Table of Contents 1. PURPOSE 2. ELIGIBILITY 3. TRAINING, DEVELOPMENT, AND EDUCATIONAL OPPORTUNITIES 4. RECRUITMENT
7. DISCIPLINARY ACTION INCLUDING DISMISSAL FROM EMPLOYMENT
10. RESIGNATION/RETIREMENT/RE-EMPLOYMENT
11. INTERPRETATION Appendix A Appendix B Appendix C
This Policy is designed to ensure that uniform standards and consistent employment practices are applied throughout the university (UW) and to encourage maximum opportunity for promotion or lateral transfer of staff. It also protects the legal interests of both UW and its staff when entering into employment agreements. The Policy articulates the line organization’s responsibilities with respect to employment practices and the extent of participation of the Human Resources department (HR). With respect to the day-to-day administration of this Policy, HR serves in an advisory capacity only. It is expected to make the line organization and the appropriate head aware of decisions which appear to be contrary to the spirit of this Policy. Administration of this Policy is the responsibility of the line organization. If the application of one or more provisions of this Policy would produce a result which is contrary to the spirit of this Policy, then HR may bring a request for a waiver of such provision(s) to the Staff Relations Committee. This Policy applies to regular full- and part-time staff (ref: Policy 54, Definition of Staff) who have completed their probationary periods (see section 5); that is:
3. TRAINING, DEVELOPMENT, AND EDUCATIONAL OPPORTUNITIES UW is committed to life-long learning and recognizes the important role training and development plays in ensuring staff have the knowledge required to take on the complex responsibilities the evolving workplace demands. Staff members are entitled to up to 30 hours of training annually for personal and professional development. Supervisors are expected to encourage staff to use the 30 hours offered. Training in excess of 30 hours per annum is subject to approval by the appropriate supervisor, which may be withheld in the supervisor’s reasonable discretion. Staff members are encouraged to take courses offered by the Department of Organizational & Human Development (OHD). Supervisors will partner with staff in the pursuit of personal and professional development opportunities beyond those offered by OHD, provided that if there is an additional cost associated with such opportunities, the supervisor may, but is not obliged to, pay such additional costs. The university encourages staff to undertake educational programs on a part-time basis by providing an education benefit (see Policy 4, Benefits to Faculty and Staff Undertaking Part-time Educational Programs and Policy 39, Leaves of Absence for Staff Members). To ensure operational demands of the department/school can be met, supervisor approval is required for time away. Academic excellence, the cornerstone of UW’s mission, is achieved by the commitment of the UW community to the highest quality teaching, scholarship and services that support the academic enterprise. That commitment underlies hiring and promotion decisions, and criteria for performance evaluation. Consistent with its mission, UW strives to recruit the best staff possible within the context of budget, academic support requirements and priorities such as employment equity. The Vice-President, Academic & Provost may direct that controls on hiring be implemented. UW is committed to maximizing opportunities for advancement and new challenges for staff. Supervisors will encourage growth and development of staff (see section 3) and encourage them to apply for positions for which they appear to be qualified, including in other departments/schools. Staff have internal status which ensures that job competitions are restricted to internal applicants until such time as it is determined no qualified “internal” candidate exists and/or the conditions of section 4c, conditions under which advertising will occur apply. Note: For purposes of this Policy, “internal” refers to staff or positions internal to the university (not the department/school); “external” refers to outside the university. a. Approval b. Qualifications A category of position, referred to as “career path,” is designed to reflect increased knowledge, problem solving and accountability over an extended period of time. They are advertised at various classification levels to provide flexibility in recruiting individuals at differing levels of skill and knowledge (e.g., USG 10-12). Advertising will occur under the following conditions:
With the exception noted in i above, vacancies will be advertised by HR through print and/or electronic media. If there are potential candidates within the department/school, it may be appropriate to note this in the advertisement. In exceptional situations, the Staff Relations Committee may waive advertising requirements at the request of HR. d. Selection Process
a. Condition of Employment b. Performance Assessment In some cases, it may be appropriate to extend a staff member’s probationary period to continue to assess performance. Extensions must be discussed with HR and will not normally be for more than two months for positions below USG 6 and six months for positions at and above USG 6. An extension may not last longer than the original length of probation. When it appears necessary to terminate a staff member during probation, HR must be consulted before such action is taken.
Staff in the University Support Group will have their performance formally reviewed annually (see Policy 5, section f). The goal of performance evaluation is to provide confidential, constructive feedback to staff members regarding their performance in relation to the requirements of their job description. The process serves to identify areas of success, areas that need improvement which have been raised over the past year, opportunities for job enhancement, training and further development and a discussion of the working environment. Managers must meet personally with employees to discuss the content of the evaluation. The information conveyed in performance evaluations should be a confirmation of feedback discussed with staff members on a regular basis throughout the previous performance year, and supported by specific examples. Managers who anticipate issuing a performance rating of 2.5 or lower must advise their immediate manager and must consult their Staff Relations Coordinator in HR to discuss appropriate action and next steps prior to meeting with the staff member. A warning (oral or written) must have been provided to the employee prior to receiving a rating of 2.0 or lower in a performance evaluation (see section 7c below for details). It should be noted that a staff member’s signature on the performance evaluation indicates they have met with their manager, and received and reviewed the performance evaluation with their manager. Staff members are welcome to make comments, provide feedback and/or commentary on the past performance year on the evaluation. If a staff member disagrees with the content of their performance evaluation, they may provide their view in writing to their manager with a copy to HR as a permanent attachment to their evaluation. Training is available for all managers through OHD regarding the appropriate performance evaluation process. Training is mandatory for every new manager, meaning a manager who is new to the University of Waterloo or an existing staff member who is new to the position of manager at the University of Waterloo. The line organization is responsible for ensuring that each new manager attends training within the first three months of becoming a manager or before he or she writes his or her first performance evaluations, whichever comes first. For the purposes of this section 6, the word “manager” means any staff member who is required to write a performance evaluation for another employee. 7. DISCIPLINARY ACTION INCLUDING DISMISSAL FROM EMPLOYMENT In all but exceptional circumstances, supervisors must discuss, within a reasonable amount of time, the concern(s) with the staff member prior to initiating disciplinary action. Supervisors must be cautious about handling third-party reports of problem situations and must conduct first-hand investigation to ensure that the information received is not hearsay, gossip, or rumour; allegations must be discussed with the staff member to give her/him a chance to respond. b. Progressive Discipline Progressive discipline follows a prescribed path, progressing to the next level only if the previous step proved ineffective. One or more stages of this progressive discipline model may be bypassed under exceptional circumstances such as proven dishonesty, physical assault, serious insubordination, or other actions which could be considered ‘cause.’ In all but exceptional circumstances, these stages are:
For the following stages, documentation (file copies) must be sent to HR for inclusion in the staff member’s File (see Appendix C).
At each stage of progressive discipline, the supervisor must draw to the staff member’s attention the various on-campus supports available, such as the Employee Assistance Program (EAP), Counselling Services, HR, and the Conflict Management & Human Rights Office. At every stage of disciplinary action, the staff member must be provided with an opportunity to respond, acknowledge the concern(s), seek guidance, or offer a dissenting viewpoint. c. Stages of Disciplinary Action A written warning is given in a letter addressed to the staff member being disciplined, indicating the area(s) of concern, and confirming any prior informal discussions and oral warnings. A written warning should be issued at the time of the incident or the culmination of unacceptable performance. The written warning should outline the specific issues of concern along with action steps to assist the employee in improving the performance issues, a time line for demonstrated improvement, and contain a statement (as noted in 7b above) re the support services available. A copy of this written warning must be addressed to the appropriate Staff Relations Coordinator, where it becomes part of the staff member’s File. The staff member must be informed of the distribution of all written warnings. A response or dissenting view. The staff member has the right to append a response or a dissenting view. The appropriate Staff Relations Coordinator will send a copy to the supervisor who issued the warning letter. The format and distribution must follow the same guidelines as those of the original written warning. A second written warning. Supervisors may issue a second written warning which also becomes part of the File, or, in some cases, may suspend or demote the staff member after consultation with the appropriate Staff Relations Coordinator, if oral and written warnings have failed to improve performance. The length of suspension is determined by the circumstances. Staff have a general right to view their own File. UW will also to the fullest extent possible, protect against disclosure of such information to a third party, except with the written consent of the person concerned. Hiring supervisors have the right to know that a prospective candidate for a position has a warning letter on file, as well as any dissenting view. This information will be provided to a hiring supervisor only if s/he chooses to interview the prospective candidate. HR will, at the hiring supervisor’s request, convey the general nature of the warning letter and the candidate’s dissenting view. Alternatively, the prospective candidate may request that full access to the warning letter and dissenting view be provided to the hiring supervisor. The chair of a panel interview shall be deemed the hiring supervisor for purposes of this paragraph. The disciplinary letter and any associated appendices or submissions will become null and void and no longer be considered as part of the File provided the staff member has not received any subsequent disciplinary letter in the 24-month period following its issue (see Appendix C). The staff member may request the removal of the documents from the File and departmental file after the 24-month period has elapsed. In cases where progressive disciplinary efforts have failed, dismissal may be the next step in the process. In all cases where dismissal is being considered, the supervisor must consult the appropriate Staff Relations Coordinator before any action can be taken and the Staff Relations Coordinator must be present when the dismissal is communicated to the staff member. 8. ORGANIZATIONAL CHANGE (For eligibility, refer to section 2.) UW may, from time to time, be required to consider organizational change due to the introduction of new technology, departmental redesign, or financial considerations. The purpose of reorganization could be to rearrange or redistribute job duties to deliver more efficient services or to create, eliminate or modify existing position duties in order to make more effective use of resources, with no loss of employment. When change is expected, supervisors will provide affected staff with a paper copy of this section of the Policy and encourage them to seek advice/support from HR and/or the Staff Association. Because staff members’ knowledge of their work units and their ideas for achieving efficiency or cost reduction are important considerations in planning change, organizational change normally should be preceded by open internal consultation with affected staff members. A re-organization could also result in the elimination of a particular unit, service or position. When a staff member is affected by either of the above outcomes of re-organization, the following principles, protocols and processes apply. a. Principles Wherever possible, managers are to share as much information as they can to explain their decisions and actions. b. Protocols for Organizational Change - No Loss of Employment Redistribution of Job Duties. When organizational change results in redistribution of job duties, job descriptions reflecting the change in duties must be written and reviewed by the appropriate Staff Relations Coordinator to ensure proper job classification; when necessary, training and time for assimilation of new duties will be provided. Reassignment of Job Function. In some instances, organizational change may best be accommodated by the reassignment of a particular job function to another unit within UW. When this is proposed and includes the relocation of a staff member to another unit, the Staff Relations Committee, coincident with the Executive Council, will review such situations prior to implementation. c. Process for Organizational Change - Loss of Employment Review of staff release includes: Human Resources – Provides advice and due diligence; vets process; is the main support, guide and assistant to unit heads in the process. Staff Relations Committee – No action on organizational change that results in loss of employment can be taken until it is reviewed by SRC. SRC does not approve a reorganization plan, but will provide counsel and advice; ensures compliance with the process and that staff interests are well represented; investigates process; makes certain that all information germane to the decision is shared and open for scrutiny before any action regarding implementation is taken. Staff Association – Provides confidential resources and assistance to affected staff. Approval of staff release includes: Unit head/management – Unit heads considering organizational changes that result in loss of employment must review their plans in detail with HR who will provide advice on legal requirements and process. Unit heads have final departmental say in the decision and are responsible for due process. Unit heads are encouraged to find reasonable alternate employment within their own departments/schools in cases where a unit’s reorganization results in loss of employment for staff members. Before implementation, plans must be approved by the appropriate Dean, Associate Provost, Vice-President, the Secretary of the University or the President. Appropriate Dean, Associate Provost, Vice-President, the Secretary of the University or the President – Responsible to review and approve decisions and process. Vice President, Academic & Provost – Gives final approval to the decision. Service Credit Provision. When there is more than one position with the same job description in the designated unit, and when one of these positions is to be eliminated, the position eliminated will be that held by the most junior incumbent in terms of continuous regular UW service. Staffing Priorities. Wherever feasible, funds for temporary full- or part-time staffing will be reduced before an ongoing, regular full- or part-time staff member is released or transferred to a position at a lower salary level. Notice of Termination. The head will meet with the staff member to inform her/him of the reasons for termination. A representative from HR will attend these meetings to provide advice and guidance regarding policy and process as required. The staff member will receive written notification of termination from the head, copied to HR to be included in her/his File, outlining notice entitlement, as provided for in Appendix B, and severance pay entitlement, as defined under the Employment Standards Act. The notice period begins with the date of the letter of termination (and includes time worked under the Working Notice provision). Pay in Lieu of Notice. UW will provide the staff member with pay in lieu of notice, based on the staff member’s salary at the time of termination multiplied by the number of months notice entitlement (see Appendix B). In addition to this lump-sum payment, a staff member may be entitled to severance pay, as defined under the Employment Standards Act, as well as pay for outstanding vacation credits earned as of the date of termination. In all cases, pay in lieu of notice will be based on the notice entitlement less any period of working notice. Working Notice. A staff member will normally have the option of leaving immediately or working up to one month of the notice entitlement period. Heads may request an immediate termination date, but only with the approval of the Vice-President, Academic & Provost. Participation in pension, insured and vacation benefits must continue on the normal cost-sharing basis for the statutory notice period required under the Employment Standards Act. Retention of Internal Status. The staff member will be eligible to apply for positions in UW. The period of eligibility, which commences with the date of the letter of termination, is notice entitlement (as outlined in Appendix B) plus six additional months. For example, a staff member with 12 years of continuous UW service would retain internal status for 13 months; a staff member with 22 or more years of continuous service would retain internal status for 18 months. Re-employment. Staff members who are successful in attaining another regular full- or part-time UW position during their notice entitlement are required to repay UW the balance of the pay in lieu of notice received, but are not required to repay any of the severance payment received under the provisions of the Employment Standards Act. Staff members will retain all former service credit if rehired within 12 months from the termination date or within the internal status period if longer. In such cases, section 5a of this Policy applies. Relocation Assistance. HR can provide information and referral to external agencies for staff members who wish to pursue such a service. The cost of this external service would be borne by the staff member. In addition, personal support is available through the university’s network of community support services including, Employee Assistance Program (EAP), Counselling Services and HR. Reinstatement. A staff member whose position has been eliminated as a result of organizational change will be offered her/his former position back should it be re-established within 12 months from the date of notice of termination. Reduction in Working Hours. When organizational change results in a reduction in the hours worked of a position, the reduction will be treated according to the principles identified in this section. Note: If a staff member is injured at work, UW is subject to the regulations of the Workplace Safety & Insurance Act. [Note: Special provisions apply to staff who are approved for LTD; please see Income Continuance Programs for On-going Employees available on HR’s website for further details or contact HR.] The position of a staff member on long-term disability (LTD) is normally kept open for one year from the first day absent. After that period, the position may be filled. If the position of a staff member on LTD is eliminated due to organizational change, and the staff member is able to return to work within the one-year period, all of the provisions of section 8c apply. c. Employment After Retirement If HR and the line organization disagree on the interpretation of any part of this Policy, either party may request the Staff Relations Committee make a determination on the appropriate interpretation.
Procedures for the Consideration of Internal Applicants for Positions A. Staff members who wish to apply for an advertised position within UW should contact HR. It is the staff member’s responsibility to provide HR with a current resume. B. The supervisor of the hiring department/school will be advised of all staff members applying for the position. The list of applicants who meet the advertised core qualifications for the position will be determined by HR in consultation with the hiring supervisor. C. Applicants who do not meet the advertised core qualifications for the position will be notified by HR. An explanation will be given to all applicants not selected as to why they do not meet the advertised core qualifications. D. Normally, all qualified applicants will be identified and interviewed initially by HR or directly by a hiring committee. In cases where it is not feasible to interview all qualified applicants (number of qualified applicants may preclude doing so), HR in consultation with the hiring supervisor will develop a short list of applicants who best meet the advertised core qualifications to interview. E. To be considered qualified, a candidate must meet all of the advertised core qualifications (i.e., those qualifications essential to the position). Candidates not deemed qualified (e.g., may have three of the four core qualifications) but who may have other assets relevant to the position may be added to the short list at the discretion of the hiring supervisor. Candidates will be informed that, although they are being referred, they do not meet the advertised core qualifications. Supervisors are not obligated to offer positions to candidates in this latter category. Candidates not deemed qualified may be considered with any qualified external candidates and, in such cases, will be so informed by HR. F. The hiring supervisor, in consultation with HR, will choose the best applicant taking into consideration such factors as qualifications, length of service and the interview. After reference checks have been completed, HR will make the offer of employment. When the position is filled, HR will immediately advise all final applicants of the name of the successful candidate. G. The date on which the successful candidate will assume the new position is determined by the current and hiring supervisor, in consultation with HR. In the interest of all parties, the start date should not be unduly delayed. Note: It is the responsibility of both HR and the hiring department/school to complete this process in a timely manner. Applicants who are unsure of their status or are anxious to know how matters are progressing are encouraged to enquire at HR.
Notice Entitlement Notice will be based on a minimum of one month for each of the first two completed years of continuous service plus one-half month for each complete year of service beyond the second full year, to a maximum of twelve months.
Staff with less than one complete year of service will be given notice per the Employment Standards Act. Staff members with five years or more University service will be eligible for severance pay as defined under the provisions of the Employment Standards Act.
Appendix C UW shall maintain an Employment File, hereinafter referred to as the File, for each regular staff member. Located in and maintained by HR, the File is a collection of documents relevant to the staff member’s employment at UW. Staff members have access to their own File in accordance with this Policy to verify the accuracy of the contents, request removal of items, and add explanatory comments and materials. Staff members may challenge, under Policy 36, the inclusion of any item in the File (see section 7c). The material in the File will be the primary resource used in decisions respecting the employment of regular staff members of the University of Waterloo. The File may include:
The File may not include:
Notes:
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