Part 6

Part 6

Article 58 — Discipline

 

58.1 The University supports the principle of progressive discipline and will make its best efforts to bring conduct, which could be the subject of disciplinary proceedings, to the attention of a Member in a manner that will assist the Member to correct her or his conduct; and provide a reasonable time for the Member to correct the conduct in question.

Personnel File and Official Performance File

58.2 Where a written record of non-disciplinary oral discussion or any letter of expectations exists, it must be placed in a Member’s Personnel File held in the unit if it is to be referenced in formal disciplinary proceedings. Documentation referenced in a written record will be placed in the Member’s Personnel File held in the unit.

58.3 Any record of disciplinary action will be removed, or is deemed to have been removed, from a Member’s Personnel File two years from the date of the document, provided there has been no further disciplinary action.

58.4 A Member’s Official Performance File must not contain material or documentation arising from the application of this section but such material may be used for the purposes, and within the limits, set out in section 58.6.

Disciplinary Processes and Evaluation of Members

58.5 Disciplinary processes must be kept distinct from academic assessments such as those used in the processes of reappointment, tenure, removal of probationary status, promotion and evaluation for biennial salary adjustments.

58.6 The fact that a disciplinary action has been imposed under sections 58.27 – 58.38 cannot be considered in the assessment of a Member with regard to reappointment, tenure, removal of probationary status, promotion and evaluation for annual salary adjustments. However, the Chair, Dean, supervising Librarian (in the case of a Librarian) or University Librarian may determine that the evidence that supported the imposition of the disciplinary action may be taken into account if:

58.6.1 The evidence is directly relevant to the evaluation criteria under section 19 for teaching performance and for scholarly and professional achievement;

58.6.2 The disciplinary action took place within the period for which the Member is being reviewed;

58.6.3 In accordance with sections 26 and 34, the Member is given written notice of the information that it is proposed be taken into account, with sufficient details to enable the Member to prepare a response; and

58.6.4 The Member is given the opportunity to present evidence by way of response, rebuttal or mitigation before the final assessment is made.

58.7 Where evidence is considered as provided for in section 58.6, the assessment made must include a written statement of the weight that such evidence was given in the assessment and the effect that it had on the outcome. A copy of this statement must be given to the Member.

58.8 Where evidence is considered as provided for in section 58.6, that evidence must not form part of the Member’s Official Performance File.

University to Provide Information

58.9 The University agrees to provide at the earliest possible opportunity all reasonable information the Association requires to fulfill its role in representing its Members in disciplinary investigations and in processing grievances that might arise from such investigations, unless prohibited by law.

Oral Discussion

58.10 Where an issue is raised with respect to a Member’s conduct, unless it represents serious misconduct, the first step will be an oral discussion between the Member and the Member’s Chair, Dean, supervising Librarian (in the case of a Librarian) or University Librarian, who will keep a note of the fact that the discussion took place. Where the issue has not occurred in the context of the Member’s duties within the Department, the Chair or supervising Librarian may request that the discussion be conducted by the Dean or the University Librarian. A record of the oral discussion will be entered in the Member’s Personnel File held in the unit, and a copy of the note, together with a written statement that these documents will be placed in the Personnel File, must be sent to the Member.

58.11 An oral discussion, including the making and retention of a note of that discussion, under section 58.10 is not a disciplinary action and may not be made the subject of a grievance under this Agreement.

58.12 A Member has the right to place a written response to the oral discussion on their personnel file.

58.13 Any note of an oral discussion or response to an oral discussion on a personnel file will be removed, or deemed to be removed, after three years unless the conduct has been repeated during that period and further action under this section has been taken.

Letter of Expectations

58.14 Where conduct of a Member continues after an oral discussion under section 58.9, unless the conduct represents serious misconduct, the next step will be a letter of expectations to the Member from the Member’s Chair, Dean, supervising Librarian (in the case of a Librarian) or University Librarian that specifies actions the Member should take to correct the conduct.

58.15 A letter of expectations is not a disciplinary action and may not be made the subject of a grievance under this Agreement. A copy of the letter will be placed in the Member’s Personnel File held in the unit. The Chair, Dean, supervising Librarian (in the case of a Librarian) or University Librarian will notify the Member in writing that the letter will be placed in the Personnel File.

58.16 A Member has the right to place a written response to the letter of expectations on their Personnel File.

58.17 Any note of an oral discussion or response to a letter of expectations on a Personnel File will be removed, or deemed to be removed, after three years unless the conduct has been repeated and further action under this section has been taken.

Investigation Leading to a Decision

58.18 Where the President, Vice-President Academic and Provost, or the Member’s Dean or the University Librarian (hereafter the “Administrator”) is satisfied that there may be concerns of inappropriate Member conduct, the Administrator may undertake a preliminary review of the case for the purpose of determining whether an investigation is warranted. Such an exercise will be carried out in a discreet and timely fashion. This preliminary review is not an investigation, and the Administrator will take all reasonable steps to minimize the impact on the Member’s duties and working environment.

58.19 Provided the Administrator concludes that there are reasonable grounds to believe that a situation exists that may lead to disciplinary action against the Member, the University will undertake an investigation. An investigation conducted under this section does not constitute a disciplinary action and is not grievable under this Agreement.

58.20 Any investigation will normally be initiated within 20 working days of the date the University knew, or ought reasonably to have known, of an occurrence of the conduct or the event giving rise to potential disciplinary action. Where the investigation is not initiated within that time period, the University must give a written explanation for the delay to the Member and to the Association.

58.21 Where the University decides to initiate an investigation, the Administrator will, as soon as practicable, send a notice in writing to the Member, with a copy to the Association, identifying the nature of the conduct or event that is being investigated and informing the Member that disciplinary action is being considered. The Administrator may delay notifying the Member only if the Administrator has reasonable grounds to believe that disclosure of the investigation will produce a significant risk of harm to another person or that it will jeopardize the investigation; however, the Member and the Association will, in any event, be notified not later than five working days from the commencement of the investigation and will be provided with a written explanation of the reason for any delay in notification.

58.22 The notice will schedule a meeting between the Administrator and the Member to discuss the matter and to give the Member the opportunity to respond to the allegations. This meeting will normally be held within two working days, and will not be held later than five working days from the Member’s receipt of the notice. The notice will specify the right of the Member to be accompanied to the meeting by a representative of the Association. The Administrator may have a representative of their choice attend the meeting.

58.23 The notice may contain notification to the Member from the President placing the Member on a mandatory leave with pay pending the outcome of the investigation where it appears to the President that the allegations are of gross misconduct or are such that the mental or physical health or safety of other members of the University community are at risk. This mandatory leave is not disciplinary and is not grievable under this Agreement. The maximum period of this mandatory leave is 20 working days. The notice must state the date on which the leave commences and on which it will end and provide an explanation of the reasons for the mandatory leave with pay.

58.24 The intent of the meeting or meetings under this section is to facilitate a full disclosure by both the University and the Member so that the matter can be dealt with at the earliest stage possible and so that the matter can, if possible, be resolved.

58.25 After the meeting or meetings with the Member and after such further discussions as the Administrator considers necessary, and normally within 60 working days after the investigation was initiated, the Administrator will determine what disciplinary action in accordance with sections 58.27 – 58.38, if any, is warranted and will send to the Member a notice in writing, with a copy to the Association, of her or his decision. The Administrator will also send to the Member a copy of any report or reports arising from the investigatory process, unless prohibited by law.

58.26 If the Administrator notifies the Member that in their opinion disciplinary action is warranted, the Member may require a final meeting with the Administrator to respond to the decision. The Member must deliver notice of this meeting, in person or by email to the Administrator with a copy to the Association within two working days from the Member’s receipt of the notice imposing or recommending discipline. The Member must be accompanied to this meeting by a representative of the Association. The Administrator is entitled to have a representative of their choice attend the meeting.

Disciplinary Action

58.27 Disciplinary action may be taken against a Member only for just and sufficient cause and only in accordance with the provisions of this section:

58.27.1 disciplinary action will be commensurate with the nature of the Member’s conduct and must only follow after an investigation under sections 58.18 – 58.26;

58.27.2 in any meeting attended by a Member who is subject to the provisions of this section, the Member must be accompanied by a representative of the Association; and

58.27.3 the processes regarding disciplinary action included in this section will, subject to the provisions of sections 58.6 and 58.8, be kept distinct from academic assessments such as those used for purposes of reappointment, tenure, removal of probationary status, promotion, or evaluation for annual salary adjustments.

58.28 Where the Administrator determines that the conduct of a Member warrants discipline, the Administrator may take whichever of the following actions is deemed appropriate in the circumstances:

58.28.1 issue a written letter of reprimand;

58.28.2 recommend to the President that the Member be suspended with or without pay for a
specified period or until the occurrence of a specified event; or

58.28.3 recommend to the President that the Member be dismissed.

58.29 Nothing in this section precludes the right of a Member to appeal a disciplinary suspension to the Board of Governors pursuant to the University Act.

58.30 All types of disciplinary action are grievable by the Association and may be sent to arbitration under section 59. A grievance relating to a recommendation for dismissal for just cause or for suspension by the President may be grieved but the grievance will be sent directly to arbitration. In the event that a grievance is to be sent directly to arbitration, the Association and the Administration will meet on at least one occasion to attempt to resolve the issue after the Association has decided to grieve the action.

58.31 The University will provide the Association with any correspondence communicating discipline to a Member.

Letter of Reprimand

58.32 A letter of reprimand must be clearly identified as a disciplinary measure and must contain a clear statement of the reasons for issuing the reprimand and a statement of the actions that the Member should take to correct the conduct. The letter of reprimand will be placed in the Member’s Personnel File held in the unit, with a copy placed in the Member’s Personnel File held in the Office of the Vice-President Academic and Provost. After two years elapse, a letter of reprimand will be removed, or deemed to have been removed, in accordance with section 21.

Suspension

58.33 Suspension empowers the University to relieve a Member of all University duties and to remove some or all of the Member’s privileges without the Member’s consent.

58.34 A suspension takes effect immediately upon the decision of the President to suspend.

58.35 When the University suspends a Member with or without pay, the University will send written notice containing the dates of commencement and termination of the suspension together with a written statement of reasons to the Member either by:

58.35.1 delivering the notice to the Member personally; or

58.35.2 delivering the notice to the Member by courier or by receipted registered mail addressed to the Member’s last known address; and

58.35.3 at the same time the University will send a copy of the Member’s notice of suspension to the Association.

Dismissal for Just Cause

58.36 Dismissal for just cause occurs when an appointment or employment of a Member is terminated without the Member’s consent prior to the Member’s retirement. Layoff under section 65 or section 66 does not constitute dismissal for cause. Non-renewal of definite term or probationary appointments and denial of tenure do not constitute dismissal for cause.

58.37 Just cause for dismissal includes, but is not limited to:

58.37.1 with regard to teaching, library service, academic or administrative duties or responsibilities, or scholarly and professional activities:

58.37.1.1 persistent refusal or neglect to perform assigned duties and responsibilities without reasonable justification; or

58.37.1.2 serious and willful misconduct in the performance of assigned duties and responsibilities or in the performance of scholarly and professional activities; or

58.37.2 with regard to conduct not connected with assigned duties and responsibilities:

58.37.2.1 a serious breach of the criminal law resulting in a conviction for an indictable offence; or

58.37.2.2 violent behaviour or threats of violence against a member of the University community; or

58.37.2.3 where professional standing (license, certification, registration) is an expressed condition of employment, removal of or failure to maintain such professional standing.

58.38 Where the Administrator is satisfied that there is just cause to justify a recommendation to the Board of Governors that the Member be dismissed and the President confirms this decision, the President will send a notice of intention to recommend dismissal to the Member with a copy to the Association. Before proceeding with dismissal, the President will provide the Member with a period of five working days within which to tender a written resignation before the President proceeds with dismissal unless such delay is reasonably likely to cause harm to others.

58.39 Where the just cause for dismissal is gross incompetence in the performance of duties and responsibilities, or persistent refusal or neglect to perform duties and responsibilities without reasonable justification, the President will not initiate the dismissal of a Member in accordance with section 58.37 until after the steps of progressive discipline have been exhausted.

 

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Article 59 — Dispute Resolution and Grievance

 

Informal Resolution

59.1 Nothing in this Agreement prevents the Parties from using informal means to settle disputes. This may include an agreement to mediate or to use any other alternate dispute resolution method on which the Parties agree.

59.2 Members are encouraged to bring any disputes over the application or interpretation of this Agreement to their Chair, Dean or the University Librarian in a timely way. The Member may have a representative of the Association present at any discussion about a dispute that could result in a grievance. The Chair, Dean or University Librarian may also request another member of the administration to attend the meeting.

Filing a Grievance

59.3 No formal grievance may be submitted until a meeting in person has been held between the appropriate administrator and the complainant unless the President of the Association advises the Vice-President Academic and Provost otherwise.

59.4 If informal resolution fails, the Association may submit a formal written grievance. The Association must submit any grievance by written notice from the Association to the Vice-President Academic and Provost, copied to the Associate Vice-President Faculty Relations and Academic Administration.

59.5 A grievance is a claim by the Association arising from a dispute with the University respecting the interpretation, application, operation or alleged violation of this Agreement, including a question as to whether a matter is arbitrable.

59.6 A grievance must contain a brief written statement of the facts, a reference to the breach or inappropriate application or violation of the Agreement or applicable legislation, and a statement of the remedy sought.

59.7 The Association may submit a formal grievance on a matter of policy where the Association and the University disagree about the application or interpretation of this Agreement.

University Grievance

59.8 Nothing in this section or Agreement limits the right of the University to initiate a grievance and refer the matter to arbitration in accordance with s. 84 of the Labour Relations Code.

Timelines

59.9 A grievance must be submitted within 60 working days of the incident or from when the Association should reasonably have been aware that the incident occurred unless the President of the Association and the Vice-President Academic and Provost agree to extend the deadline for a specified period to provide more opportunity for informal resolution.

59.10 Notwithstanding section 59.9, a grievance of a suspension without pay or a grievance of a dismissal for just cause must be submitted within 20 working days of the Association’s receipt of notice of the decision of the President.

59.11 Except for grievances submitted in accordance with section 59.7 or as otherwise provided in this Agreement, the Vice-President Academic and Provost and the President of the Association will each designate a representative who will meet within 15 working days of the submission of the grievance to discuss the problem and try to resolve it.

59.12 If the representatives fail to reach a solution within 10 working days of their first meeting, or if the representatives fail to meet within 15 working days, then either the Association or the University may refer the matter to arbitration.

59.13 All dates and timelines in this section may be altered or waived by written agreement of the Parties.

Expedited Arbitration Process

59.14 The Parties may agree to an expedited process. One or more grievances may be referred to a single mediator-arbitrator for the purpose of resolving the issues expeditiously.

59.15 In the event that an expedited process is selected, the mediator-arbitrator will be appointed by agreement of the Parties and will begin proceedings on a date agreed to by the Parties. The mediator-arbitrator will assist the Parties to settle the dispute or, failing that, to agree on a joint statement of facts.

59.16 If within 10 working days of beginning expedited procedures, the Parties have not settled the grievance, the mediator-arbitrator must determine the grievance by arbitration in accordance with an efficient process set by the mediator-arbitrator. The mediator-arbitrator may limit the submissions of the Parties to written statements. The mediator-arbitrator will give a succinct decision within 15 working days of the end of the arbitration phase of proceedings.

59.17 The mediator-arbitrator’s decision will not set a precedent for the Parties unless agreed otherwise.

Regular Arbitration Process

59.18 Unless the Parties agree to an expedited arbitration, when the grievance procedures have been exhausted as stipulated under section 59.12 and one of the Parties refers the matter to arbitration, that Party will advise the other Party in writing of its decision to submit the grievance. Except as provided for in section 59.23, the grievance will be referred to a sole arbitrator.

59.19 The Parties will appoint an arbitrator by agreement. If they cannot agree, the Collective Agreement Arbitration Bureau of the province will be asked to make the appointment.

59.20 At least 20 working days before the scheduled date for the arbitration, the Parties must exchange complete particulars of their cases, including production of all documents in their possession that are relevant to the issues, the names of witnesses and a summary of expected testimony of each witness.

59.21 The Parties may agree to submit a joint statement of facts.

59.22 The arbitrator may call a pre-hearing conference on the request of either Party or on the arbitrator’s motion to settle the questions to be answered in the arbitration, to obtain admissions or agreed statements of facts or to resolve any other issues prior to the hearing.

Academic Arbitration Process

59.23 Any grievance by the Association that challenges the decision of the President or, in case of a Librarian, the Vice-President Academic and Provost in a case of denial of promotion, tenure, reappointment, grant of continuing appointment or removal of probation will be referred to an arbitrator, selected by the Parties under the provisions of section 59.19, and two academic advisors, selected in accordance with section 59.24.

59.24 The President of the Association and the Vice-President Academic and Provost will each select an advisor who currently holds a faculty or Librarian appointment at the University of Victoria and who will sit with the arbitrator to provide information and context with respect to the academic standards to be applied and the normal processes of the University.

59.25 The advisors will not be voting members of the panel, but will attend all meetings between the arbitrator and the Parties and will also attend the hearing. The arbitrator will not meet individually with either advisor and should the arbitrator have any questions, the arbitrator will ask the same questions of both advisors.

Arbitration Hearing

59.26 The Parties to any arbitration will be the University and the Association as represented by the Vice-President Academic and Provost and the President of the Association or their designates.

59.27 Any hearing will be held in private. The grievor, the designated representatives of the Association, the University and their counsel or other advisors are entitled to attend the hearing.

59.28 Each Party has the right to present evidence and make arguments to the arbitrator. Where oral evidence is heard, the Parties have the right to cross-examination of the other’s witnesses.

59.29 The arbitrator may decide to admit evidence, whether or not included in the Parties’ pre-hearing disclosure, as the arbitrator thinks fit.

59.30 Each Party will bear the costs of its own fees and expenses and the Parties will share equally the fees and expenses of the arbitrator.

59.31 The decision of the arbitrator is final and binding on the Parties. Unless unusual circumstances exist, the arbitrator will submit the decision to the Parties within 30 working days of the final day of the hearing.

59.32 Where the grievance involves a matter of discipline or a matter referred to in section 59.23, the arbitrator may dispose of the grievance in any way the arbitrator determines is just and reasonable, subject to the provisions of the University Act.

59.33 Either party may ask the arbitrator to clarify the decision. A request to clarify must be in writing, copied to the other Party and made within 20 working days of receiving the decision. The arbitrator must answer the request in writing with copies to both Parties within 15 working days of receiving the request.

 

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Article 60 — Conflict of Commitment (External Professional Activities)

 

60.1 External professional activity includes:

60.1.1 employment in any capacity by another employer;

60.1.2 consulting;

60.1.3 personal services contracts;

60.1.4 private practice of the Member’s profession; and

60.1.5 self-employment.

60.2 External professional activity, whether paid or unpaid, does not include:

60.2.1 serving as an external referee, examiner or reviewer for another academic institution;

60.2.2 editing an academic or professional journal related to the Member’s academic discipline;

60.2.3 serving as a peer reviewer for a granting agency or publisher; and

60.2.4 serving in leadership positions in professional associations, and as a member of community associations or boards.

60.3 Members have the right to engage in external professional activity provided that such activity does not conflict with their normal University duties and responsibilities.

60.4 A conflict does not exist when a Member fulfills the duties and responsibilities required by the category of the Member’s appointment and as defined in the Standard of the Member’s Academic Unit or the Libraries as described in sections 27.15, 27.16, and 27.26.

60.5 Members may use the University’s resources or facilities for external professional activities in accordance with this Agreement provided such activities do not incur incremental costs or interfere with the use of University resources or facilities for the purposes of the University.

60.6 Members will have the right to state the nature and place of their employment, rank and title in connection with external professional activity and to use their University address as a mailing address so long as it is clear that they do not represent the University or speak on behalf of the University unless expressly authorized to do so.

60.7 If a Member plans to undertake an external professional activity that has the potential to conflict with some aspect of the Member’s duties and responsibilities, the Member must forward a request for approval to the Member’s Chair or University Librarian to undertake the activity in accordance with the steps set out below. The request for approval will be in writing and will include:

60.7.1 a description of the external professional activity;

60.7.2 the anticipated time commitment for the external activity;

60.7.3 the extent, if any, of the use of University facilities, supplies, support staff or students; and

60.7.4 an estimate of the impact that the external professional activity will have on the Member’s University responsibilities.

60.8 The Member’s Chair will forward the Member’s request to the Member’s Dean together with the Chair’s recommendation.

60.9 In making a decision to approve or reject such application, the Dean or University Librarian will consider whether or not the Member will be able to fulfill their University duties and responsibilities and may impose conditions on the approval.

60.10 For all Members with a full-time appointment (1.0 FTE), a description of the nature and scope of all external professional activity which taken together involves a commitment of the Member’s time in excess of a half working day per week will be included in an annual report submitted to the Member’s Chair with a copy to the Member’s Dean or to the University Librarian. All information in such reports is confidential.

 

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Article 61 — Conflict of Interest and Reasonable Apprehension of Bias

 

61.1 For the purposes of this section:

61.1.1 “Immediate family member” means a spouse, partner, child or sibling;

61.1.2 “Next level of authority” means: for a Faculty Member, the Chair; for a Chair, the Dean; and for a Librarian, the University Librarian;

61.1.3 “Person” includes a corporation where the Member is an officer or director or owns a controlling interest in the corporation;

61.1.4 “Reasonable apprehension of bias” has the meaning described in section 61.23; and

61.1.5 “Research activity” means a Member’s research, professional, and creative activity as described in the evaluation policy of the Faculty or Libraries in which the Member holds an appointment.

61.2 This section applies to the following activities:

61.2.1 the participation of Members and others in any recommendation or decision or the process leading to such a recommendation or decision to which this Agreement applies;

61.2.2 the participation of Members in matters pertaining to the financial or property interests of the University;

61.2.3 the use of confidential information acquired by a Member in the course of their employment at the University that is personal information with regard to other employees of the University or information that was intended to remain confidential to the University;

61.2.4 the participation of Members in research activity, including the submission of applications for research funding from any granting agency; and

61.2.5 the participation of Members in any entities controlled by the University.

61.3 Conflicts of interest are real, perceived or potential situations in which an impartial observer might reasonably question whether actions or decisions taken by the Member on behalf of the University are influenced by considerations of private interest. In the research context, a conflict of interest includes a situation where financial or other personal considerations may compromise, or have the appearance of compromising, an investigator’s professional judgment in conducting or reporting research.

61.4 A conflict of interest does not arise where Members participate in negotiations with regard to salary, benefits or terms of employment on behalf of the Association, themselves or other Members; or the interest of the Member and any benefit to the Member is only as part of the advancement of the interests of the Member’s Academic Unit or the University as a whole.

Obligation to Disclose

61.5 At the time a Member is required for salary adjustment evaluation in the Member’s unit to submit material related to the past two years’ activities, the Member must also submit a statement to their next level of authority identifying any real or potential conflict of interest that might reasonably affect the Member’s activities that fall within the scope of this section. This statement (the “Disclosure Statement”) will be contained in a separate document, be filed in the Member’s Personnel File in the unit, and will, except as required by this section, be kept confidential.

61.6 At the time of applying for any research funding, a Member must include with the material submitted for the application to Research Services a certification that the Member has submitted a Disclosure Statement within the past 12 months and that there have been no material changes after that time or that, immediately before or concurrent with the application, the Member has submitted a Disclosure Statement to his or her next level of authority. This certification must be signed by both the Member and their next level of authority.

61.7 A Member who becomes aware that the Member has an actual or potential conflict of interest not disclosed in a Disclosure Statement submitted in the past year must, as soon as is practical, take steps to deal with the conflict appropriately. These steps include:

61.7.1 Where the conflict involves an internal University process and is not of an ongoing nature, the Member discloses the conflict to an appropriate person and withdraws from the process as required in section 61.13;

61.7.2 Where the conflict is of an ongoing nature, arises in the context of research, or constitutes a material change in the matters disclosed in the Member’s last Disclosure Statement, the Member discloses the conflict to their next level of authority and submits an amended Disclosure Statement.

Allegation of Conflict of Interest

61.8 Where any person alleges in a signed statement that a Member’s participation in any activity to which this section applies gives rise to a conflict of interest, the allegation must be reported in writing to the next level of authority who will forward a copy of the signed allegation to the person alleged to have a conflict of interest with an invitation to submit a response. Questions of conflict of interest or reasonable apprehension of bias that pertain to processes for evaluations of a Member and are raised by the candidate are covered by sections 26.14, 31.12 – 31.16, 33.6 – 33.8, and 41.8 and not by these provisions.

Determination of Whether a Conflict of Interest Exists and Resolution of Conflict

61.9 Where an actual or potential conflict of interest has been disclosed or reported to the next level of authority, the latter will determine whether a conflict of interest exists and appropriate measures to deal with that conflict of interest, including whether the conflict of interest prevents the Member from carrying out the activity giving rise to the conflict or whether it can be carried out with appropriate safeguards.

61.10 In determining the appropriate measures to deal with a conflict of interest, the person to whom the disclosure was made will consider any relevant factors, including, but not limited to:

61.10.1 any possible harm to the University or its employees, officers or others acting on its behalf if the conflict is allowed;

61.10.2 any possible harm to the interest of students, clients of University services or others served by the University, if the conflict is allowed;

61.10.3 whether reasonable alternative arrangements are possible which do not create a conflict
of interest or whether conditions may be imposed that would eliminate the conflict of interest;

61.10.4 the consequences to the University, its reputation and future activities if the conflict of interest is or is not allowed;

61.10.5 the educational, research, economic and other interest of the University;

61.10.6 the degree to which the conflict, where arising in the context of research, might compromise the researcher’s professional judgment in conducting or reporting research; and

61.10.7 the rights and interests of the Member.

61.11 The factors to be considered under section 61.10 must be interpreted in light of the guarantee of academic freedom provided to Members in section 4.

61.12 In determining the appropriate measures to deal with a conflict of interest, the person to whom the disclosure was made may request from the Member additional information that relates directly to and is necessary to assess and decide the issue; consult with others before making a decision; and impose terms and conditions as part of a decision allowing a Member to continue to participate in decisions or research in which a conflict of interest may be relevant.

61.13 Where the next level of authority has made a determination that a conflict of interest exists and the appropriate measures for dealing with it, they will notify the Member in writing and will include any terms and conditions that the Member must follow. If the Member disputes the decision, the Member may appeal the matter to the next level of review, in the normal order (Chair’s decision to Dean; Dean’s decision to Vice-President Academic and Provost; University Librarian’s decision to Vice-President Academic and Provost). The final decision rests with the Vice-President Academic and Provost, but nothing in this section limits the rights of the Faculty Association to exercise its rights under section 59 of this Agreement.

Where a Conflict of Interest Exists

61.14 Where a person has a conflict of interest that affects a decision in which they would have participated, that person will refrain from participating in making any recommendation or decision that directly and preferentially benefits their personal, financial or professional interest, or the personal, financial or professional interest of an immediate family member or of an individual with whom the person has or has recently had a personal, intimate relationship. Refraining from participation means withdrawing from all or any portion of a meeting where the subject matter of the conflict will be discussed.

61.15 Without limiting the generality of the foregoing, unless specifically authorized by the Vice-President Academic and Provost or designate, after full written disclosure of the conflict, a person will not with University funds or with funds administered by the University knowingly authorize the purchase of equipment, supplies, services or real property from a source with which the person, or a member of the person’s immediate family or of an individual with whom the person has or has recently had a personal, intimate relationship, has a material financial interest; or employ or otherwise engage, using University funds or funds administered by the University, an individual who is a member of the person’s immediate family or with whom the person has or has recently had a personal, intimate relationship.

61.16 When a Member has been informed of a decision under section 61.13 that prohibits the Member from carrying out a particular activity to which this section applies or that imposes restrictions on that activity, the Member must abide by that decision unless and until the decision is altered on appeal.

61.17 Failure to disclose a material conflict of interest or to abide by the provisions of this section may result in proceedings against a Member under the Policy on Scholarly Integrity and, in accordance with the requirements of any granting agency, require the Vice-President Research, or designate, to notify the agency of the situation.

61.18 Conflicts of interest with regard to the relationships between students and Members are defined in Appendix “E” to this Agreement.

61.19 Members will not accept additional remuneration for tutoring a student enrolled in the University where such tutoring relates to the student’s course or program at the University.

Protection of Members

61.20 A Member who, in good faith, follows the procedures set out in this section and participates in any activity to which this section applies after receiving approval from the Member’s next level of authority, or on any appeal, and carries out those activities in accordance with any plan for managing any conflict of interest decided upon, will be deemed not to be acting in a conflict of interest.

Reporting

61.21 At the time a Chair makes recommendations for merit, the Chair will forward to the next level of authority an aggregated summary of all actual or potential conflicts of interest disclosed by Faculty Members for the year, how many were resolved by the Member’s abstention from participation in any activity to which this section applies and how many were resolved by establishing a protocol for managing the conflict.

61.22 To the extent permitted by law, except as necessary for reporting as required in this section or for reasonable consultation in making or appealing a decision on the existence or continuation of, or on the conditions for managing a conflict of interest, information in any Disclosure Statement will be kept confidential.

Reasonable Apprehension of Bias

61.23 A Member who has an apprehension that a person who is a member of a University committee or a participant in a decision making process concerning the Member (other than the processes set out in sections 26.14, 31.12 – 31.16, 33.6 – 33.8, and 41.8) is either biased or has prejudged the issue to be determined may request, in writing, that the Dean or University Librarian, as appropriate, determine whether the Member’s apprehension constitutes a reasonable apprehension of bias. Where questions of bias are addressed in the section articulating the decision-making process, the provisions of that section apply.

61.24 A reasonable apprehension of bias exists when a reasonable person, who is informed of the facts upon which the apprehension is based and without any knowledge of the character of the individuals other than their past or present relationship, would conclude that the Member’s apprehension is a reasonable apprehension founded on facts. A determination that there is a reasonable apprehension of bias does not mean that the person is in fact biased.

61.25 Where the Dean or University Librarian receives a written request for a determination of whether there is a reasonable apprehension of bias, the Dean or University Librarian will forward a copy of the request to the person about whom the apprehension exists and invite that person to submit a response.

61.26 Where a written allegation of apprehension of bias has been made to the Dean or University Librarian, the Dean or University Librarian will determine whether there is a reasonable apprehension of bias as defined by this section.

61.27 Where the Dean or University Librarian determines that a reasonable apprehension of bias exists, the person with regard to whom such apprehension exists will refrain from further participation in the making of any recommendation or decision or participating in the process leading to a recommendation or decision concerning the applicant or candidate. Refraining from participation means withdrawing from all or any portion of a meeting where the applicant or candidate will be discussed.

61.28 The Dean’s or University Librarian’s determination of bias will be in effect for three years, unless at the expiry of this period, and upon the application of a Member, the Dean or University Librarian confirms that the apprehension of bias continues to exist. Where the apprehension of bias is found to be continuing, the determination of bias will be in effect for three additional years.

 

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Article 62 — Discrimination and Harassment Policies and Procedures

 

62.1 The Association and the University recognize the right of Members to work in a work environment free from discrimination and harassment.

62.2 The University’s Discrimination and Harassment Policy and Procedures (GV0205) is accessible to all members of the University Community and the Equity and Human Rights Office is available to all Members in the bargaining unit. Nothing in the Discrimination and Harassment Policy and Procedures bars Members from claiming their rights under other procedures whether available at law or under this Agreement.

62.3 The Association and the University agree to the following guidelines in the event of a harassment complaint affecting any Member in the bargaining unit:

62.3.1 Complaints of harassment will normally be first dealt with, in the strictest confidence permissible under the law, as an informal complaint under the University Discrimination and Harassment Policy or through any other procedures acceptable to all parties. Participation in such informal processes will be without prejudice to all parties and will not prejudice the right of the Association to invoke the grievance procedure. The Equity and Human Rights Office will inform a Member that Association representation is available at the informal stage of the complaint process.

62.3.2 Where a Member wishes to pursue a complaint of discrimination or harassment beyond the informal stage of the Discrimination and Harassment Policy, the Equity and Human Rights Office will notify the Association of the complaint in confidence. The Association may process the complaint as a formal grievance under section 59 of this Agreement, in which case the complainant and the Association will agree to abandon pursuing the complaint under any other University policy, including the Discrimination and Harassment Policy and Procedures.

62.3.3 Where a Member chooses to submit a complaint of discrimination or harassment directly to the formal stage of the Discrimination and Harassment Policy, the Equity and Human Rights Office will notify the Association of the complaint in confidence. The Association and the Member will have the option to elect instead to pursue the matter under the grievance procedure, but this election must occur no later than 15 working days after the Association receives notice of the existence of a complaint. The Member will be represented by the Association if the Member elects to proceed with a complaint to the completion of the formal stage under the Discrimination and Harassment Policy.

62.3.4 The Parties agree that the matter may not be formally pursued through the Discrimination and Harassment Policy if the grievance process has been initiated, and nor will the complaint be grieved once the Member has elected to pursue the matter through the formal complaint procedure in the Discrimination and Harassment Policy, subject to section 62.3.3.

62.3.5 Where a Member is a respondent to a complaint of discrimination or harassment beyond the informal stage of either the Discrimination and Harassment Policy or another collective agreement, the Association will be advised in confidence of the existence of a complaint affecting the respondent, and the respondent will be referred to the Association for representation throughout any proceedings.

 

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