proposal and an opportunity to revise and resubmit. Proposals will also include a feasible work plan and should be submitted to the Chair at least 4 months prior to the beginning of the expected term in which the reduction would occur. As with sabbaticals, approval of future earned course reductions is contingent on satisfactory progress made with previous earned course reductions. Activities carried out during the time given by the earned course reduction will be considered for the purposes of the faculty member's next performance review.

5. FACULTY APPOINTMENT INTENSITIES

Full-time faculty appointments are 12-month appointments which carry an obligation for some combination of teaching, scholarship and University service throughout the full year, excepting annual paid vacation.

Part-time appointments may be made in any of the non-regular faculty appointment categories (Section 2.E). A part-time appointment carries a lower time commitment than does a full-time appointment, and may also have a more limited range of duties and responsibilities, as specified in the letter of appointment.

A fractional-load appointment is a regular faculty appointment that carries the same distribution of duties in teaching, scholarship and service as does a regular full-time appointment at the same rank, but the total commitment of time to the University is not as great. Fractional-load appointments can be made at any fraction of total load (normally at least 50%) that corresponds to a practical assignment of University duties. A faculty member who holds a probationary appointment on a fractional-load basis is entitled to formal consideration for reappointment or tenure at the same fractional load.

Regular faculty members may apply to change their appointments from full-time to fractional-load (or vice versa). Such changes require the written mutual agreement of the faculty member and department Chair, and must be formally approved by the Faculty Dean and the Vice-President, Academic & Provost.

Temporary Reduction in Workload
Faculty members who desire a temporary reduction in workload should apply for a partial leave of absence; see Policy 3.

A reduced load to retirement is a special fractional-load appointment with respect to participation in UW pension and benefit plans; see Policy 59.

6. HIRING PROCEDURES FOR REGULAR FACULTY MEMBERS

This section describes the procedures to be followed in hiring probationary and tenured/permanent faculty members, as well as those regular faculty members on definite-term appointments of at least three years duration.

Academic excellence, the cornerstone of UW's mission, is achieved by the commitment of the University community to the highest quality teaching, scholarship and services that support the academic enterprise. That commitment underlies admission and examination standards, hiring and promotion decisions, criteria for performance evaluation and academic goals.

Consistent with the mission of achieving academic excellence, UW is committed to recruit the best faculty possible, within the context of its budgetary considerations and academic programs, as well as priorities such as faculty renewal and employment equity. Faculty recruitment will be carried out through the application of the highest standards and best practices. Recruitment of faculty of the highest quality is a very competitive process and as such requires prompt actions on the part of all involved with the recruitment process. The VPA&P, Faculty Deans and Department Chairs will take appropriate administrative measures to realize this goal.

The need for a new or replacement appointment is identified by a Department Chair in consultation with the department. Authorization to advertise a position must be obtained from the Dean and the Vice-President, Academic & Provost to ensure that the appointment is consistent with Faculty/University priorities and budgetary considerations. Care should be taken that the position is not defined so narrowly as to limit unreasonably the pool of qualified candidates.

Procedures are to be adopted to ensure that an adequate list of possible candidates of the highest quality is obtained though proactive national and, if appropriate, international searches and that selection from this list has been effectively carried out. The search process will continue until an adequate list of possible candidates of the highest quality is obtained.

Positions are advertised in University Affairs and/or the CAUT Bulletin, and normally in relevant professional journals and e-lists. Also, the Chair shall send advertisements to appropriate contact persons at other Canadian universities. Advertisements should specify the desired areas of specialization, the anticipated rank and starting date, the deadline for applications, and immigration requirements. They must include UW's employment equity statement. It is recognized that in a highly competitive environment, advertisement is a necessary tool for recruitment but is not a substitute for other forms of proactive recruitment such as identifying potential candidates through professional colleagues.

In addition, the Chair and other department members should strive to identify qualified candidates and encourage them to apply. This is particularly important when there is a serious gender imbalance in the department. In some cases, it may be necessary to exercise flexibility with respect to starting date and/or non-traditional career paths.

A. Department / School Advisory Committee on Appointments (DACA)

For each regular faculty appointment of duration more than two years, a search committee (DACA or equivalent for inter-departmental and joint appointments) shall be established. The DACA is normally chaired by the Department Chair or equivalent, and normally consists of from three to five tenured or permanent faculty members chosen in a manner acceptable to the department(s) or equivalent. In the case of smaller units where there may not be a sufficient number of tenured/permanent faculty members or when a particular disciplinary expertise is needed, senior probationary faculty members may be chosen to serve on the DACA.

It is highly desirable for the DACA to include both women and men. It is also desirable for the DACA to include both Tenure Stream and Teaching Stream faculty members, regardless of the stream of the position for which the DACA is hiring; when a Teaching Stream faculty member will be hired, it is particularly important that the DACA include Teaching Stream faculty. Where either of these desirable outcomes is not possible, a department, in consultation with the Dean, should consider inviting a faculty member from a related discipline to join the DACA.

The DACA shall participate in short-listing and interviewing candidates for the position, and shall provide advice to the department Chair concerning the selection procedure and suitability of the various candidates. In determining suitability, the DACA shall take into account UW's commitment to the highest quality teaching, scholarship and services which support the academic enterprise. Selected candidates must have demonstrated records or at least the potential to meet the above standards, as appropriate to the advertised position. The DACA will determine appropriate processes to evaluate candidate suitability based on these measures and the duties associated with the position. These measures should include some form of teaching evaluation and, where appropriate, a research seminar. If there is significant disagreement between the advice of the DACA and the Chair's recommendation, it shall be noted, and become part of the record.

Candidates should be asked only questions relating to bona fide position or occupational
requirements. Enquiries as to an applicant's birthplace, ancestry, marital status, family status, age,
sex, religion, record of offenses or handicap are contrary to Human Rights legislation and could
form the basis for a discrimination claim.

B. Role of the Department Chair

The Department Chair plays a critical role in the hiring process. It is the Chair's responsibility to ensure that candidates being interviewed and the selected candidate meet UW's expectation of the highest quality teaching, scholarship and services which support the academic enterprise. In addition, it is the Chair's responsibility to provide each candidate interviewed with information about salary levels, teaching loads, performance expectations, procedures for reappointment and/or the granting of tenure/permanence, and other terms and conditions of employment.

The Chair is expected to consult widely and generally to involve other department members in the hiring process (e.g., by making CVs of short-listed candidates available). Before making a hiring recommendation, the Chair must review with the Faculty Dean the list of candidates considered, ranked according to desirability for the position and department needs. If two candidates of different genders are judged to be equally suitable for the position, preference will be given to the underrepresented gender.

C. University Appointments Review Committee (UARC)

This Committee, appointed by the Vice-President, Academic & Provost in consultation with Deans' Council and the President of the Faculty Association, shall advise on regular faculty appointments of duration two years or more and, if requested, shall advise on regular faculty appointments of a shorter duration. UARC shall consist of one or more members from each Faculty, and shall include at least two women and two men. The term of office is three years, staggered to provide continuity. The Chair of UARC is chosen from among its members by the Vice-President, Academic & Provost.
UARC shall review the hiring process and provide advice to the Dean before a hiring recommendation is sent to the Vice-President, Academic & Provost for approval. The Chair (through the Dean) shall provide UARC with a brief summary of the recruiting process including efforts to solicit candidates from underrepresented genders. Documentation (such as CVs, letters of reference) will be provided for the top three candidates. If all three are of the same gender, documentation will also be provided for the top candidate of a different gender.

Special arrangements may be required to permit continuous recruitment for multiple vacancies when the hiring environment is highly competitive. The department Chair and Faculty Dean shall seek the advice of the UARC Chair on the proposed recruitment strategy, and shall obtain the written approval of the VPA&P.

Because faculty hiring is often highly competitive, UARC will respond expeditiously, usually within a week of receiving documentation. Normally, the UARC Chair will review cases in consultation with the UARC member from the relevant Faculty, and will act on behalf of the Committee. The UARC Chair should meet with the Committee, or a subset of it, if there appear to be problems with the hiring process.

In exceptional circumstances, and with the approval of the Vice-President, Academic & Provost, the UARC review process may be bypassed. When this occurs, the Dean shall provide reasons in writing to the UARC Chair for information.

More generally, UARC monitors the hiring process to ensure that positions were properly advertised, that both the letter and the spirit of the hiring procedure were followed and that there was a thorough search for candidates, especially candidates of the underrepresented gender. It provides advice to Chairs, Deans and the VPA&P with respect to faculty hiring, and reports to Senate annually, via the Vice-President, Academic & Provost, on its activities and operation.

D. Exceptional Candidates

The opportunity to recruit uniquely qualified, internationally recognized scholars may necessitate prompt hiring decisions to attract such individuals to become UW faculty members. In such cases, with the recommendation of the DACA(s) involved in the proposed hiring and in consultation with the VPA&P, the Dean(s) may waive normal hiring requirements. The following process will then ensue. After a departmental presentation by the candidate and upon a positive recommendation from the DACA(s) with the approval of the Dean(s) and Vice-President, Academic & Provost, the candidate may be offered a position. The Vice-President, Academic & Provost will provide an annual statistical report on such cases to Senate, with special attention to equity.

7. PROCEDURES FOR SPOUSAL APPOINTMENTS

In accordance with its academic mission, UW is committed to the principle of recruiting the best available faculty in its pursuit of excellence. Increasingly, recruiting involves couples who are both academics. In such cases, it is desirable for UW to benefit from the combined excellence of both the recruit and the recruit's spouse. Spousal appointments are intended as positions from which the spouse may find a more long-term position.

Spousal appointments are governed by the following criteria:

• The spousal appointee should be of such calibre that were a vacancy to arise in the spousal's hire area in the department/school, they would be a credible candidate for that position.
• The spousal appointment normally is a definite-term Appointment [see Section 3A], and normally is for a term of up to three years.
• The sponsoring unit must provide justification in support of the sponsoring unit recruit. The host unit through its appointments committee must also make a strong case in support of the spousal recruit.
• Due to the special nature of the spousal appointment, there is no requirement for advertising and competition, but all other requirements set out in section 6 must be met.
• UARC will review the two hire files concurrently.
• Department/School and Faculty approval processes (apart from advertising and competition for the spousal appointment) must be satisfied.

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1 Policy 57 – Employee Accommodation is currently being amended. Section 3B of Policy 76 will be revised upon the
finalization of Policy 57. In the interim, Occupational Health plays the specified role of the University Physician.