Regulations Governing Appointment, Renewal of Appointment, Tenure and Termination for Academic Staff

Last Amended March 2, 1995

Amended: June 26, 1980; May 24, 1984; October 27, 1988; March 26, 1992; December 17, 1992; March 2, 1995.

The Regulations Governing Appointment, Renewal of Appointment, Tenure and Termination for Academic Staff were approved by the Senate at its meetings of June 28 and September 27, 1979; and by the Board of Trustees at its meeting of October 12-13, 1979.

Much of the underlying reasoning for these documents is articulated in the Discussion Papers printed as a Supplement to Volume X, Number 1, January 10, 1978, of the Queen's Gazette, which should be read in conjunction with these regulations.

Table of Contents

The Regulations
Transitional Provisions for term appointees now on staff
The approach for dealing with Financial Exigency

A. The Regulations Governing Appointment, Renewal of Appointment, Tenure and Termination for Academic Staff

now replace the Senate Statement on Academic Freedom and Tenure (1969).

Preamble

��˴�Ƭ recognizes academic freedom as indispensable to the purposes of a university. Freedom of faculty members to study, to teach and to record knowledge according to their best judgement is necessary if a university is to fulfil its role in society. Accordingly, academic freedom is the right of every faculty member from the time each is first appointed.

Academic freedom carries with it the duty to use that freedom in a responsible way with due regard to the rights of others within the university community and the community at large. It also carries with it an obligation to strive for excellence in teaching, research and scholarship, to devote time to students and to play an effective part in the work of the department and the University.

��˴�Ƭ further recognizes that the protection of academic freedom requires that decisions affecting individual faculty members be made in a consistent manner according to established principles and standards, applied through fair and reasonable procedures.

I. Definitions

"appointee" means a person holding an appointment; it does not include:
1. a person holding an appointment funded entirely or significantly from sources outside the regular university operating budget (see "special appointee" below);
2. a sessional appointee;
"appointment" means an appointment to the academic staff as professor, associate professor, assistant professor or lecturer either for a term or with tenure; it may be full-time or part-time; full-time includes appointments in which a reduced responsibility arrangement has been negotiated; part-time normally is at least 0.5 of an equivalent faculty position; both full-time and part-time appointments carry responsibility for a full range of academic duties.*See The University Appointment; Freedom and Responsibility, Queen's Gazette, A Supplement to Volume IV, Number 43, Wednesday, December 6, 1972.
"committee" means a standing committee or a department head acting under an approved system of consultation pursuant to Part Ill, clause 1;
"department" and "department head" refer to a faculty or school and to a dean or director respectively in cases where there are no departments within a faculty or school;
"non-renewable appointment" means an appointment for two years or less that is expressly stated to be non-renewable, that is, an appointment that an appointee will be ineligible to re-apply for or hold upon expiry of his or her current appointment;
"non-renewal" means failure or refusal to renew an appointment at its expiry, other than a non-renewable appointment;
"renewed appointment" means an appointment - entitling an appointee to be considered for tenure under Part VI of these regulations;
"replacement appointee" means a person holding an appointment to replace a named appointee on an extended leave of up to three years; the opportunity for re-appointment shall be restricted in the same manner as for holders of non-renewable appointments;
"Senate Committee" means the Senate Committee on Appointment, Promotion, Tenure and Leave;
"special appointee" means a person holding an appointment funded entirely or significantly on a continuing basis from sources other than the Ministry of Education and Training operating grants and tuition fees, or an appointment the renewal of which is conditional upon obtaining significant funding on a continuing basis from sources other than the above;
"tenure" refers to an appointment recognized by the University as entitling the appointee to continued employment until normal retirement age, unless dismissed for cause, and subject to university regulations concerning financial exigency; tenure requires a continuing commitment to strive diligently for excellence in teaching, research and scholarship and in the other responsibilities of a faculty member; the entitlement to continued employment shall include normal consideration for increases in salary, promotion and other benefits in working conditions.

II. Appointments

A person, other than a sessional appointee, employed by the University with responsibility for a full range of academic duties shall be considered to hold an appointment to the academic staff.
An appointee is entitled to normal consideration for increases in salary, promotion and other benefits in working conditions.
A non-renewable appointment may be made for a period of two years or less but not more, and shall be expressly stated to be non-renewable. A visiting appointment or other appointment for one year shall ordinarily be deemed to be non-renewable, but in special circumstances a department proceeding under Part IV may request that it be renewed for a second year. An appointee holding a non-renewable appointment may apply for any advertised vacancy for a renewable appointment in common with all other applicants and shall be judged on a competitive basis with outside applicants.
Ordinarily, an initial renewable appointment shall be made for a period of three years. Part-time appointments normally shall be made for a period of four years. The nature of the discipline and the proportion of a position held should be factors in deciding the initial length of the part-time appointment. In special circumstances, a committee may request that an initial appointment be made for a lesser or greater period. All such appointments shall be reported annually by the Principal to the Senate Committee.
All letters of appointment shall state expressly whether the appointment is renewable or non-renewable.
In special circumstances, a committee may request that an appointment be made with the same rights and duties as a renewed appointment, or that it be made with tenure. Such requests shall be made to the Principal accompanied by full documentation of departmental needs, market conditions for filling these needs and detailed information about the proposed appointee. All such appointments shall be reported annually by the Principal to the Senate Committee.
Criteria for assessment of appointees under these regulations shall be those set out in Part Vl of the Senate Committee's Discussion Paper on Major Matters Pertaining to Appointment and Tenure, Queen's Gazette, Supplement, January 10, 1978, as amended by the Senate, subject to changes and additions proposed by a Faculty and approved by the Senate from time to time.
A special appointee may receive a non-renewable appointment under these regulations.
If a Faculty wishes to offer special appointees appointments subject to the availability of funding, it shall propose a plan of regulation for approval by the Senate. Such a plan may make provisions for repeated renewable term appointments and for a change in status from special appointments to renewable or tenured appointments.

III. Methods of Consultation

Each department or other appropriate academic unit (two or more departments may choose to join together for any of these purposes) shall establish one or more standing committees to consider and make recommendations on behalf of the unit on:
1. staffing needs and assessment of candidates;
2. renewal of appointments;
3. granting tenure, --OR--
if a department decides that a collegial system of consultation other than a standing committee is preferable for any or all of these functions, it may propose its own system. Such a proposal shall provide for broad consultation between the department head, its members and students and shall be fully described in written regulations. It shall be sent to the appropriate Faculty Board for consideration and approval. The Faculty Board may adopt the proposal or, after consultation with other interested departments, adopt a system applicable to several departments or units. Any system of consultation, other than a standing committee or standing committees, adopted by a Faculty Board shall be sent to the Senate for review and approval.
It is recognized that students have an important role to play in consultation generally and, in particular, with respect to assessment of teaching quality. Thus, where students are willing to serve and are available, they shall be members of the standing committees. In addition, the standing committee, - or in cases where consultation with the department head exists rather than a standing committee, the head, - shall consult with student representatives selected by students in the department, and reach agreement on an additional method by which students may express their opinions in writing for consideration in the regular procedures for making decisions under these regulations.
Each department shall have a system for assessing teaching quality within the department. The department head shall consult with student representatives selected by students in the department, and reach agreement on the system to be adopted. Where possible, the opinions of former students as well as current students should be obtained. The department head shall take special care to ensure that adequate information is obtained for purposes of assessing appointees being considered for renewal or tenure.

IV. Appointment Procedures

Faculty positions open for appointment shall, subject to the exceptions discussed in clause 2 below, be advertised in at least one national publication generally available at Canadian universities. The closing date for applications shall not be earlier than fifteen days after the publication has become generally available.
In special circumstances, a committee may request that advertising be dispensed with. Examples of special circumstances are: when a committee wishes to fill a vacancy with a visitor or other non-renewable appointment and has in mind a specific person who will meet departmental needs particularly well and who is available and interested; when a committee has reason to believe that a specific distinguished scholar or other outstanding person, who has qualities that will greatly benefit the University, is available and interested in an offer. Such requests shall be made to the Principal accompanied by full documentation of departmental needs, market conditions for filling these needs and detailed information about the proposed offeree. All such appointments made by the Principal shall be reported annually to the Senate Committee.
Candidates for appointment shall provide with their application a current curriculum vitae, the names of three persons who may be asked to provide letters of reference, and such additional evidence of ability in teaching, scholarship and research as the candidate may consider appropriate. The University may seek additional information regarding the candidate's ability and qualifications for the position.
After reviewing all applications, the department head shall submit to the dean of the faculty the following:
1. where there is a committee, the written recommendation of the committee with its reasons and, if the head disagrees, the head's own written reasons for disagreeing; where there is no committee, the written recommendations of the head with reasons;
2. a summary of the candidate's qualifications and any supporting material the head considers helpful;
3. a report on all applications received for the position.
The dean shall then forward the department head's recommendation, the dean's own recommendation, and the accompanying documentation to the Principal.
The Principal shall decide who, if anyone, shall be appointed and that decision shall be final, subject to the approval of the Board of Trustees when the appointment is to the rank of full professor.

V. Renewal of Appointment

An appointee in the final year of his or her initial appointment is entitled to be considered for renewal of appointment for a further period of three years. An appointee in the final year of an initial part-time appointment is entitled to be considered for renewal of appointment for a further period of four years. An appointee who has taken maternity, adoption or parental leave, or a period of reduced responsibility to fulfil parental responsibilities following the birth or adoption of a child, may elect to have the renewal decision postponed for a period of one year for each such birth or adoption.
By July 1 of the final year, an appointee shall be informed by the department head, in writing, that he or she is entitled to be considered for renewal, and shall be asked whether he or she wishes to be considered. In addition, the head shall offer a personal interview to discuss the procedure to be followed and to provide information to the appointee.
If an appointee wishes to apply for renewal, the head shall ask the appointee to provide to the department by September 15, the following material:
1. curriculum vitae;
2. copies of all relevant scholarly work, if feasible, or at least, citations for all such work;
3. summary of contributions to the department and the wider university community;
4. names of referees, normally not fewer than three, who will be useful in assessing the appointee's work and who have consented to act;
5. any other information believed to be useful.
Not later than October 1, the head shall arrange a meeting between the appointee and the committee, or with the head alone according to the system of consultation established, to review the names of referees suggested both by the appointee and by members of the committee and other members of the department. It would be preferable if the appointee and committee could agree on a common list from which the referees are to be selected. If they cannot, and the committee wishes to inquire of referees to whom the appointee has objections, the appointee may leave his or her objections as stated orally or put them in writing, with the assurance that the identity of those to whom the appointee objected will not be disclosed without his or her consent. The appointee may require that letters of reference be requested from any one or two of those persons who have been named under clause 3 d) above.

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In accord with the regulations of the faculty, the head shall write or request the dean to write letters requesting assessments from a selection of not fewer than three of the referees as decided upon under Clause 4 above including the requirement of the appointee.
The head shall prepare a written summary and assessment of the appointee's contribution to the department and shall provide any other relevant information about the appointee's university-related work within the head's personal knowledge, or supported by the written opinion of other members of the University.
In considering whether an appointee should be offered a renewal, account shall be taken of all materials submitted pursuant to clauses 3, 5 and 6 above, teaching assessment pursuant to clause 3 of Part III above, and the written opinions of other members and students of the department whether requested by the head or submitted on their own initiative.
In considering whether an appointee should be offered a renewal a committee shall take into account departmental needs with respect to teaching and research, provided:
1. a plan of departmental needs has been developed or revised and approved by the department and made available in writing by the end of the calendar year before the appointee is invited to be considered for renewal;
2. it has considered whether the appointee is capable of teaching and doing research in the area and at the level required in allocating departmental needs according to the plan;
3. and if the answer to b) above is "no", it has considered in the circumstances whether the appointee is willing and may reasonably be expected to adapt to the needs in b), within a reasonable time after renewal.
If the committee concludes that the appointee may be expected to adapt within the terms of c) above, the committee shall recommend a renewed appointment. The head shall monitor the appointee's progress in adapting according to the terms of the renewed appointment and shall inform the appointee of his or her opinion as to that progress.
In coming to a decision about renewal, a committee shall recognize that the presumption is in favour of the appointee: in order to refuse to renew an appointment, the committee must be satisfied that the weight of evidence it has considered is in favour of non-renewal rather than renewal.
By November 15, the head shall submit to the dean of the Faculty, the following:
1. all material provided by the appointee;
2. all letters of assessment;
3. assessment of teaching;
4. where applicable, a plan of departmental needs pursuant to clause 8 above, and its relation to the recommendation;
5. where there is a standing committee, the written recommendation of the committee with its reasons and, if the head disagrees, the head's own written reasons for disagreeing; where there is no standing committee, the written recommendation of the head with reasons.
If satisfied that proper procedures have been followed and the decision is sound, the dean shall forward the assembled material to the Principal, together with supporting recommendation, by December 1.
If not satisfied that proper procedures have been followed or that the decision is sound, the dean shall meet with the committee or, if there is no committee, with the head in order to see whether their differences of opinion can be reconciled, and if not, the dean may make any further investigations deemed necessary.
The dean, if dissatisfied with the recommendation of the department, shall forward written recommendation along with reasons to the Principal, together with all material assembled according to clause 10 above, by December 1.
If the Principal receives a recommendation pursuant to clause 11 above and is not satisfied with it, or receives a recommendation pursuant to clause 13 above, the Principal shall meet with the department head and dean in order to see whether their differences of opinion can be reconciled, and, if not, may make any further investigations deemed necessary. In addition, the Principal may send the matter back for reconsideration by the committee.
The Principal shall make every effort to reach a decision and inform the appointee in writing by December 15.
If the decision is adverse, it shall be accompanied by a report summarizing the assessment of an appointee's performance and the reasons for the decision. In particular, if the appointee is refused renewal under clause 8 above, but is in all other respects deemed worthy of re-appointment, the report shall explicitly state that these are the facts of the case.
An appointee who is dissatisfied with an adverse decision may proceed under Part VIII of these regulations.

VI. Tenure

An appointee is entitled to be considered for tenure during the renewed appointment. An appointee who, during the renewed appointment, has taken maternity, adoption or parental leave, or a period of reduced responsibility to fulfil parental responsibilities following the birth or adoption of a child, may elect to have the tenure decision postponed for a period of one year for each such birth or adoption. An appointee who, during the initial appointment, has taken maternity, adoption or parental leave, or a period of reduced responsibility to fulfil parental responsibilities following the birth or adoption of a child, but who did not exercise the right to postpone the renewal of appointment decision (as set out in section V,1) may elect to have the tenure decision postponed for a period of one year for each such birth or adoption.
Ordinarily he or she will be considered for tenure in the final year of the renewed appointment, but in exceptional cases either an appointee or the committee may propose that consideration be given in an earlier year.
An earlier consideration for tenure pursuant to clause 2 above, may not proceed unless both the appointee and committee are in agreement, the committee has made a brief preliminary examination that is favourable to the appointee, and it requests permission in writing from the Principal to proceed. All permissions granted under this clause shall be reported annually to the Senate Committee.
In exceptional cases an appointee may request that consideration be delayed one year and accordingly the appointment be extended by one year. Appointees on part-time appointments may request a delay for up to two years with an extension of the appointment for that period. The nature of the discipline and the proportion of a position held by the part-time appointee should be factors in the decision to delay tenure consideration. This delay in all cases shall only be granted once.
A delay of one year as defined above shall not be granted, unless the committee has made a brief preliminary examination and agrees with the appointee and receives permission for the delay with an appointment extension, in writing, from the Principal. All such delays and extensions granted shall be reported annually to the Senate Committee.
If an appointee's request for delay is refused and he or she subsequently is denied tenure, both the request and refusal shall be considered relevant in any proceedings under part VIII of these regulations. The appointee may not appeal at the time of the refusal by the committee to recommend delay.
By July 1 of the final year of a renewed appointment, the head shall inform the appointee in writing, that he or she is entitled to be considered for tenure and shall ask whether he or she wishes to be considered. In addition, the head shall offer a personal interview to discuss the procedure to be followed and to provide information to the appointee.
If the appointee wishes to request delay pursuant to clause 4 above, within seven days of receiving notice from the head under clause 7 above or of July 1, whichever is later, a request shall be made to the department head, in writing, stating reasons. The committee will make every effort to effect a decision either to agree and obtain the Principal's consent, or to refuse, within fourteen days. If the decision is to refuse delay, the time elapsed between delivery of the request by the appointee and the delivery of the refusal to the appointee, shall be added to the time limits for the rest of the tenure process.
If an appointee wishes to apply for tenure, the head shall request that the appointee provide the following material to the department head by September 15:
1. curriculum vitae;
2. copies of all relevant scholarly work, if feasible, or at least citations for all such work;
3. summary of contributions to the department and the wider university community;
4. names of referees, normally not fewer than three, who will be useful in assessing the work and who have consented to act;
5. any other information believed to be useful.
Not later than October 1, the head shall arrange a meeting between the appointee and the committee, or with the head individually according to the system of consultation established to review the names of referees suggested both by the appointee and by members of the committee and other members of the department. At least one letter shall be requested from a person outside Queen's. It would be preferable if the appointee and committee can agree on a common list from which the referees are to be selected. If they cannot, and the committee wishes to inquire of referees to whom the appointee has objections, the appointee may voice objections, orally or in writing, with the assurance that the identity of those to whom the appointee objected will not be disclosed without his or her consent. The appointee may require that letters of reference be requested from any one or two of those persons named under clause 9 above.
In accord with the regulations of the Faculty, the head shall write or request the dean to write letters requesting assessments from a selection of not fewer than three of the referees as decided upon in clause 10 above, including the requirement of the appointee.
The head shall prepare a written summary and assessment of the appointee's contribution to the department - apart from teaching, research and scholarly work - and other relevant information about the appointee's university related work within the head's personal knowledge, or supported by the written opinion of other members of the University.

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In considering whether an appointee should be granted tenure, account shall be taken of all material submitted pursuant to clause 9, 11 and 12 above, teaching assessment pursuant to clause 3 of Part III above, and the written opinions of other members and students of the department whether requested by the head or submitted on their own initiative.
If an appointee is a person who has been re-appointed under clause 8(c) of Part V, on the understanding that adaptation would be made to departmental needs within a reasonable time, the committee shall consider whether those requirements have been successfully met. If the committee concludes that this has not been done, it shall not recommend the granting of tenure.
In considering whether an appointee should be offered tenure, a committee shall take into account departmental needs with respect to teaching and research, provided that:
1. after the appointee received a renewal of appointment, a plan of departmental needs has been developed or revised and approved by the department and made available in writing by the end of the calendar year before the appointee is invited to be considered for tenure or it has reason to believe the appointee has substantially redirected his or her academic interests.
2. it has considered whether the appointee is no longer capable of teaching and doing research in the area and at the level required in allocating departmental needs according to the plan;
3. and if the answer to (b) above is "yes", it has considered in the circumstances whether the appointee is willing and may reasonably be expected to adapt to the needs within a reasonable time.
If the committee concludes that the the appointee may be expected to adapt within the terms of (c) above, the committee shall recommend a special appointment for two years after the termination of the renewed appointment. The head shall monitor the appointee's progress in adapting to the terms of the special appointment and shall inform the special appointee as to that progress. In the second year of the special appointment, the committee shall consider whether the appointee has successfully adapted. If the committee concludes that this has not been done, it shall not recommend the granting of tenure, and the appointment shall terminate at the end of the special appointment.
In contrast to the position of an appointee being considered for renewal, there is no general presumption in favour of an appointee being considered for tenure. It is an appointee's task to demonstrate that he or she merits being granted tenure. Accordingly, a committee must be satisfied that the weight of evidence it has considered, apart from departmental needs, is in favour of granting tenure. With respect to departmental needs, since these are the responsibility of the department rather than the appointee, and will arise as a consideration only if the appointee has otherwise been found to merit tenure, the presumption here is in favour of an appointee. Accordingly, a committee must be satisfied that the weight of evidence with respect to departmental needs is in favour of not granting tenure before making a recommendation against tenure on this basis.
By November 22, the head shall submit to the dean of the Faculty, the following:
1. all material provided by the appointee;
2. all letters of assessment;
3. assessment of teaching;
4. where applicable, a plan of departmental needs pursuant to clause 15 above, and its relation to the recommendation;
5. where there is a committee, the written recommendation of the committee with its reasons and, if the head disagrees, the head's own written reasons for disagreeing; where there is no committee, the written recommendation of the head with reasons.
If satisfied that proper procedures have been followed and the decision is sound, the dean shall forward the assembled material to the Principal, and supporting recommendation, by December 8.
If not satisfied that proper procedures have been followed or that the decision is sound, the dean shall meet with the committee or, if there is no committee, with the head in order to see whether their differences of opinion can be reconciled, and if not, may make any further investigations deemed necessary.
If the dean remains dissatisfied with the recommendation of the department, he or she shall forward written recommendation along with reasons to the Principal, together with all material assembled according to clause 17 above, by December 8.
If the Principal receives a recommendation pursuant to clause 18 above and is not satisfied with it, or receives a recommendation pursuant to clause 20 above, the Principal shall meet with the department head and dean in order to see whether their differences of opinion can be reconciled, and if not, may make any further investigations deemed necessary. In addition, the matter may be sent back for reconsideration by the committee.
The Principal shall make every effort to reach a decision and inform the appointee in writing by January 15.
If the decision is adverse, it shall be accompanied by a report summarizing the assessment of an appointee's performance and the reasons for the decision. In particular, if the appointee is refused tenure under clause 15 above, but in all other respects is deemed tenurable, the report shall explicitly state that these are the facts of the case.
Ordinarily, an appointee who has been refused tenure shall be offered a terminal appointment of one further year at the time he or she receives the adverse decision. However, if in the opinion of the committee an appointee has behaved in a manner showing bad faith toward the University, it may recommend that a terminal appointment not be offered. Instances of bad faith include, but are not limited to, clear-evidence that the appointee had abandoned any hope of gaining tenure before indicating a wish to apply for tenure, and subsequently failure to carry out responsibilities with reasonable diligence.
An appointee who is dissatisfied with an adverse decision may proceed under Part VIII of these regulations.

VII. Termination Because of Budgetary Reductions

Preamble

Termination because of budgetary reduction is designed to meet situations of financial constraint which are limited in scope. It shall not be widely used to terminate renewable appointments in their final year.

Regulations

The Principal and dean of a faculty may inform a department head that because of financial constraint there will be a reduction in the budget of the department requiring it to discontinue offering non-renewable appointments and to terminate a renewable appointment at the expiration of the final year of an appointment.
No renewable appointment shall be terminated unless all offers for further appointments, renewable or non-renewable, within the department are withdrawn and discontinued.
An appointee who becomes subject to termination under this part remains entitled to be considered for renewal or tenure in the normal manner.
If an appointee is found otherwise to merit renewal or tenure, but becomes subject to termination for reasons of budgetary reductions, the Principal shall:
1. notify him or her of the affirmative decision on renewal or tenure in the normal way;
2. not later than the time of such notification, inform the appointee that, subject to clause 6 below, the appointment will be terminated at the expiry of the final year of the current appointment because of budgetary reductions.
3. guarantee that the position will not be filled in the following academic year;
4. guarantee that if during the two subsequent years after the year in sub-clause c) above, a position is reinstated to bring the staffing in the department to the same level as during the final year of appointment, the appointee will be offered the position at appropriate rank and salary, and the Principal will make every effort to give reasonable notice of the offer in order to make it feasible for the offer to be accepted if the appointee so desires.
If a head is informed that the department will be required to terminate an appointment in its final year, and the department has more than one appointee in their final year, the procedure shall be as follows:
1. all appointees in their final year shall first be considered for renewal or tenure in the normal way;
2. if an appointee receives an adverse decision, the non-renewal of the appointment shall fulfil the department's requirement to terminate an appointment for budgetary reasons;
3. if one appointee is in the final year of an initial appointment and others are in the final year of a renewed appointment, the appointee in the final year of an initial appointment shall have the appointment terminated;
4. if two or more appointees are in the final year of an initial appointment--OR--if all appointees are in the final year of a renewed appointment, in order to select which one shall be subject to termination, the head shall refer the matter according to clause 1 of Part III above to the appropriate standing committee or consultation process, in order to obtain advice. The head's recommendation for termination shall be based on an assessment of the least harm to the department's program caused by the loss of one appointee's services rather than another's. This recommendation, in writing with reasons, shall be reviewed by the dean and the Principal before final decision.
An appointee who becomes subject to termination in the final year of a renewed appointment pursuant to this part, shall receive a one year terminal contract. The guarantees under clause 4 c) and d) above, shall accordingly be extended by one year.
All terminations under this part shall be reported by the Principal to the Senate, with reasons, as soon as possible after such action has been taken. The report shall be in sufficient detail to inform the Senate of the scope and nature of the terminations.

VIII. Appeals

This part applies to any appointee affected by an adverse decision under Part IV (Renewal of Appointment) or Part VI (Tenure) of these regulations. Throughout these proceedings any party may be assisted or represented by an academic or professional adviser.
Where a university holiday period falls within or on the final day of any time period set out in clauses 3,4 or 5 below, the time period affected shall be extended by the length of the holiday period.
Within one week of receiving an adverse decision from the Principal, an appointee may request a meeting with the head to discuss the decision. The head shall make every effort to arrange a meeting within one week of receiving the request, but in any event the meeting shall be held within two weeks.
If the appointee remains dissatisfied with the adverse decision, or with any action proposed as a result of a meeting held under clause 3 above, within two weeks of the meeting, or of receiving the adverse decision if a meeting is not requested, a written request for an appeal may be delivered to the head.
The head shall notify the dean and Principal, and request the Principal to arrange for an appeal by the way of binding arbitration under The Arbitrations Act. Both parties agree that the award made under The Arbitrations Act shall be final and binding. In agreeing to settle a dispute under The Arbitrations Act both parties undertake to make every effort to facilitate a prompt hearing. In order to do so the following timetable shall apply:
1. within two weeks of the appointee's written request for arbitration, as set out in clause 4 above, he shall be given the documents identified in clause 6.f) or 6.h) below;
2. within two weeks of the documentation being made available to the appointee, the appointee and the University shall submit the names of their respective counsels to the named arbitrator.
The Arbitrations Act shall govern the procedures to be followed, subject to the following terms:
1. On the coming into force of these regulations, and annually thereafter, and from time to time whenever the list contains too few names, the Principal and the President of the ��˴�Ƭ Faculty Association or their nominees, shall jointly select a list of persons who will be called in rotation to act as arbitrator as the occasion might arise. The list shall contain at least five names. Either the Principal or the President of the Faculty Association may, by notice in writing to the other party, remove from the list of arbitrators the name of any arbitrator not then engaged in an arbitration under these regulations.
2. When the Principal receives a request for arbitration the President of the Faculty Association shall be informed in writing, and they shall jointly inform the first listed arbitrator that arbitration services are required. They shall also consult the appointee to arrange a mutually convenient date for a hearing as early as possible.
3. On the coming into force of these regulations the Principal and the President of the ��˴�Ƭ Faculty Association, or their nominees, shall jointly select an examiner residing in the Kingston area to examine all letters of reference that may be used as evidence pursuant to an appeal under this part, in order to be satisfied with respect to their authenticity and to delete the name of, and any other identifying references to, the author, unless the author has expressly consented to be identified. They shall jointly select a successor to the examiner as the need arises.
4. Parties may be represented by counsel.
5. Each party may summon not more than three expert witnesses to give evidence about the quality of academic work of the appointee. An arbitrator shall refuse to hear the testimony of any expert witness who has not freely consented to appear and give evidence without the threat of subpoena.
6. In an appeal against non-renewal, an appointee is entitled to examine all documents listed in clauses 10 and 13 of Part V of these regulations, and to present any of them as evidence before the arbitrator, provided that the University shall first submit all letters of reference to the examiner in sub-clause c) above, to remove the name of the author and all identifying references, unless the author has expressly consented to be identified.
7. The University may present any of the documents referred to in sub-clause f) above, as evidence before the arbitrator, subject to the same conditions.
8. In an appeal against refusal to grant tenure, an appointee is entitled to examine all documents listed in clause 8 (reasons for delay of tenure review) as well as those incorporated by clauses 17 and 20 of Part VI of these regulations, subject to the same conditions as set out in sub-clause f) above.
9. The University may present any of the documents referred to in sub-clause h) above, as evidence before the arbitrator, subject to the same conditions.
10. An arbitrator in arriving at an award may consider any evidence submitted under clause 6 of Part VI of these regulations, concerning a request to delay tenure consideration.
11. Whether or not a request for delay under clause 6 of Part VI was made, an arbitrator may award a year's delay and extension if deemed fit.
12. An arbitrator may confirm the decision of the University.
13. If concluding that the decision of the University is wrong in any material respect, the arbitrator may:
  1. send the decision back for reconsideration with such guidance and instructions as deemed fit;
  2. grant such extension of the appointment as deemed necessary to avoid prejudice to the appointee;
  3. substitute a decision on the merits, if the decision of the University is found to be clearly wrong and the evidence is sufficiently clear;
  4. award the appointee a sum in compensation;
  5. order the University to publish a correction or clarifying statement, or any part or the whole of the reasons for the award in the Queen's Gazette;
  6. award any other relief deemed fair and equitable.
14. The University shall in all cases pay the fees of the arbitrator and all incidental costs related to holding the hearing.
15. If the arbitrator confirms the decision of the University, each party shall ordinarily be left to pay its own costs. However, if the arbitrator concludes that, apart from the fact of an adverse decision, the University has conducted itself so as to give the appointee fair and reasonable cause to appeal, costs may be awarded to the appointee. If the arbitrator concludes that the appeal was frivolous and vexatious, costs may be awarded to the University.
16. If the arbitrator makes an award that reduces the adverse decision of the University in any material respect, costs shall be awarded to the appointee.
17. Costs referred to in sub-clause o) and p) of this clause mean a maximum of $300 legal fees per day of hearing and $200 legal fees per day of preparation, plus reasonable disbursements for expenses. If the parties cannot agree on the amount of an award of costs, the arbitrator shall tax the amount on written application of either party.

IX. Review of Performance

Preamble

A department head is responsible, among other things, for the continuing satisfactory performance of the department's teaching and research duties. In the normal course of the academic year, in allocating resources and recommending salary increases, the performance of faculty members and the needs of the department shall be reviewed. The usual adjustments made by heads will be sufficient in the great majority of cases to encourage members to contribute their appropriate share to the work of the department. However, in a few cases heads may find it necessary to bring to the attention of appointees that their performance is less than satisfactory. The approach may vary from an oral discussion with the appointee all the way to a clear reflection of dissatisfaction in terms of salary.

In the rare extreme case, a head may receive complaints from students or colleagues, or may have personal knowledge, of persistent failure to carry out duties satisfactorily over a fairly long period of time. In such a case, the normal channels will ordinarily have failed. Nevertheless, the head may consider that the performance of the appointee is so seriously deficient that if it continues it would constitute adequate cause for dismissal. In these circumstances, the head may want to provide the appointee with a reasonable opportunity to improve his or her performance rather than commence dismissal proceedings at that time. Accordingly, the head may choose to proceed in the manner set out below.

Regulations

If a department head is satisfied that an appointee has persistently failed to carry out his or her duties over an extended period of time, the head shall assemble in writing information -- whether complaints received from students, colleagues or personal knowledge -- and summarize this information together with the reasons for believing that there has been a significant failure by the appointee to meet his or her obligations. This information shall be presented to the dean of the faculty and the matter discussed.
If the dean and department head agree that the appointee must be informed of the serious nature of his or her failure and the need for improvement, they shall present and discuss the information with the Principal.
If the Principal agrees, the head shall inform the appointee in writing of the nature of the complaints and the basis for making them. The head shall set out what improvements are expected from the appointee in overcoming the failure in performance and a time period, not less than one year, for that improvement. The head shall also state that at the end of the time period the appointee's performance will be reviewed. The head shall invite the appointee to meet to discuss the decision if the appointee so desires.
The head shall review the appointee's performance according to the terms of the written notice in clause 3 above, and shall discuss the matter with the appointee before completing the assessment. If, in the head's opinion, the appointee has not made satisfactory progress, the head will again consult with the dean and Principal, so that the Principal may decide whether to proceed with a further period for improvement and review or to refer the matter to an Advisory Review Committee, as set out below. The head shall inform the appointee in writing of the nature of any continuing dissatisfaction with his or her performance and the basis for it. The appointee shall be invited to meet with the head to discuss the decision if the appointee so desires.
On the coming into force of these regulations, the Senate shall select a list of six tenured faculty members at ��˴�Ƭ who agree to serve, one each from the faculties or groups of: Applied Science; Arts and Science; Business; Education; Health Sciences; Law. The Senate shall also select six alternates on the same basis. The Senate Nominating Committee shall review the list annually and from time to time upon any person resigning or becoming unavailable to serve, and shall propose replacements for selection by Senate as required.
If on the advice of a department head and dean pursuant to clause 4 above, the Principal believes that an appointee's performance, after the review period, is sufficiently unsatisfactory to raise seriously a question of dismissal for cause, the matter may be referred to an Advisory Review Committee to advise on whether in its opinion dismissal proceedings ought to be pursued. The Committee shall be composed of three members selected from the list in clause 5 above. The Principal shall give written notice to the chair of the Senate Nominating Committee, who shall arrange to draw by lot three names from the list in clause 5 above, excluding the name of the person in the same faculty or group as the appointee under review. In the event that a person whose name is drawn is unable or unwilling to serve, an alternate shall be selected. If the alternate is unable or unwilling to serve, then another name shall be drawn. The person whose name is first drawn shall chair the proceedings of the Advisory Review Committee.
Since the committee is a review committee and only advisory to the Principal, it shall have only a limited role with a minimum of formal requirements. It shall review all the written information presented by the head and dean to the Principal. The appointee shall receive copies of all information referred to the committee. He or she may submit written replies within 30 days of receiving all the information. One copy shall be sent to the person chairing the committee and one to the department head.
The appointee may request an opportunity to make oral argument, and the head may request an opportunity to make an oral response, but there shall be no presentation of witnesses or oral testimony. The committee shall determine the time and place and a reasonable time limit for such an argument. Either party may be assisted or represented by an academic or professional adviser.
After considering the written submission and oral argument, the committee shall advise the Principal in writing whether in its opinion dismissal proceedings ought to be brought, whether there should be a further review period or some lesser reprimand, or whether no action should be taken. The committee may also give its opinion about any other aspect of the referral it thinks helpful, including the merits of complaints against the appointee. A copy of the committee's written advice shall be sent to the appointee.
If the committee advises that there should be a further review period and the advice is accepted by the Principal, in the event of continuing dissatisfaction with performance at the end of the review period, the matter may be referred to a second Advisory Review Committee, pursuant to clauses 6 to 9 inclusive above.
A decision by the Principal to refer a matter to an Advisory Review Committee, the proceedings of the committee and its written opinion shall not be subject to appeal or grievance. If the Principal informs an appointee in writing of the intention to act on a recommendation for dismissal, the regulations governing Dismissal for Cause under Part X shall apply. An appointee shall have all ordinary rights of grievance against other decisions under this Part.
The information received by the committee and its written advice to the Principal may be introduced in any subsequent dismissal proceedings by either party. Otherwise the information and advice shall be confidential unless the appointee consents to disclosure or wishes to disclose any material portion.

X. Dismissal for Cause

An appointee, as defined in any of the clauses of Part 1 of these regulations, may be dismissed for adequate cause.
In any proceedings under this Part, any party may be assisted or represented by an academic or professional adviser.
Adequate cause includes persistent failure to carry out duties, refusal to carry out reasonable assignments, or gross misconduct that unfits a person to continue as a member of the faculty. Gross misconduct does not include free inquiry, discussion, exercise of judgement or honest criticism of matters whether inside or outside the University, or any combination of these activities. Cases of failure to carry out reasonable duties because of physical or emotional disability ought, where circumstances permit, to be treated separately from dismissal cases.
If satisfied that there is adequate cause to justify recommending that an appointee be dismissed, the department head shall assemble in writing, information, whether complaints received from others or derived from personal knowledge, and summarize this information together with reasons for believing there is adequate cause; and shall present and discuss this information with the dean of the Faculty.
If the dean and department head agree on taking any action, less than recommending dismissal, they shall inform the Principal. With the Principal's consent, the head shall inform the appointee in writing of the decision and the reasons for it. The head shall offer the appointee an appointment to discuss the decision if the appointee so desires.
If the dean and department head, or either of them are satisfied that the recommendation for dismissal should proceed, they shall so inform, and discuss the matter fully with the Principal.
If the Principal agrees, the appointee shall be informed in writing of the Principal's intention to act on the recommendation for dismissal, and the reasons for it. The Principal's discretion may be used to relieve the appointee of his or her duties until the case has been resolved.
Within one week of receiving the recommendation for dismissal from the Principal, an appointee may request a meeting with the head to discuss the recommendation. The head shall make every effort to arrange a meeting within one week of receiving the request but, in any event, the meeting shall be held within two weeks.
If the appointee remains dissatisfied with the recommendation, within two weeks of the meeting, or of receiving the recommendation, if a meeting is not requested, he or she may deliver to the head a request for arbitration.
If the appointee does not deliver a request for arbitration under clause 9 above, the Principal shall confirm the recommendation and notify the appointee of his or her dismissal in writing pursuant to the terms of the recommendation. The dismissal shall be binding on the appointee and not subject to arbitration under these regulations.
The Arbitrations Act shall govern the procedures to be followed pursuant to a request under clause 9 above, subject to the following terms:
1. The University shall inform the appointee in writing of all the charges against him or her in sufficient detail to enable a defence to be prepared.
2. Clause 5(a) of Part VIII of these regulations shall apply to the selection of an arbitrator under this Part.
3. When the Principal receives a request for arbitration, the President of the Faculty Association shall be informed, in writing, and they shall jointly inform the first listed arbitrator that arbitration services are required. They shall also consult the appointee to arrange a mutually convenient date for a hearing as early as possible.
4. Parties may be represented by counsel.
5. An arbitrator may confirm the decision of the University.
6. If an arbitrator concludes that the decision of the University is wrong in any material respect, the Arbitrator may:
  1. order that the appointee not be dismissed;
  2. order that the appointee be returned to his or her duties;
  3. substitute suspension for a specified time instead of dismissal;
  4. award the appointee a sum of compensation;
  5. order the University to publish a correction or clarifying statement, or any part or the whole of the reasons for the award in the Queen's Gazette;
  6. award any other relief deemed fair and equitable.
7. The University shall in all cases pay the fees of the arbitrator and all incidental costs related to holding the hearing.
8. If the arbitrator confirms the decision of the University, ordinarily each party shall be left to pay its own costs. However, if the arbitrator concludes that, apart from the fact of an adverse decision, the University has conducted itself so as to give the appointee fair and reasonable cause to appeal, costs may be awarded to the appointee. If the arbitrator concludes that the appeal was frivolous and vexatious, costs may be awarded to the University.
9. If the arbitrator makes an award that reduces the adverse decision of the University in any material respect, costs shall be awarded to the appointee.
10. Costs referred to in sub-clauses h) and i) of this clause mean a maximum of $300 legal fees per day of hearing and $200 legal fees per day of preparation, plus reasonable disbursements for expenses. If the parties cannot agree on the amount of an award of costs, the arbitrator shall tax the amount on written application of either party.
An appointee shall be entitled to his or her full salary up to the date on which the dismissal notice from the Principal or the decision of the arbitrator, as the case may be, is communicated to the appointee.

XI. General

In keeping with general university policy, all personnel information is confidential. Accordingly, all persons who participate in the appointment, renewal or tenure process are under a duty to keep all information and deliberations confidential. Responsibility for confidentiality is always a serious matter, and it is especially important during the time when an appointee is being considered for renewal or tenure. All decisions on renewal and tenure shall be communicated to an appointee, only by the Principal.
After an appointee has received an adverse decision, he or she may make inquiries of any person who has participated in the process. Apart from the obligation of the department head to hold a meeting under clause 3 of Part VIII above, such persons are free to respond to such inquiries or to refrain from responding, as they see fit.
An appointee may require that all proceedings during the course of an appeal shall remain confidential. If the appointee does not expressly require that the proceedings remain confidential, any hearing before an arbitrator will be open to members of the university community.
An arbitrator's award and the reasons for it shall be made available to the public.
In all procedures under these regulations the University shall make every effort to complete each stage at the date set out. Should delay result at any stage or should any stage be rendered ineffective for any reason other than the fault of the appointee, the University shall give the appointee the full time allocated for his or her responses under the regulations, shall make every effort to recover lost time and to relieve the appointee from any harm caused by such delay.

B. Transitional Provisions for Term Appointees

Preamble

At the time of the adoption of the Regulations Governing Appointment, Renewal of Appointment, Tenure and Termination for Academic Staff, there are substantial numbers of teaching staff at Queen's who have been appointed with term appointments. The Statement on Academic Freedom and Tenure of 1969 does not recognize the status of term appointee, nor do these appointments exactly match a category in the new regulations. It follows that these appointments could not have been made taking into account the relevant provisions of the new scheme of hiring, renewal and tenure, nor the consequences of making term appointments and, in particular, renewal of these appointments.

Classifying Existing Term Appointments

Existing term appointments are too numerous for each one to be treated as an individual case outside the Statement on Academic Freedom and Tenure or the Regulations Governing Appointment, Renewal of Appointment, Tenure and Termination for Academic Staff. Although considerable flexibility should be retained in dealing with these appointments, especially in cases where transitional rules may work unfairly, there is need for a general transitional scheme to classify appointees in order to treat like cases in a like manner.

Eligibility for Consideration for Tenure

Term appointees who have received at least one contract renewal and who will have completed a number of years of service equivalent to, or greater than, the number required under the Regulations Governing Appointment, Renewal of Appointment, Tenure and Termination for Academic Staff should be eligible to be considered for tenure. (Excluded from this class would be any person now serving under a contract that is a terminal or non-renewable contract.) All appointees in this class, with contracts that might otherwise expire at the end of the current academic year, should have them extended for the 1979-80 academic year in order to receive consideration for tenure. In addition, all appointees whose renewed appointments will, subsequent to 1978-79, lead to a number of years of service, equivalent to, or greater than, the number required in the Regulations Governing Appointment, Renewal of Appointment, Tenure and Termination for Academic Staff, should also be eligible to be considered for tenure in the appropriate year. The reasoning is that, although these appointees have not been considered for renewal as provided in the Regulations Governing Appointment, Renewal of Appointment, Tenure and Termination for Academic Staff, they have, after substantial service to their departments, been assessed and considered satisfactory for re-appointment. Departments with the option to terminate have chosen instead to rehire, and in these circumstances appointees should receive consideration for tenure.

Term appointees who have received renewals, but whose total years of service (for example, an initial contract for two years with a two year renewal) amount to less than the number of years needed to be eligible to be considered for tenure, should be entitled to consideration for a further renewal according to the terms of the Regulations Governing Appointment, Renewal of Appointment, Tenure and Termination for Academic Staff, including the presumption in their favour: they have already received a renewal, even if for a shorter time than required for tenure consideration. A renewal, if granted, should be for no less duration than will make the appointee eligible to be considered for tenure and not longer than is needed to give the appointee reasonable time to prepare to meet the requirements for tenure.

Term appointees who are under their first contract should be governed by the terms of their present contracts: those responsible for making these initial appointments will not have had in mind the significance of a renewable appointment at the time the offer was made. Thus, if a contract made no mention of renewal, the appointee will receive no additional rights under these transitional provisions, in the event of non-renewal. However, if the appointee receives a renewal it should generally be permitted only on terms that bring the appointee within the new system of appointments. There may be special circumstances that require extraordinary arrangements. Such special arrangements should be reported to, and monitored by, the Senate Committee.

Term appointees whose renewed appointment extends beyond six years in total, are eligible to be considered for tenure in any year from the sixth year to the final year of their term appointment. They will be considered for tenure in a year earlier than the final year, only upon written request. Upon being considered for tenure, they acquire all rights and benefits under Part VI of the Regulations Governing Appointment, Renewal of Appointment, Tenure and Termination for Academic Staff, including the ordinary benefit of a terminal appointment under clause 25, but relinquishes any remaining time under their term appointment.

C. Regulations Concerning Financial Exigency

Preamble

In the event of financial exigency, the University may find it necessary to take extraordinary measures to preserve itself. Included among extraordinary measures could be a reduction in teaching staff through termination of employment of teachers, among both those on contractually limited appointments and tenured staff.

Regulations

Before any extraordinary measures may be undertaken by the University, either procedure A or B shall be followed:

Procedure A (Part I):

The Principal may give notice to the university community that in his or her opinion the University is about to enter, or has entered, a period of extreme financial exigency.
The Principal shall call a special meeting of the Senate at which the nature and extent of the crisis shall be described and sufficient written financial information be made available to explain the University's difficulties.
After a full discussion of the Principal's report, the Senate shall proceed to elect from among its members eight persons to serve on an ad hoc Joint Committee of the Board of Trustees and Senate on Financial Exigency. Of the eight members at least two shall be student senators and four elected faculty senators. (Because of the importance of the committee, the Senate may wish to adjourn for a time in order to permit senators to consult with colleagues who may be willing to serve on it.)

Procedure B (Part I):

Two or more members of Senate may give notice of motion that in their opinion the University is about to enter, or has entered, a period of extreme financial exigency.
They shall request the Principal to call a special meeting of Senate at which they shall describe the nature and extent of the crisis and make available in written form the information upon which they have based their opinion.
They shall move a motion requiring the University to adopt the procedures for selecting an ad hoc committee as described in clause 3 of Procedure A above. If, after a full discussion, this motion is passed, the procedures in clause 3 of Procedure A, above, and the remainder of these regulations shall be followed.

Procedures A and B (Part II):

The Principal shall consult with the Board of Trustees, so that it may elect its members to serve on the joint committee as quickly as possible. The Board shall elect not more than eight members, but in the interest of keeping down the total size of the committee it may elect fewer.
The Principal shall chair the committee.
The committee shall consider the submissions to the Senate and Senate minutes and the nature and extent of the financial crisis, and shall make such further examination of the problems, including holding open meetings, as it deems fit. In addition, it shall receive briefs from those persons or groups in the university community who wish to make their views known. The committee shall recommend measures to deal with the crisis.
If the recommendations include measures requiring action by the Senate, the committee shall prepare a report for the Senate, setting out the problems and alternatives, the reasons for recommending a particular course of action, specific motions to be considered by the Senate, and explanations of how such motions are expected to be implemented.
Any measures requiring termination or change in conditions of employment of academic staff because of financial exigency shall be brought before Senate for approval and recommendation to the Board of Trustees.
If the committee recommends measures that do not require action by the Senate (but only by university officers and/or the Board of Trustees) it shall report to the Senate in the manner set out in 7. above, except that no motion will be proposed.

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