HUMAN RESOURCES POLICIES

TABLE OF CONTENTS

Introduction _____________________________________________________________________________ 8
Section A - Staffing _______________________________________________________________________ 9
A.2. Staffing Options and Process _________________________________________________________________ 9
A.2.1 - Preamble _______________________________________________________________________________________ 9
A.2.3 - Staffing Options _________________________________________________________________________________ 10
A.2.4 - Staffing Process _________________________________________________________________________________ 10
A.3. Recruitment ______________________________________________________________________________ 11
A.3.1 - Application Procedures ___________________________________________________________________________ 11
A.3.2 - External Search _________________________________________________________________________________ 11
A.3.3 - Interview Expenses ______________________________________________________________________________ 11
A.4. Selection Procedures _______________________________________________________________________ 12
A.4.1 - General Information ______________________________________________________________________________ 12
A.4.2 - Priority Candidates _______________________________________________________________________________ 12
A.4.3 - Documenting a Staffing Decision ___________________________________________________________________ 12
A.4.4 - Notification of Staffing Decision ____________________________________________________________________ 12
A.4.5 - Conflict of Interest _______________________________________________________________________________ 12
A.4.6 - Employee Orientation ____________________________________________________________________________ 13
A.4.7 - Documentation __________________________________________________________________________________ 13
A.4.8 - Relocation Expenses _____________________________________________________________________________ 14
A.5. Types of Appointments / Assignments _________________________________________________________ 15
A.5.1 - Continuing Appointment __________________________________________________________________________ 15
A.5.2. Term Appointment _______________________________________________________________________________ 15
A.5.3 - Replacement Appointment ________________________________________________________________________ 15
A.5.4 - Temporary Appointment __________________________________________________________________________ 16
A.5.5 - Acting Assignment _______________________________________________________________________________ 17
A.5.6 - Career Development Assignment____________________________________________________________________ 18
A.6.1 Definition of Full-Time Status_______________________________________________________________ 18
A.7.1 Definition of Part-Time Status ______________________________________________________________ 18
A.8. Starting Salary ____________________________________________________________________________ 18
A.8.1 - Current Employees - Promotion_____________________________________________________________________ 18
A.8.2 - New Employees with Continuing / Term Appointments __________________________________________________ 18
A.8.3 - Temporary / Replacement Employees ________________________________________________________________ 19
A.9. Starting Dates _____________________________________________________________________________ 19
A.9.1 - University Employees ____________________________________________________________________________ 19
A.10.1. Training Period _________________________________________________________________________ 19
A.11.1 - Probationary Period ____________________________________________________________________ 19
A.12.1. Staff Identification Cards _________________________________________________________________ 20
A.13. Transfers ________________________________________________________________________________ 20
A.13.1 - Transfer Policy _________________________________________________________________________________ 20
A.13.2 - Salary Implications Resulting from Transfers _________________________________________________________ 21
A.14.1. Reduced-Time Appointments _____________________________________________________________ 22

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A.15. Employee Files ___________________________________________________________________________ 23

A.15.1- Preamble ______________________________________________________________________________________ 23
A.15.2 - Access to Human Resources Files __________________________________________________________________ 23
A.15.3 - Confidentiality ________________________________________________________________________________ 23
A.16. Termination of Employment ________________________________________________________________ 24
A.16.1 - Preamble _____________________________________________________________________________________ 24
A16.2 - Notice of Termination for Term, Replacement or Temporary Employees ____________________________________ 24
A.16.3 - Resignation ___________________________________________________________________________________ 25
A.16.4 - Exit Interview__________________________________________________________________________________ 25
A.16.5 - Abandonment __________________________________________________________________________________ 26
A.16.6 - Termination for Reasons of Performance ____________________________________________________________ 26
A.16.7 - Performance Reviews - During a Probationary Period __________________________________________________ 26
A.16.8 - Performance Reviews - Post-Probationary Period ______________________________________________________ 26
A.16.9 - Dismissal for Wilful Misconduct ___________________________________________________________________ 27
A.16.10 - Relocation for Reasons of Redundancy _____________________________________________________________ 27
A.16.11- Lay-Off ______________________________________________________________________________________ 28
A.16.12 - Retirement ___________________________________________________________________________________ 29
A.16.13 - Death in Service _______________________________________________________________________________ 30
A.17. Guidelines for Initiating and Implementing Organizational Change _______________________________ 31
A.17.1 - Preamble _____________________________________________________________________________________ 31
A.17.2 - Procedural / Policy Factors _______________________________________________________________________ 31
A.17.3 - Types of Organizational Change ___________________________________________________________________ 31
A.17.4 - University Policies and Contractual Requirements _____________________________________________________ 32
A.17.5 -Human Resources Assistance ______________________________________________________________________ 33
A.17.6 - Human Factors _________________________________________________________________________________ 34
A.17.7 - Initiating and Implementing an Organizational Change - Summary ________________________________________ 35
Section B - Compensation and Benefits ______________________________________________________ 36
B.1. Hours of Service ___________________________________________________________________________ 36
B.1.1- Policy _________________________________________________________________________________________ 36
B.1.2 - Exceptions _____________________________________________________________________________________ 36
B.1.3 - Procedures for Units ______________________________________________________________________________ 36
B.2. Hours of Work ____________________________________________________________________________ 37
B.2.1 - Hours of Work __________________________________________________________________________________ 37
B.2.2 - Flexible Hours of Work Policy _____________________________________________________________________ 37
B.2.3- Eligibility_______________________________________________________________________________________ 37
B.2.4 - Exceptions _____________________________________________________________________________________ 37
B.2.5 - Procedures _____________________________________________________________________________________ 38
B.2.6 - Compressed Work Week Policy_____________________________________________________________________ 38
B.2.7 - Eligibility ______________________________________________________________________________________ 38
B.2.8 - Procedures _____________________________________________________________________________________ 38
B.3. Changes in Work Hours ____________________________________________________________________ 39
B.3.1 - Emergency Conditions ____________________________________________________________________________ 39
B.3.2 - Cancellation of Classes ___________________________________________________________________________ 39
B.4. Overtime _________________________________________________________________________________ 40
B.4.1 - General _______________________________________________________________________________________ 40
B.4.2 - Overtime Scheduled on a Statutory Holiday ___________________________________________________________ 41
B.5. Callback__________________________________________________________________________________ 41
B.5.1 - Definition of Callback ____________________________________________________________________________ 41

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B.5.2 - Eligibility ______________________________________________________________________________________ 41

B.5.3 - Terms and Conditions ____________________________________________________________________________ 41
B.6. Reduced-Time Appointments - Benefit and Entitlement __________________________________________ 42
B.6.1 - Policy and Procedures ____________________________________________________________________________ 42
B.6.2 - Continuation of Benefits __________________________________________________________________________ 42
B.7. Part-Time Employees - Benefit Entitlement ____________________________________________________ 44
B.7.1- Part-Time Employees - Continuing Appointment ________________________________________________________ 44
B.7.2 - Part-Time Employees - Term Appointment ____________________________________________________________ 44
B.7.3 - Part-Time Employees - Replacement Appointment ______________________________________________________ 44
B.7.4 - Part-Time Employees - Temporary Appointment _______________________________________________________ 44
B.8. Leave with Pay ____________________________________________________________________________ 45
B.8.1 - Policy _________________________________________________________________________________________ 45
B.8.2 - Statutory Holidays _______________________________________________________________________________ 45
B.8.3 - Annual Leave ___________________________________________________________________________________ 46
B.8.4 - Sick Leave _____________________________________________________________________________________ 48
B.8.5 - Special Leave ___________________________________________________________________________________ 49
B.8.6 - Court Leave ____________________________________________________________________________________ 49
B.8.7 - Bereavement Leave ______________________________________________________________________________ 49
B.8.8 - Pregnancy/Parental Leave (For Natural Mothers) _______________________________________________________ 50
B.8.9 - Parental Leave (For other than Natural Mothers) ________________________________________________________ 52
B.8.10 - Elections ______________________________________________________________________________________ 53
B.8.11 - Self-Funded Leave Plan __________________________________________________________________________ 53
B.9. Leave Without Pay _________________________________________________________________________ 55
B.9.1 - Policy _________________________________________________________________________________________ 55
B.10. Workplace Safety and Insurance Act and Return to Work Program _______________________________ 56
B.10.1 - Policy ________________________________________________________________________________________ 56
B.10.2 - Definitions ____________________________________________________________________________________ 56
B.10.3 - Accommodation ________________________________________________________________________________ 56
B.10.4 - Responsibility __________________________________________________________________________________ 58
B.10.5 - Compensation __________________________________________________________________________________ 59
B.11. Benefit Plans _____________________________________________________________________________ 60
B.11.1 _______________________________________________________________________________________________ 60
B.12. Retirees _________________________________________________________________________________ 60
B.12.1 - Retirement Allowance ___________________________________________________________________________ 60
B.12.2 - Privileges for Retired Employees ___________________________________________________________________ 60
B.13. Compensation - Job Classification/Salary Administration - Admin / tech. Exempt (levels 2-12) ________ 62
B.13.1 - Policy ________________________________________________________________________________________ 62
B.13.2 - Job Classification _______________________________________________________________________________ 62
B.13.3 - Job Descriptions ________________________________________________________________________________ 62
B.13.4 - Review Procedures ______________________________________________________________________________ 63
B.13.5 - Review and Evaluation of Job Descriptions ___________________________________________________________ 64
B.13.6 - Classification Appeal Procedures - Administrative/Technical Exempt Positions ______________________________ 64
B.13.7 - Salary Administration Procedures __________________________________________________________________ 66
B.14. Compensation - Job Classification/Salary Administration - Administrative Management Group _______ 68
B.14.1 - Policy ________________________________________________________________________________________ 68
B.14.2 - Job Description_________________________________________________________________________________ 68
B.14.3 - Job Evaluation _________________________________________________________________________________ 69
B.14.4 - Job Evaluation committee ________________________________________________________________________ 69

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B.14.5 - Job Evaluation Review Process ____________________________________________________________________ 69

B.14.6 - Salary Administration ___________________________________________________________________________ 69
B.14.7 - Promotion of Reclassification to a Higher Job _________________________________________________________ 70
B.14.8 - Transfer or Reclassification to a lower Job Rate _______________________________________________________ 71
B.14.9 - Hiring of New Employees ________________________________________________________________________ 71
B.14.10 - Salaries above Maximum ________________________________________________________________________ 71
B.14.11 - Special Salary Adjustments ______________________________________________________________________ 71
B.14.12 - Payment of Salaries ____________________________________________________________________________ 72
Section C - Staff Development ______________________________________________________________ 73
C.1.1 - Preamble _______________________________________________________________________________ 73
C.2.1 Definition________________________________________________________________________________ 73
C.2.2 - Policies ________________________________________________________________________________ 74
C.3. Internal Resources _________________________________________________________________________ 75
C.3.1 - Internal Training _________________________________________________________________________________ 75
C.3.2 - Tuition Waiver for Credit Courses ___________________________________________________________________ 75
C.3.3 - Career Development Assignment ____________________________________________________________________ 76
C.3.4 - Job Exchange Program ____________________________________________________________________________ 76
C.3.5 - Career Planning and Counselling ____________________________________________________________________ 79
C.3.6 - Resume and Interview Preparation___________________________________________________________________ 79
C.4. External Resources_________________________________________________________________________ 80
C.4.1- External Training_________________________________________________________________________________ 80
C.4.2 - Career Development Funding ______________________________________________________________________ 80
C.4.3 - Leaves of Absence _______________________________________________________________________________ 81
C.4.4 - Self-Funded Leave _______________________________________________________________________________ 82
Section D - Staff Relations ________________________________________________________________ 83
D.1. Discipline _________________________________________________________________________________ 84
D.1.1 - Policy _________________________________________________________________________________________ 84
D.1.2 - Disciplinary Authority ____________________________________________________________________________ 84
D.1.3 - Guidelines for Disciplinary Action __________________________________________________________________ 84
D.1.4 - Steps of Progressive Discipline _____________________________________________________________________ 86
D.1.5 - Situations which may require discipline ______________________________________________________________ 87
D.2. Appeal Procedures for Administrative / Technical Exempt Staff ___________________________________ 88
D.2.1 - Policy _________________________________________________________________________________________ 88
D.2.2 - Terms and Conditions ____________________________________________________________________________ 88
D.2.3 - Informal Complaint Procedure ______________________________________________________________________ 89
D.2.4 - Formal Appeal Procedure _________________________________________________________________________ 89
D.2.5 - Step 1 - Dean/Director/Librarian ____________________________________________________________________ 89
D.2.6 - Step 2 - Vice-President/President____________________________________________________________________ 90
D.2.7 - Step 3 - Appeal Review Board ______________________________________________________________________ 90
D.3. Strike Policy ______________________________________________________________________________ 91
D.3.1 - Preamble ______________________________________________________________________________________ 91
D.3.2 - Lawful Strike ___________________________________________________________________________________ 91
D.3.3 - Illegal Strike ____________________________________________________________________________________ 92
D.3.4 - Communications Committee _______________________________________________________________________ 92
D.3.5 - Strike Procedures ________________________________________________________________________________ 92
D.3.6 - Roles and Responsibilities - Deans/Directors/University Librarian and Other Excluded Officers __________________ 93
D.5. Employee Assistance Program _______________________________________________________________ 93

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D.6. Carleton University Environmental Health and Safety Policy _____________________________________ 93

D.6.1 - Policy _________________________________________________________________________________________ 93
D.6.2 - Occupational Health and Safety Act _________________________________________________________________ 95
D.6.3 - Joint Occupational Health and Safety Committee _______________________________________________________ 95
D.6.4 - Procedures for Reporting a Health or Safety Problem ____________________________________________________ 95
D.6.5 - Reporting an Injury ______________________________________________________________________________ 96
D.6.6 - Radiation Safety _________________________________________________________________________________ 96
D.6.7 - First Aid _______________________________________________________________________________________ 96
D.7. Smoking in the Workplace __________________________________________________________________ 96
D.8. Personal Harassment _______________________________________________________________________ 97
D.8.1 - Definition ______________________________________________________________________________________ 97
D.8.2 - Complaint Procedure _____________________________________________________________________________ 97
D.9. Aids Policy _______________________________________________________________________________ 97
D.9.1 - Institutional Guidelines ___________________________________________________________________________ 97
D.9.2 - Testing ________________________________________________________________________________________ 97
D.9.3 - Confidentiality __________________________________________________________________________________ 98
D.9.4 - Right to Work / Attend Classes _____________________________________________________________________ 98
D.9.5 - Benefits _______________________________________________________________________________________ 98
D.9.6 - Discrimination __________________________________________________________________________________ 98
D.9.7 - Departmental Guidelines __________________________________________________________________________ 98
Section E - General _____________________________________________________________________ 100
E.1. Reimbursement of Travel and Related Expenses _______________________________________________ 100
E.1.1 - Policy ________________________________________________________________________________________ 100
E.1.2 - Travel Advances ________________________________________________________________________________ 100
E.1.3 - General Guidelines ______________________________________________________________________________ 101
E.1.4 - Transportation Expenses__________________________________________________________________________ 102
E.1.5 - Accommodation and Meal Expenses ________________________________________________________________ 102
E.1.6 - Receptions and Entertainment Expenses while travelling ________________________________________________ 103
E.1.7 - Research Funded Travel __________________________________________________________________________ 103
E.1.8 - Approvals and Responsibilities ____________________________________________________________________ 103
E.2. Confidentiality ___________________________________________________________________________ 104
E.2.1 - Policy ________________________________________________________________________________________ 104
E.2.2 - Type of information to be Kept ____________________________________________________________________ 104
E.2.3 - Release of Information ___________________________________________________________________________ 104
E.3. Conflict of Interest ________________________________________________________________________ 105
E.3.1 - Preamble ______________________________________________________________________________________ 105
E.3.2 - Policy ________________________________________________________________________________________ 105
E.3.3 - Implementation _________________________________________________________________________________ 106
E.3.4 - Definitions ____________________________________________________________________________________ 107
E.4. Guaranteed Housing Loan Plan _____________________________________________________________ 108
E.4.1 - Purpose of the Plan ______________________________________________________________________________ 108
E.4.2 - Eligibility _____________________________________________________________________________________ 108
E.4.3 - How the Plan Works _____________________________________________________________________________ 108
E.4.4 - Interest Rate and Repayment Terms _________________________________________________________________ 108
E.4.5 - Securing the Loan _______________________________________________________________________________ 109
E.4.6 - Limitations ____________________________________________________________________________________ 109
E.4.7 - Cancellation of Loan ____________________________________________________________________________ 109
E.4.8 - Legal Costs ____________________________________________________________________________________ 109

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E.4.9 - Application Procedures___________________________________________________________________________ 110

E.5. Tributes _________________________________________________________________________________ 110
E.5.1 - University _____________________________________________________________________________________ 110
E.5.2 - Individual Departments __________________________________________________________________________ 110
E.6. Card Access to Building ____________________________________________________________________ 111
E.6.1 - Policy ________________________________________________________________________________________ 111
E.6.2 - Procedures for Obtaining an Access Card ____________________________________________________________ 111
E.6.3 - Terms and Conditions____________________________________________________________________________ 111
E.7. Emergency Evacuation of Buildings and Assistance to Persons with Disabilities _____________________ 112
E.7.1 - Guidelines _____________________________________________________________________________________ 112
E.7.2 - Dunton Tower Fire Alarm and Evacuation Procedures __________________________________________________ 113
E.7.3 - Requests for Assistance __________________________________________________________________________ 113
E.8. Fire Prevention ___________________________________________________________________________ 114
E.8.1 - Policy ________________________________________________________________________________________ 114
E.8.2 - Fire Drills _____________________________________________________________________________________ 114
E.9. University Work __________________________________________________________________________ 115
E.9.1 - Definition of University Work _____________________________________________________________________ 115
E.10. Building Evacuation ______________________________________________________________________ 115
E.10.1 - Procedures ___________________________________________________________________________________ 115
E.11. Guidelines for Early Closing due to Temperature Extremes _____________________________________ 116
E.11.1 - Preamble _____________________________________________________________________________________ 116
E.11.2 - Early Closing Authorization ______________________________________________________________________ 116
E.12. Employees with Disabilities who Require Elevators ____________________________________________ 116
E.12.1 ______________________________________________________________________________________________ 116
E.12.2 - Notice of Elevator Shutdown _____________________________________________________________________ 117
E.13. Policy on Laptops and Microcomputer Purchase Loans ________________________________________ 117
E.13.1- Purpose of the Plan _____________________________________________________________________________ 117
E.13.2 - Policy _______________________________________________________________________________________ 117
Appendix B.1. University Hours Management Committee Mandate & Membership _____________________ 119
Appendix B.2. Examples of Flexible Working Schedules_____________________________________________ 119
Appendix B. 2.5. Compressed Working Schedules _________________________________________________ 120
Appendix B.4. Recognized Statutory Holidays _____________________________________________________ 121
Appendix B.5. Vacation Entitlement _____________________________________________________________ 122
Appendix B.5.1 Accumulated Annual Leave Policy ________________________________________________ 123
Appendix B.5.1.1 - Background __________________________________________________________________________ 123
Appendix B.5.1.2 - Policy ______________________________________________________________________________ 124
Appendix B.5.1.3 - Implementation _______________________________________________________________________ 124
Appendix B.9.2 – Reservist leave ________________________________________________________________ 126
Appendix B.10. Salary Ranges from July 1, 2009 - June 30, 2010 _____________________________________ 128
Appendix B.11. Benefit Plans ___________________________________________________________________ 129
Appendix B.12. Self-funded Leave Plan___________________________________________________________ 130

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Appendix B.13. Administrative/Technical Exempt Staff - Point Score Ranges ___________________________ 130
Appendix D.2. What is AIDS ___________________________________________________________________ 131

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Introduction

This manual describes the terms and conditions of employment for union-exempt employees of Carleton
University. In addition, it contains policies and procedures for the guidance of supervisors and managers.
The policies and procedures offer support for effective, efficient and consistent personnel management
throughout the University.

For persons whose terms and conditions of employment are covered by a collective agreement their Collective
Agreement is available on Human Resources website. Where a collective agreement does not address a
subject that is contained in the Personnel Policy & Procedure Manual, the policy will apply. When a subject is
covered in the collective agreement the pertaining provision shall apply to members of that union.

If assistance is required with respect to interpretation or applicability of any matter contained within this
Manual, please contact a member of Human Resources at 520-3634.

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Section A - Staffing

A.2. STAFFING OPTIONS AND PROCESS

A.2.1 - Preamble

University Management recognizes that Carleton’s success depends upon its ability to attract and retain the
most suitably qualified people to perform a variety of functions. To achieve this goal emphasis will be placed on
using current staff, wherever possible. Normally job openings will be posted to ensure that promotional
opportunities will be made known and available to all members of the University. However, at the discretion of
the President or appropriate Vice-President, there will be occasions when it is determined that a position will be
filled without posting.

Positions in the Administrative Technical employee group which are posted will be offered to the best qualified
internal candidate, in priority order (see Section A.4.2). Positions in the Administrative Management Group
may, at the discretion of the President or appropriate Vice-President, be posted "internally" and "externally" at
the same time, with the best qualified applicant being offered the position.

(Revised: December 1994)

A.2.2 - Defining an Establishment Position

1. An establishment position is one which has been approved, in writing, by the President or appropriate Vice-
President and for which Human Resources has an establishment number. This action permits budgetary
planning and control of salary expenses for continuing positions. Such positions will belong to one of three
bargaining units or a union-exempt employee group. These are:

 Administrative/Technical Exempt Staff

 Administrative Management Group
 Campus Safety Officers / Police
 CUPE Local 2424 (Administrative/Technical Staff)
 CUPE Local 910 (Buildings & Grounds Staff)
 CUPE 3778 (Heating Plant Staff)

2. There may be a requirement to fill an established position when:

a. the position is vacant as a result of the incumbent having left the position permanently;
b. the position is temporarily vacant as a result of the incumbent being on an approved leave or
assignment to a different position but with the expectation that the incumbent will return to the position;
c. the position is not vacant, however, the incumbent is absent from work as a result of a long-term illness.

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A.2.3 - Staffing Options

A vacant position may be filled on a continuing, term, replacement or temporary basis or through a Career
Development or Acting Assignment depending upon the circumstances. In the case of a position in a
bargaining unit, please refer to the appropriate collective agreement.

A.2.4 - Staffing Process

1. A Staffing Guide with detailed information on the staffing process and how to staff a vacant position is
being revised.

2. Upon receipt of an approved Personnel Requisition Form the Staffing Specialist will prepare an Internal Job
Competition posting in consultation with the department concerned.

3. The posting will specify the qualifications required for the position and the duties and responsibilities as
contained in the approved position description (where available). It will also indicate the
training/probationary period, salary range, type of appointment, employee group, hours of work, specific
work requirements, and application deadline. The posting will appear on designated bulletin boards, on
campus, and on the web, for a minimum of five (5) working days.

4. Continuing and term positions will normally be posted as described in (3) above. However, some vacancies
may be filled without posting. Additionally, some positions in the Administrative Management Group may,
at the discretion of the President or appropriate Vice-President be posted internally and externally at the
same time with the best qualified applicant being offered the position. See Section A.13 for other
circumstances which may not conform to (3) above. The written approval of the Vice-President (Finance
and Administration) may be required before a continuing or term appointment can be filled without a
posting.

5. Where the vacant position falls within a bargaining unit, the provisions for posting contained in the
appropriate collective agreement will be followed.

6. All postings will state that "Equality of Opportunity is University Policy". Newspaper advertisements will
contain the following equity statement: "Carleton University is a participant in the Federal Contractors
Employment Equity Program and is committed to equality of employment for women, aboriginal peoples,
visible minorities, and disabled persons. Interested persons from these groups are encouraged to apply."

(Revised: December 1994)

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A.3. RECRUITMENT
A.3.1 - Application Procedures

1. Current employees may apply for posted positions by submitting an Employment Fact Sheet form to the
Staffing Specialist identified on the posting. Applications which are not received in Human Resources by
the deadline will not normally be considered. Applicants who do not fully meet the stipulated qualifications
may submit an application based on equivalent experience. However, there is no guarantee that such
candidates will be interviewed.

2. Prospective applicants may access a full position description on The Human Resources Web Site, or
request and pick up a paper copy by calling Human Resources (520-3634).

A.3.2 - External Search

1. If there are no internal applications, or, if applications received are deemed not to meet the requirements of
the position, Human Resources will search its files of external applicants for candidates to be interviewed.
If suitable candidates are not identified from this source, the Assistant Director, Human Resources
(Organizational Development) may advertise externally. This action must have the written approval of the
President or appropriate Vice-President.

2. Advertising costs will be covered by the Hiring Department.

A.3.3 - Interview Expenses

1. If a suitable candidate for a vacant position cannot be found in the National Capital Region, it may be
necessary to advertise the position outside of this geographic area. When potentially suitable candidates
are identified and requested to come to Ottawa for a personal interview, the candidate will be reimbursed
for economy air fare, bus fare, train fare, or a kilometre allowance, plus reasonable mean and
accommodation expenses. (Interview expenses are the budget responsibility of the hiring department)

2. Each candidate will be asked to submit receipts in support of expenses and forward the receipts to the
hiring department who in turn will arrange for payment and forward such payment to the candidate as soon
as possible.

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A.4. SELECTION PROCEDURES

A.4.1 - General Information

1. A Staffing Guide with detailed information on staffing and selection procedures is being revised for the use
of hiring managers/supervisors. In the case of a position in a bargaining unit, refer to the relevant collective
agreement.

2. In assessing a candidate’s suitability, the following factors will be considered:

a. ability to perform the required duties;

b. previous work record, including job conduct and work performance;
c. education, training and skills

3. When these factors are considered equal among two or more candidates, the candidate with the most
seniority shall be selected.

A.4.2 - Priority Candidates

Applicants for a vacant position will be considered using the following priority ranking:

 Priority 1: Members of the employee group where the vacancy exists.

 Priority 2: Members of other employee groups.
 Priority 3: Persons not in groups noted above.

A.4.3 - Documenting a Staffing Decision

When the hiring department has selected a candidate, a written recommendation, including the reasons for the
selection, must be forwarded to Human Resources. The Form "Documenting your Staffing Decision" is
available on the HR website for this purpose.

A.4.4 - Notification of Staffing Decision

Once the recommendation has been reviewed and the appropriate parties agree that the decision does not
contravene University policy or the terms of a collective agreement, an oral offer of the position will be made by
an HR Advisor. Once the candidate has accepted the oral offer, the Vice-President (Finance and
Administration) will forward a formal written offer of appointment. The HR Advisor will inform all unsuccessful
candidates, in writing, of the results of the competition (within five (5) working days of the appointment). An
unsuccessful candidate may discuss the reasons why s/he was unsuccessful with the HR Advisor concerned.
The candidate may request a copy of the documentation pertaining to her/his interview.

A.4.5 - Conflict of Interest

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Members of the same family will not be appointed where there is a direct reporting relationship or where
internal control problems may be created as a result of such an appointment. Same family is defined as
spouse, parent, in-law, sibling, child, or stepchild.

Hiring managers who have discretionary budgets are also required to follow this policy with respect to the
hiring of temporary, casual or replacement employees.

(Revised: January 1993)

A.4.6 - Employee Orientation

1. When the successful candidate is a new employee to the University, Human Resources will send a
package of information to the hiring manager/supervisor to be used in orienting the new employee. At the
time of documentation, the new employee will be given a copy of A Guide for New Employees.

2. When the successful candidate is a continuing employee, the supervisor will receive a package of
information to assist her/him in orienting the employee to her/his new work unit.

A.4.7 - Documentation

New employees or persons who have not been employed at the University during the last twelve (12) months
must go to Human Resources, Room 507, Robertson Hall, to complete the required documentation forms
which are necessary for payroll and benefit plan enrolment.

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A.4.8 - Relocation Expenses

1. Relocation expenses must be established at the time of hire and will be included in the written offer of
employment. New employees may be reimbursed for an amount up to the one-way economy air fare (or
equivalent) for themselves and their dependents. Travel by automobile is reimbursed at the applicable
kilometre rate. A relocation allowance may also be paid. This allowance includes costs incurred in moving
normal household effects, as well as reasonable expenses for storage and insurance while in the carrier’s
possession. Actual costs must be supported by receipts. Relocation costs are the responsibility of the
hiring department. If persons receiving a relocation allowance do not remain in the employment of the
University for at least one (1) year, they will be required to reimburse the University one-twelfth of the
allowance for each month short of one (1) year.

2. The following schedule indicates maximum available coverage including personal travel. A payment will be
made for actual expenditures and only upon the submission of reasonable vouchers. A married allowance
will apply to a single employee supporting one or more dependents who reside with the employee.

Relocation Expenses -- Personal and Moving Allowance

Individual Spouse Dependent
a) from Ontario or Quebec $875 $475 $325
b) from Atlantic provinces; Manitoba Northeastern U.S.
(areas bounded by and including Wisconsin, Illinois, $1,325 $825 $350
Kentucky, & Virginia)
c) from Saskatchewan, Alberta, British Columbia,
$2,450 $1475 $625
remainder of the U.S.
d) from the United Kingdom & Europe $2,525 $1,500 $650
e) from across the Pacific $3,450 $2,000 $1,075

(Revised: October 1994)

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A.5. TYPES OF APPOINTMENTS / ASSIGNMENTS

A.5.1 - Continuing Appointment

A continuing appointment is one where no end date is stated. Barring discharge, resignation, or lay-off, such
an employee can expect to remain employed until retirement. Such positions will be posted in accordance with
Section A.2.4 of the Human Resources Policies manual. Continuing appointments are made only when the
hours worked represent half (or more) of the normal work week. All such appointments are made in writing by
the Vice-President (Finance & Administration) or the President.

A.5.2. Term Appointment

1. A term appointment is one where a beginning and termination date is specified. Beyond that date there is
no commitment to employment on the part of the employer. Normally such appointments are for a period of
not less than four (4) months and not more than twelve (12) months. A request to extend the appointment
must be received in writing by the Assistant Vice-President (Human Resources), one (1) month prior to the
completion of the appointment. Such a request must indicate the reason for such an extension and the
time-frame involved. Such positions will be posted in accordance with Section A.2.4 of the Human
Resources Policies manual, and shall be classified for salary administration purposes. Term appointments
are made only where the hours worked represent half (or more) of the normal work week. All such
appointments are made in writing by the Vice-President (Administration) or the President.

2. The following sections of Human Resources Policies do not apply to term employees: A.3*, A.5.5, A.5.6,
A.5.7, A.13, A.14, B.8.8(8), B.9.1 and B.11.1 (except as noted).

A.5.3 - Replacement Appointment

1. A replacement appointment is one where an appointee is hired to replace a continuing or term employee
on a leave of absence or to fill a vacancy as a result of an approved assignment. Such appointments are
normally for a period of not less than four (4) months and not more than twelve (12) months. A request to
retain the replacement employee beyond twelve (12) months must be received in writing by the Assistant
Vice-President (Human Resources), one (1) month prior to the completion of twelve (12) consecutive
months of employment. Such notification must indicate the reason(s) for the extension as well as the time-
frame involved.

2. Replacement employees are paid on an hourly basis equivalent to the minimum of the salary range for the
position.

3. Department Heads or their designates may make such appointments subject to the availability of sufficient
funds in the departmental part-time salary budget.

4. A letter of appointment is not required. However, the employee should be advised of the anticipated
duration of her/his employment. (See also Section A.16 -- Termination of Employment.)

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5. The hiring department must forward the following information to Human Resources at the time the
replacement employee is hired to ensure their enrolment in the appropriate benefits:
a. employee’s name and most recent date of hire; and
b. Number of hours the employee will work per week.

6. The following sections of Human Resources Policies do not apply to replacement employees: A.3*, A.5.5,
A.5.6, A.5.7, A.13, A.14, B.8.5 (paragraph (2) dealing with late arrival and early departure only), B.8.8(8),
B.9.1 and B.11.1 (except as noted) and all of Section C.

7. *Replacement employees shall be treated as priority 1 internal candidates for job competitions after one
(1) year of continuous service. (See Section A.4.2 of Human Resources Policies.)

A.5.4 - Temporary Appointment

1. A temporary appointment is one where an appointee is hired to fill a position which is going to be vacant for
less than four (4) months; is vacant as a result of the incumbent leaving the position permanently; or to
supplement the normal staff complement. (Students who are hired on an hourly or fixed term basis are not
considered to be temporary appointments.) Such appointments are of a temporary nature and will normally
not be for more than twelve (12) months. A request to retain a temporary employee beyond twelve (12)
months must be received by the Assistant Vice-President (Human Resources), in writing, one (1) month
prior to the completion of twelve (12) consecutive months of employment. Such notification must indicate
the reason(s) for the extension as well as the time-frame involved.

2. Department heads or their designates may make such appointments subject to the availability of sufficient
funds in the departmental part-time salary budget.

3. A letter of appointment is not required; however, the employee should be advised of the anticipated
duration of her/his employment. (See also Section 16 -- Termination of Employment.)

4. To establish the employee’s eligibility for benefits, the department must forward the following information to
Human Resources upon the employee completing three (3) consecutive months of employment:

a. employee’s name and most recent date of hire; and

b. number of hours the employee has worked and will work per week.

5. The following sections of Human Resources Policies do not apply to temporary employees: A.3*, A.5.5,
A.5.6, A.5.7, A.13, A.14, B.8.5 (paragraph (2) dealing with late arrival and early departure only), B.8.8(8),
B.9.1 and B.11.1 (except as noted) and all of Section C.

6. *Temporary employees shall be treated as priority 1 internal candidates for job competitions after twelve
(12) months of continuous service. (See Section A.4.2)

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A.5.5 - Acting Assignment

1. An acting assignment is one where a University employee, who has a continuing or term appointment,
is temporarily assigned to a vacant position. Normally an acting assignment will only be approved for a
period exceeding ten (10) days but less than one (1) year. When a department knows of an employee
who is qualified and interested in filling such a vacancy, a written request should be forwarded through
the appropriate Dean/Administrative Director/University Librarian to the Assistant Vice-President
(Human Resources) for approval.

2. In the case of union-exempt staff the following guidelines apply:

a. Comprehensive Acting Assignment: When a position becomes vacant, except as a result of

annual leave, the supervisor may request that the Assistant Vice-President (Human Resources)
approve an acting assignment for an employee who will assume the full duties and
responsibilities of the vacant position until the incumbent returns. Approval will normally only be
given for an employee whose current classification level is one or at most two classification
levels below that of the vacant position. The employee assuming the acting position will be
assigned to the classification level of the vacant position.

b. Modified Acting Assignment: When a position becomes vacant, except as a result of annual
leave, the supervisor may request that the Assistant Vice-President (Human Resources),
approve a modified acting assignment for an employee who will assume a substantial part of the
duties and responsibilities of the vacant position until the incumbent returns. A modified acting
assignment would normally be approved for an employee whose position is two or more
classification levels below that of the vacant position. In this instance the employee assuming
the acting position will be assigned to an appropriate classification level between the level of the
vacant position and the employee’s current classification level.

Salary Implications of Acting Assignments

1. When an employee is on an approved acting assignment her/his salary shall be increased to the greater of:

a. Comprehensive Acting Assignment: the minimum salary for the classification of the vacant position;
b. Modified Acting Assignment: the minimum salary of the classification level to which the person is
assigned, as determined by Human Resources; or
c. An amount equal to her/his existing salary plus 5%; where a 5% salary increase results in a salary
between range steps, the salary will be adjusted to the higher step in the salary range.

2. When an employee on an acting assignment in a higher classification level returns to her/his former
classification level, the employee will return to the salary s/he received prior to the assignment. Salary
increases that would have been applied to that salary during the period in which the employee was on an
acting assignment will then be applied.

3. During the period an employee is on an acting assignment, annual increments and appropriate benefits will
be applied according to the level of the acting assignment.

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A.5.6 - Career Development Assignment

1. When a position becomes vacant as a result of an approved leave of absence, the hiring
manager/supervisor may choose to post the vacant position as a Career Development Assignment. Such
assignments are only open to university employees with continuing appointments.

2. Career Development postings are encouraged as a means of staff development. Through Career
Development Assignments, staff are provided with opportunities to move to different positions for a pre-
determined time-frame enabling them to gain different University experience and to develop new skills.

3. Employees applying for a Career Development Assignment are required to obtain written approval for a
Leave of Absence from their current position for the duration of the assignment.

A.6.1 DEFINITION OF FULL-TIME STATUS

An employee whose normal hours of work are thirty-five (35) hours per week or more, for the period of
appointment, shall be considered to be a full-time employee. Such persons may be appointed to continuing,
term, replacement, or temporary positions.

A.7.1 DEFINITION OF PART-TIME STATUS

An employee whose normal hours of work are less than thirty-five (35) hours per week or, in the case of a
continuing appointment less than twelve (12) months per year, shall be considered to be a part-time employee.
Such persons may be appointed to continuing, term, replacement, or temporary positions.

A.8. STARTING SALARY

A.8.1 - Current Employees - Promotion

Details of how salaries are established for current employees, who are promoted, can be found in Section B,
Compensation and Benefits.

A.8.2 - New Employees with Continuing / Term Appointments

Employees in the Administrative/Technical Exempt group and in CUPE 2424 will normally be hired at the
minimum step of the salary range for their classification level. In extraordinary circumstances it may be
necessary to appoint a new employee at a higher step in the salary range. In such cases the starting salary
can only be agreed to and confirmed with the appointee by Human Resources. The Assistant Vice-President
(Human Resources) will establish the starting salary if it is to be higher than the minimum step of the salary
range.

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A.8.3 - Temporary / Replacement Employees

1. Replacement employees will be hired at the minimum step of the salary range for their classification level.

2. Temporary employees hired to a position associated with a classification level will normally be hired at the
minimum step of the salary range for that classification level. In the absence of a classification level, the
Compensation section of Human Resources is available to assist the hiring department in establishing an
appropriate hourly rate.

A.9. STARTING DATES

A.9.1 - University Employees

Where the successful applicant is a Carleton University employee, the HR Advisor will consult the two
departments concerned to arrange a mutually agreeable starting date. Normally the transition period will be
two (2) weeks. However, it may be extended to a maximum of four (4) weeks with joint agreement between the
departments.

A.10.1. TRAINING PERIOD

Where a continuing employee is promoted or transferred to a new position the employee will be on a three (3)
month training period. A supervisor may request a reduced training period but not less than one month. During
the training period the supervisor is expected to take time to ensure that the employee is made aware of job
requirements and operational procedures. The employee’s performance should be closely monitored and
feedback should be given to the employee. In the event that the employee’s skills or performance do not meet
the needs of the department, the supervisor must advise the Organizational Development Section of Human
Resources at least two (2) weeks prior to the end of the training period. If the employee’s performance is
unsatisfactory during the training period or if the employee finds the job unsatisfactory, the University will
attempt to return the employee to her/his former position or to one of equal level and salary. This may result in
the new incumbent in the employee’s former position being returned to her/his former position or to one of
equal level and salary.

A.11.1 - PROBATIONARY PERIOD

1. A new employee to the University in a continuing, term or replacement position will be required to satisfy a
probationary period. The probationary period will be three (3) months for positions up to and including level
4 and six (6) months (normally) for positions at levels 5 to 12 inclusive. However, some senior positions will
carry a twelve (12) month probationary period.

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2. During the probationary period the employee’s performance will be appraised by the supervisor and the
results discussed with the employee. The supervisor will meet with the employee at the mid-point of the
probationary period to review the employee’s progress. A Probationary Performance Review Report must
be completed at the mid-point (Interim Report) and at the end (Final Report) of the probationary period. If at
any time during the probationary period the employee fails to meet the required standards, s/he may be
released upon recommendation to the Vice-President (Finance and Administration).

3. At least two (2) weeks prior to the expiration of the probationary period the supervisor will inform Human
Resources of the results of the final appraisal and will recommend:

a. that the employee be confirmed in the position; or

b. that the probationary period be extended (this requires the approval of Human Resources); or
c. that the employee be terminated.

A.12.1. STAFF IDENTIFICATION CARDS

1. Staff on Continuing, Term, Replacement, or Temporary Appointments: Staff who hold full-time or part-time
continuing, term, or replacement appointments will be issued a Staff I.D. card at the time of employment.
Temporary employees who work at least 17.5 hours per week will be issued an I.D. card upon completing
three (3) months of continuous service. A statement of authorization must be obtained from Human
Resources before proceeding to the Campus Card Office (AB 107), where an I.D. card will be issued. This
card authorizes access to the Library and physical recreation facilities.

Should a card be lost or stolen, the employee should contact the Campus Card Office to obtain a
replacement card. A staff member who is leaving Carleton is required to return the staff I.D. card to Human
Resources.

2. Contract Instructors receive identification cards at the time of employment. This card authorizes access to
the Library and physical recreation facilities. The card is valid from the commencement of the appointment
and continues to the following August 31st.

(Revised: June 2002)

A.13. TRANSFERS

A.13.1 - Transfer Policy

1. There are circumstances where an employee may be moved without competition (except for paragraph (2)
a) below) to a different position. Such instances may be initiated by the employee or at the request of the
University and may result in the employee remaining at the same, or moving to a lower, classification level.
Such an action is a transfer and requires approval of the Vice-President (Finance and Administration).

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2. An employee may be transferred, or be considered to have transferred, as a result of:

a. successfully competing for a position at the same classification level as the position they occupy or
successfully competing for a position at a lower classification level;

b. her/his position being declared redundant (see Section A.16.10 -- Relocation for Reasons of
Redundancy);

c. failing to meet the requirements of a new position during the specified training period, (see Section
A.10.1 -- Training Period);

d. finding a new position to be unsatisfactory during the specified training period (see Section A.10.1 --
Training Period);

e. necessity to transfer during pregnancy because job requires heavy physical labour or extensive use
of VDT/CRT (?) equipment.

f. compelling operational or organizational requirements resulting in the need to transfer an employee

without competition;

g. the need to accommodate due to a disability.

A.13.2 - Salary Implications Resulting from Transfers

1. Where an employee is transferred to a different position described in (b), (e), (f) and (g) above which is at a
lower level, the employee will suffer no loss of salary. For salary administration purposes, the employee will
be treated as if s/he were at the same level for as long as s/he occupies the new position. Where the new
position is at a higher classification level, the employee will receive the salary and benefits associated with
the higher classification.

2. Employees who move to a lower level position as a result of (a), (c), or (d) above, will be paid at their
current salary level or at the step closest to the midpoint of the salary range of the lower position,
whichever is less.

3. Employees who transfer to a position at the same classification level, as a result of a job competition or for
any other reason, will not experience a salary adjustment.

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A.14.1. REDUCED-TIME APPOINTMENTS

1. Any staff member who currently occupies a continuing position and who has a minimum of one (1) year of
continuous service may request a reduced-time appointment. Such an arrangement must be mutually
agreed upon by the employee, the supervisor and the Department Head and shall not be unilaterally
imposed upon any staff member. The reduced-time request will be determined by the employee, based on
her/his needs. However, each request shall be carefully considered in light of operational needs and
workload implications for other employees in the department. A recommendation will then be forwarded to
the President or appropriate Vice-President for final decision.

2. Reduced-time appointments may take the form of:

a. A shorter work year (e.g. September -- May);

b. A shorter work week (e.g. Monday -- Thursday);
c. A shorter work day (e.g. 9:00 a.m. -- 1:00 p.m.).

3. Reduced-time appointments may not be for less than six (6) months of working time per year or 17.5 hours
of working time per week (50% working time).

4. Employees who are on reduced-time appointments have the right, with six (6) months notice (unless
waived by mutual consent), to return to their previous hours of work. If operationally feasible the
employee’s position will be returned to its previous hours of work. If this is impossible the employee will be
placed in a position which may not be at the same classification level; however, her/his salary shall not be
reduced. With six (6) months notice (unless waived by mutual consent), the Department Head, Dean or
University Librarian may, due to operational requirements, require that the reduced-time appointment be
modified or returned to the previous hours of work.

5. For employees on a reduced-time appointment, salaries will be established and quoted on an annual basis
(nominal salary) and paid in proportion to the time actually worked (actual salary). For example, where a
position has a designated nominal salary of $30,000, and the incumbent works a four day week (28 hours),
the actual salary paid would be $24,000. The employee may opt to receive salary payments only during the
actual time worked or over the entire year. For example, the actual salary of a person on an eight (8) month
reduced appointment (e.g. September to May) could be paid over eight (8) or twelve (12) months.

6. Benefit plans can be continued during reduced-time appointments. Provided the University incurs no
unusual expense as a result of the reduced-time appointment, the University will pay the normal cost
sharing premiums for dental and Extended Health Care year round. The contribution to the Retirement
Plan and premiums for Group Life and Long Term Disability will be based on actual salary. For more
information on benefit plan options and coverage, see Section B.6.2 of Human Resources Policies, or
contact the Compensation and Human Resources Information Systems sections of Human Resources.

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A.15. EMPLOYEE FILES

A.15.1- Preamble

The Ontario Employment Standards Act requires employers to maintain an employment file for all employees.
Such files are initiated, maintained and stored in Human Resources.

A.15.2 - Access to Human Resources Files

Following the guidelines outlined below, an employee may examine her/his employment file.

1. Access to files is arranged by contacting the Staff Relations Section of Human Resources.

2. Reasonable notice to view a file must be given.

3. Confidential material will be removed prior to examination of the file and returned to the file once examined.
A list of what was removed from the file will be given to the employee. From July 1989 confidential
correspondence will NOT be placed in employee files.

4. In the case of documents of censure, reprimand or criticism being added to an employee’s file, the
employee concerned shall be notified and required to read and initial such material. In the event of an
alleged distortion or error, the employee shall have the right to request the inclusion of material pertinent to
the alleged distortion or error. In the event of an error being established, the file shall be corrected and the
erroneous material removed.

5. Documents of censure, reprimand or criticism which are two or more years old shall be removed from the
employee’s File and shall not be considered in connection with any disciplinary action or promotional
opportunity.

6. The employee may ask for and receive copies of material contained in her/his file if the correspondence
was addressed to the employee or where a carbon copy was sent to the employee.

A.15.3 - Confidentiality

No document contained in the employee’s file will be made available to any other person or organization
without the written consent of the employee except for any person or body of the University charged with
making or adjudicating career decisions; or as required by law. (See also Section E.2 of Human Resources
Policies.)

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A.16. TERMINATION OF EMPLOYMENT

A.16.1 - Preamble

There are a number of circumstances which result in termination of an employee’s service with the University.
This section deals with the policies and procedures associated with these various forms of termination.

A16.2 - Notice of Termination for Term, Replacement or Temporary Employees

1. No notice is required in any case where the employee is dismissed for cause. To determine whether a
proposed termination is for cause, consult the Staff Relations section of Human Resources.

2. For a complete definition of Term, Replacement and Temporary appointments see Section A.5 of the
Human Resources Policies.

3. In the situations described below, only after written notice has been given and the period of notice has
expired can the employee be terminated. If an employee entitled to notice is terminated without such
notice, the employer must provide pay in lieu of notice and maintain fringe benefits including vacation pay
for the prescribed notice period.

a. A Term appointee is entitled to written notice of termination if:

i. the appointment is terminated prior to the expiry of the term, or
ii. the employee has worked for 3 months or more beyond the original term, or
iii. the employee has worked for more than 1 year.

b. A Replacement employee is entitled to written notice of termination if:

i. the appointment is terminated prior to the completion of the specific task for which the
employee was hired, or
ii. the employee has worked for 3 months or more after completion of the original task, or
iii. the employee has worked for more than 1 year.

c. A Temporary employee is entitled to written notice of termination if:

i. the employee was not hired for a specific task and has worked for 3 months or more, or
ii. the employee was hired for a specific task, but worked for 3 months or more beyond the
completion of the original task, or
iii. the employee has worked for more than 1 year.

4. Where written notice is required, such notice, or pay and benefits in lieu, shall not be less than:

a. week, if the period of employment is less than one year;

b. 2 weeks, if the period of employment is one year or more, but less than 3 years;

c. 3 weeks, if the period of employment is 3 years; and

d. 1 additional week for each additional year of employment beyond 3 years.

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NOTE

1. A period of employment includes any separate periods of employment where the break(s) in service are
not more than 13 weeks each.

2. Where the period of employment is 5 years or more, the employee may be entitled to severance pay under
the Employment Standards Act. Under these circumstances consult the Staff Relations section of Human
Resources.

A.16.3 - Resignation

1. To facilitate a smooth transition, staff who are resigning are requested to communicate this decision, in
writing, to their Department Head, indicating the effective date of the resignation. At least two (2) weeks
notice is requested. In the case of senior positions at least four (4) weeks notice is requested. Once a letter
of resignation has been received and the effective date agreed to, the date cannot be changed except by
mutual agreement.

2. The Department Head should accept and confirm the resignation in writing and forward the letter of
resignation and a copy of the acceptance to the Assistant Vice-President (Human Resources) for
processing.

3. In the event of an oral resignation, the Department Head will acknowledge and accept the resignation, in
writing, and forward a copy of the acceptance to the Assistant Vice-President (Human Resources) for
processing.

4. To avoid delays in preparing the final payroll cheque, EI record of employment and other documentation, it
is important that the employee provide as much notice as possible and that the Department Head promptly
advise Human Resources.

5. The Department Head is responsible for recovering keys, tools and other University property in the
employee’s possession. Human Resources will take responsibility for retrieving the staff I.D. card.

6. Human Resources will arrange for the final pay cheque including adjustments for vacation leave and
accumulated overtime. A member of the Benefits Section will counsel the employee on such matters as
employment insurance, pension, benefits, OHIP requirements, life insurance options, and so on.

A.16.4 - Exit Interview

1. Employees who resign from the University may be contacted by a HR Advisor and invited to participate in
an exit interview. Such interviews are optional and are intended to:

a. promote good public relations;

b. determine where personnel, operating and employee problems exist; and
c. determine what attitudes employees hold about their jobs, management and the University.

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2. The questions asked in the interview are outlined in the Exit Interview Form. With the approval of the
employee, a completed copy of the questionnaire is sent to the immediate supervisor and the Department
Head.

A.16.5 - Abandonment

It is the responsibility of each employee to notify her/his supervisor when s/he is unable to work as scheduled.
An employee who fails to report her/his absence for a period of five (5) working days, shall be deemed to have
abandoned her/his employment. This abandonment shall be considered just cause for termination of
employment.

A.16.6 - Termination for Reasons of Performance

1. Most performance issues are related to the employee’s ability to carry out tasks and responsibilities
proficiently. However, satisfactory performance also includes such expectations as regular attendance and
adherence to work schedules, and on-the-job behaviour with colleagues that supports and enhances the
effectiveness of the work group.

2. See also Disciplinary Policy (Section D 1.4). For assistance regarding this policy contact the Assistant
Director, Human Resources (Staff Relations).

A.16.7 - Performance Reviews - During a Probationary Period

1. Supervisors are required to complete formal performance reviews during a new employee’s probationary
period. As part of this review, unsatisfactory job performance should be documented along with
recommended steps for improving performance. These steps must be discussed with the employee with a
view to improving performance. If performance does not improve to an acceptable level, following a
reasonable period and following reasonable assistance from the supervisor, a clear written warning should
be issued to the employee that employment with the University may be terminated.

2. A probationary employee’s service may be terminated at any time during the probationary period. The
Organizational Development and Staff Relations section of Human Resources is available to assist
managers/supervisors in such instances.

3. When a decision has been taken to terminate the employee’s service, a formal letter of termination, signed
by the Vice-President (Finance and Administration) or the President, must be given to the employee.

A.16.8 - Performance Reviews - Post-Probationary Period

1. While Carleton does not have a formal performance review program, it is the responsibility of all
supervisors to discuss job performance with their staff. Discussions regarding performance should be
initiated to recognize satisfactory performance and/or provide feedback for the purpose of improving
performance.

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2. It is recommended that performance discussions be confirmed in writing to the employee to ensure clear
communication and understanding of any actions to be followed. The Organizational Development or Staff
Relations sections of Human Resources are available to assist managers/supervisors in preparing for and
documenting such discussions.

3. If performance is unsatisfactory and does not improve following a reasonable period and following
reasonable assistance from the supervisor, additional written notice should be provided clearly stating that
termination will result unless improvement occurs by a specified date.

4. When a decision has been taken to terminate the employee’s service, a formal letter of termination signed
by the Vice-President (Finance and Administration) or the President must be given to the employee.

A.16.9 - Dismissal for Wilful Misconduct

1. Definition

Willful misconduct is defined as an act of such gravity and seriousness that it constitutes a breach of the
employee’s fundamental obligations to the employer and is, therefore, grounds for dismissal for cause.

2. Action to be Taken in the Case of Willful Misconduct

Steps for dealing with such infractions as insubordination, theft, gross negligence of duty and so on, are
outlined in Section D.2 of Human Resources Policies.

A.16.10 - Relocation for Reasons of Redundancy

1. From time to time the University may find it necessary to redeploy staff resources because of changes in
operational or resource requirements. Such changes may result in a position(s) being declared redundant.

2. In such instances the immediate manager/supervisor will normally initiate the recommendation to declare a
position redundant. This recommendation will be made through the Dean, Administrative Director or
University Librarian to the President or appropriate Vice-President, who will determine if the position(s) is to
be declared redundant.

3. It is the policy of the University that no employee with a continuing appointment, who has completed her/his
probationary period, should suffer a reduction of salary or loss of employment because a position has been
declared redundant without a concerted effort being made to find suitable alternate employment within the
University.

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4. When there is an incumbent in a redundant position the following procedures will be followed:

a) The supervisor will meet with the incumbent along with the Department Head, Dean,
Administrative Director or University Librarian to discuss the reasons for the redundancy. Where
the employee is a member of a bargaining unit, a union representative will be included in this
meeting.

b) A formal notice of redundancy, signed by the Vice-President (Finance and Administration), will
be given to the employee.

c) A member of the Organizational Development section will be introduced to the employee. This
officer will assist the employee in finding alternate employment within the University.

5. An employee who occupies a redundant position will normally be transferred to the first position which
becomes vacant within their union/employee group and for which the employee is qualified. The
Organizational Development section of Human Resources, in consultation with the Department Head
where the vacancy exists, will determine the appropriateness of the employee’s qualifications. Where there
is more than one employee whose position is redundant, the qualified longer-service employee will be
transferred first.

6. An employee who occupies a redundant position may be transferred to a position at a level different from
the redundant position. If the new position is at a lower level, the employee will suffer no loss of salary. For
salary administration purposes, the employee will be treated as if s/he occupies the new position. Where
the new position is at a higher classification level, the employee will receive the salary and benefits
associated with the new position.

7. Any training required to help the employee perform the duties of the new position will be provided by the
University.

8. Between the time a position has been declared redundant and a new position is found, the employee will
be granted reasonable time off, with pay, to search for employment outside the University, if it is the
employee’s intention to leave the University.

9. When an employee occupying a redundant position refuses to accept a transfer for which s/he is qualified,
the employee will be laid-off in accordance with Section A.16.11. This will be confirmed in writing by the
Staff Relations section of Human Resources.

A.16.11- Lay-Off

1. The University’s first priority is to relocate staff whose positions become redundant. However, lay-offs may
be necessary if the Organizational Development section of Human Resources is unable to find a suitable
vacancy for an employee whose position is redundant.

2. After consulting with the Dean, Administrative Director or University Librarian, Human Resources will
recommend to the Vice-President (Finance and Administration) which employee(s) will be laid off.

3. Non-unionized employees who are released under the lay-off provisions are eligible for the following:

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a) 12 years service or more -- 6 months formal notice, or pay in lieu of;

b) More than 10 but less than 12 years service -- 5 months formal notice, or pay in lieu of;
c) More than 8 but less than 10 years service -- 4 months formal notice, or pay in lieu of;
d) More than 6 but less than 8 years service -- 3 months formal notice, or pay in lieu of;
e) More than 4 but less than 6 years service -- 2 months formal notice, or pay in lieu of;
f) 4 years of service or less -- 1 month formal notice, or pay in lieu of.

4. If the University chooses to provide notice of lay-off rather than pay in lieu of notice, the affected employee
will be given the necessary time off to seek alternate employment. Should an employee find alternate
employment outside the University during the formal notice period, s/he will receive pay in lieu of notice for
the balance of her/his formal notice period.

5. The period of notice will begin from the date on which an employee receives written notification that s/he
has been designated for lay-off. The calculation of pay in lieu of notice will also begin from the date of
formal written notice of lay-off and will be based on the employee's current salary. An employee who has
been laid off and whose spouse and/or dependent(s) are eligible for free tuition at the time of the lay-off will
continue to be entitled to free tuition benefits until the end of the academic session (term) concerned.

A.16.12 - Retirement

1. Normal Retirement Date

The University's normal retirement date is the first day of September nearest an employee's 65th birthday
for those members who joined the Retirement Plan on or before July 1, 1957. For those members who
joined the plan after that date, the normal retirement date is the first day of July nearest the employee's
65th birthday. Human Resources will contact each Department Head annually (normally in January)
identifying potential retirees in her/his department. The Department Head will confirm the date of the
employee's retirement by writing to the Assistant Vice-President (Human Resources). The employee is not
required to provide written notification of retirement.

2. Notwithstanding the above, an employee whose normal retirement date precedes the employee’s 65th
birthday may elect to postpone retirement, without the consent of the University, until:

a. the first day of the September coincident with or next following the employee reaching age 65 (for
those who joined the Plan before July 1, 1957); or
b. the first day of the July coincident with or next following the employee reaching age 65 (for those
who joined the Plan on or after July 1, 1957).

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3. Postponed Retirement Date

An employee’s retirement will only be postponed under exceptional circumstances. A written request from
the Dean, Librarian or Administrative Director, outlining the exceptional circumstance(s), should be
submitted to the Vice-President (Finance and Administration), through the Assistant Vice-President
(Human Resources), immediately following receipt of Human Resources' annual communication regarding
retirees. Upon the recommendation of the President and the approval of the Board of Governors, an
employee may remain in the service of the University following her/his normal retirement date. Specific
information regarding Pension Plan implications is contained in the "Retirement Plan Text" available from
the Compensation and Benefits Section of Human Resources.

4. Early Retirement

After reaching age 55 an employee may elect to retire and receive a pension prior to the employee's
normal retirement date. Notification of early retirement should be made in writing to the Assistant Vice-
President (Human Resources) through the employee's Department Head. A reasonable period of
notification should be given. Specific information regarding pension plan implications is contained in the
"Retirement Plan Text" available from the Compensation and Benefits section of Human Resources.

NOTE:

Nothing in this retirement policy prohibits hiring persons over age 65 for temporary, term or replacement
assignments.

A.16.13 - Death in Service

When a supervisor becomes aware of the death of an employee, the supervisor should immediately inform
Human Resources. A member of the Benefits Section of Human Resources will contact the employee's family
or solicitor to arrange for a suitable time to explain the benefit arrangements. (Also see Section E.5 -- Tributes).

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A.17. GUIDELINES FOR INITIATING AND IMPLEMENTING ORGANIZATIONAL CHANGE

A.17.1 - Preamble

Factors influencing the planning and implementation of organizational changes to a work unit can generally be
categorized under two major headings:

 Procedural/Policy Factors
 Human Factors

A.17.2 - Procedural / Policy Factors

The University has a number of policies and procedures concerning organizational changes. Some are
contained in specific collective agreements, others in the University's Human Resources Policies. To assist
Deans, Directors and Department Heads in planning organizational changes within their jurisdiction the
following summary has been prepared. To permit Human Resources to be of maximum assistance in
implementing planned changes, they should be consulted early in the planning phase.

A.17.3 - Types of Organizational Change

1. Change in Employee’s Duties

Department Heads are responsible for assigning work to appropriate staff. When employees' duties and
responsibilities are altered, a revised position description(s) (where applicable) should be prepared by the
supervisor and submitted to the Organizational Development section in Human Resources. This Section
will assess the impact of the changes and will discuss its assessment with the Department Head.

2. Addition of a New Position (Term or Continuing)

Any position added to the work unit's staff complement must be approved by the appropriate Vice-
President. The new position will be added to the unit's establishment once written approval is received by
the Organizational Development Section of Human Resources. A position description (where applicable)
should be prepared and forwarded for classification to the Compensation section of Human Resources.
This should be accompanied by an assessment of the impact on other positions in the work unit. Following
classification, the new position must be posted for internal competition in accordance with the appropriate
collective agreement and/or University policies and procedures.

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3. Elimination of a Position

An approved organizational change may result in one or more positions being declared redundant. That is,
the function is no longer needed in the reorganized work unit.

a. When such a position is vacant, the appropriate Vice-President will instruct Human Resources to
remove the position from the unit’s establishment, thereby permanently decreasing the unit’s staff
complement.

b. When occupied, specific procedures have been developed for dealing with a situation where the
redundant position is staffed. These procedures are outlined in Section A.16.10 of Human
Resources Policies and in some collective agreements. Department Heads should review this
material before proceeding. The Assistant Directors, Human Resources (Organizational
Development and Staff Relations) are available to assist Department Heads and employees.

4. Change in Reporting Relationships

A departmental review may result in moving a position from one unit to another unit within the same
department or from one department to another. In such circumstances, a change in reporting relationship
will occur and the staff complement (establishment) for the affected units will need to be altered. Such a
change cannot be made without the appropriate University Offices providing Human Resources with written
approval. While a change in reporting relationship will not normally affect the position description of the
employee being transferred, it may have an impact on the position descriptions, union status and
classification levels of the supervisors involved.

5. Summary

An organizational change may, of course, encompass all of the elements noted above and may involve
more than one employee group. For these reasons, it is advised that a Department Head consult Human
Resources from the beginning. Human Resources can help a Department Head with collective agreement
interpretation; provide guidance based on experience from previous organizational changes; assist with the
chronology of planning and implementing a major organizational change, and so on.

A.17.4 - University Policies and Contractual Requirements

1. Approval

Organizational changes (adding or deleting a position or changing reporting relationships) must have the
written approval of the appropriate University Offices before implementation. Details of proposed changes
must be submitted, in writing, to the appropriate Vice-President through the Dean, University Librarian
and/or Department Head.

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2. Technological Change

Where the organizational change involves a change in process, technology, or equipment, the department
may be required to meet specific collective agreement requirements before implementation. The
Department Head should meet with the Assistant Director, Human Resources (Staff Relations) to review
the appropriate collective agreement before proceeding with an organizational change.

3. Contracting Out

An organizational change may result in bargaining unit work being done, in part or in whole, outside the
bargaining unit. (This may also apply even though the work continues to be done on campus.) The
Department Head should meet with the Assistant Director, Human Resources (Staff Relations) to review
the requirements of the appropriate collective agreement or University policy prior to implementation.

4. Job Posting Requirements

All newly created positions must be posted in accordance with the appropriate collective agreement and/or
Human Resources Policies.

A.17.5 -Human Resources Assistance

1. Organizational Reviews

The Organizational Development Section of Human Resources is available to assist a Department Head to
identify potential changes within a work unit and to offer advice on how to proceed. Upon receipt of a
request from a Dean/Director, the Assistant Vice-President (Human Resources) will arrange for a meeting
with the Department Head to discuss her/his initial ideas regarding changes to the work unit. A review of
the work unit will then be conducted through meetings with members of the unit to examine such matters
as workload, reporting lines, technology, staff complement, departmental comparisons, workflow,
organizational structuring, and so on. A report will be submitted to the Dean and the Department Head.

2. Staff Relations Advice

Organizational change involves a number of issues covered by collective agreements or University policy.
The Assistant Director, Human Resources (Staff Relations) should be consulted early in the process to
provide advice and guidance with respect to how to proceed in the context of collective agreements and/or
University policy.

3. Job Evaluation Assistance

Reference has already been made to the requirement to prepare position descriptions (where applicable)
for new or altered positions. In the case of a new position, a classification review will be conducted. With
respect to an altered position, the impact of the changes will be assessed and discussed with the
Department Head. The Assistant Director, Human Resources (Organizational Development) is available for
advice when needed.

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4. Formal Communication with Unions and Employees

All formal communication with unions and employees affected by organizational change(s) is the
responsibility of Human Resources. For example, communication pursuant to the requirements of a
collective agreement shall be taken to the relevant collective bargaining unit by Human Resources;
communication with employees regarding the results of a classification review or a staffing decision rests
with the appropriate section of Human Resources, and so on.

A.17.6 - Human Factors

1. To most employees organizational change means stress. Since effective implementation will depend
largely on the employees affected, it is essential that the human factors are handled with sensitivity.
Employees will quickly develop their own perspective of the situation. Without proper communication, this
perspective may be based on bits and pieces of information collected out of context and perhaps from an
external source. The following guidelines are designed to help Department Heads communicate effectively
with staff, deal with resistance to change, and facilitate a smooth transition.

2. Timing

When possible, involve staff early in the organizational change planning. Such involvement will decrease
the amount of inaccurate information staff receive and more importantly will give them a sense of
involvement and ownership. Even for staff that will be affected negatively, involvement, while it will not
alleviate all of the negative fallout, will go a long way in helping with the transition. Equally significant is the
hands on knowledge and perspective that staff can bring to the organizational change. Their input can help
reduce the number of adjustments required at the implementation stage. Since you will be unable to make
everyone happy, be prepared for some tough times during the initial planning phase. However, be assured
that even with the potential for heated debate at this stage, staff who feel that they have had an opportunity
to be heard will make a smoother transition than those who perceive the change as being imposed upon
them.

3. Meetings

Don’t use written communication to replace face-to-face discussion. Meet frequently during the planning
phase to ensure that staff have the most up-to-date information and are provided with an opportunity to ask
questions. Group meetings will reassure employees that they are all getting the same information. One-on-
one meetings will allow you to gauge the anxiety level of individual employees. Some employees may be
more comfortable asking questions in a one-on-one meeting.

4. Explain New Roles

As opportunities and options for employees are identified, communicate them immediately. Remember that
employees are primarily concerned about what will happen to their jobs. "Will the new organization give me
the same level of job satisfaction; will my skills continue to be used as before; will the change mean a loss
of independence; will I be asked to take on tasks for which I am not trained?" These are only some of the
concerns that a Department Head will have to address.

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5. Helping an Employee whose Position Becomes Redundant

Such an employee should be assured that the University will make every attempt to place the employee in
another position at the University. All options, including re-training, will be discussed with the employee by
a member of the Organizational Development Section of Human Resources. Procedures to be followed in
such instances are outlined in appropriate collective agreements or Section A.16.10 of Human Resources
Policies.

6. Employees Need Help in Making the Transition

Some employees will feel a loss of identity, a loss of control, a sense of not belonging and/or anxiety about
the future. Encourage employees to talk about these fears. Otherwise, feelings will be vented elsewhere
and this may not be to the benefit of either the employee or the work unit. Do not expect too much from
employees during the initial phase of the reorganization. Staff will need time to disengage from the old
situation and reengage with the new one. Remember, patience along with open and continuing
communication and feedback are the key to getting through this phase.

A.17.7 - Initiating and Implementing an Organizational Change - Summary

1. Determine nature of organizational change

 Change in duties (one or more employees)

 New position(s)
 Changes in reporting relationship(s)
 Redundancy -- position vacant, position occupied
 Combination of above

2. Consult Human Resources for assistance in planning an organizational change.

3. Seek approval in principle from Dean (for academic units), Director (for administrative units) or University
Librarian.

4. Dean, Director, or University Librarian seeks approval of President or appropriate Vice-President

(depending on reporting lines).

5. Detailed planning to implement the proposed change must consider:

 How will the changes be communicated?

 How can the employees be involved in the planning?
 Is a new position description required?
 Is it necessary to post the job?
 Is technological change involved?
 Is contracting out involved?

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Section B - Compensation and Benefits

B.1. HOURS OF SERVICE

B.1.1- Policy

1. The University hours of service are 8:30am to 4:30pm, including the lunch hour. Each Dean/Vice-
President/University Librarian is responsible for managing hours of service in his/her area. Where a unit
deems this is not possible, the unit can apply for an exception as outlined in B.1.3.

2. Extended Hours

Some service areas require extended service hours to meet student needs as well as operational
requirements. Each Dean/Vice-President/University Librarian is responsible for ensuring that the unit has
completed a detailed assessment of their needs before investing in resources for staffing extended hours.
Managers are responsible for ensuring that service is delivered in the most efficient manner. This includes
an examination of all other alternate modes of delivery, such as web based service. If it is deemed that
extended hours are necessary, the Dean/Vice-President/University Librarian must apply to the University
Hours Management Committee (UHMC) for approval. For UHMC membership and mandate, see Appendix
B.1

B.1.2 - Exceptions

Appeals from units for exceptions to the University hours of service must be made to the University Hours
Management Committee (UHMC) with substantive justification through their Dean/Vice-President/University
Librarian. Each Dean/Vice-President/University Librarian must ensure that the unit has completed a detailed
assessment. If s/he agrees, forward the appeal to the UHMC with their comments. . For UHMC membership
and mandate, see Appendix B.1.

B.1.3 - Procedures for Units

Any unit wishing to deviate or have an exemption from the University hours of service must follow the following
procedures:

 Develop a proposal for change by providing detailed justification for the request including the effect on
workload of staff and outlining the impact on service delivery to staff and students and impact on
operational requirements.
 The proposal must be signed by the Chair/Director and approved by the appropriate Dean/Vice-
President/University Librarian.
 The Dean/VP/University Librarian must forward the proposal with her/his comments to the University
Hours Management Committee 9UHMC) for consideration.
 The UHMC will notify the Dean/VP/University Librarian and Chair/Director of the committee's decision.

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 The UHMC will notify the Department of University Communications of any changes in academic and
administrative hours of operation for communication to the campus community.

(Issued: June 1999)

B.2. HOURS OF WORK

B.2.1 - Hours of Work

1. A normal workday is 7 hours from 8:30am to 4:30pm with a one hour lunch break.

2. An up-to-date schedule of each employee's hours of work must be maintained in the work unit.

3. Lunch breaks are scheduled between the hours of 12:00 noon and 2:00 p.m. Depending on individually
approved work-schedules, lunch breaks may span a minimum of one-half and a maximum one and one-
half hours.

4. Rest Periods

All employees may take two fifteen (15) minute paid rest periods per day: one in the first and one in the
second half of each normal workday or shift. Rest periods will be scheduled through mutual agreement
between the supervisor and employee.

(Revised: June 1999)

B.2.2 - Flexible Hours of Work Policy

Employees may request that they be permitted to begin and end their seven hour working day on a schedule
other than that outlined in B.1.1. Specifically, an employee may begin work between the hours of 7:30 a.m. and
9:30 a.m. and leave work between the hours of 3:30 p.m. and 6:00 p.m. The hours between 9:30 a.m. and 3:30
p.m. have been designated as the "core work period." Flexible working hours that impinge on this core period
will not be approved. (see Appendix B.2 - Examples of Flexible Working schedules).

B.2.3- Eligibility

With the exception of those employee groups listed below, all continuing and term employees are eligible to
apply for flexible working hours.

B.2.4 - Exceptions

Temporary employees and members of the following bargaining units: CUPE 910, CUPE 3778 and USWA
5297.

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B.2.5 - Procedures

1. In employee, in consultation and with the approval of her/his Department Head or, where applicable, in
accordance with the CUPE 2424 collective agreement (Article 15) may select her/his own schedule of
hours within the limitations outlined in Section B.2.2 of Human Resources Policies.

2. Subject to operational requirements, the work schedule (including lunch breaks) will be approved by the
employee’s department head. Every attempt will be made to accommodate the employee’s request.

3. Once approved, the schedule must be adhered to for a minimum of three (3) months, unless both the
employee and Department Head mutually agree to a change.

B.2.6 - Compressed Work Week Policy

In some circumstances it may be possible to accommodate flexible working arrangements under a

"compressed work" schedule.

B.2.7 - Eligibility

All continuing and term employees, except members of CUPE 910, USWA 5297, CUPE 3778 and members of
the Administrative Management Group. Exceptions require the written approval of the President or appropriate
Vice President.

B.2.8 - Procedures

1. Employee(s) submits a proposal including:

a. the proposed hours of work,

b. the proposed distribution of duties during the employee’s absence,
c. possible impacts of the revised hours upon other operating units,
d. and possible impacts of the revised hours upon customer service,

2. Through his/her supervisor, to the Dean, University Librarian or Administrative Director who will forward a
recommendation to the President or Vice-President for decision. The President and Vice-Presidents are
the only University officials who may approve requests for a compressed work week.

3. Compressed work schedules will normally only be approved for work units where there are three or more
full-time positions in the work unit.

4. A compressed work schedule may comprise a maximum of 1 day off in a week as no work day in the
compressed schedule may exceed nine hours. Appendix B. 2.5 - Compressed Working Schedules lists the
possible compressed work schedules.

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5. Once approved the compressed work schedule may be cancelled by the President or Vice-President on
the recommendation of the Dean, University Librarian or Administrative Director if the operational
requirements of the unit change or if they are not being met in accordance with the terms of the schedule.
The employee may also cancel the arrangement. Normally two weeks notice will be given the employee or
the President or Vice-President if the arrangement is to be cancelled.

(Issued: September 1991, Revised: July 1992)

B.3. CHANGES IN WORK HOURS

B.3.1 - Emergency Conditions

1. Only the President, Vice-Presidents or persons designated by them may authorize changes in the normal
hours of work.

2. The University may be required to reduce its level of operation because of severe weather conditions or an
emergency (e.g. fire, physical malfunctioning of the University facilities). It may, therefore, be necessary to
cancel classes and/or to permit flexibility in arrival and departure times. Human Resources should be
notified of any change in hours. They will inform Security Services who, in turn, will inform each of the
operating departments beginning with Public Relations and Information Services.

3. Also see Section E.11 - Guidelines for Early Closing Due to Temperature Extremes

B.3.2 - Cancellation of Classes

Only the President may authorize the cancellation of academic classes. No other person is authorized to
cancel academic classes. Public Relations and Information Services will be notified of a decision to cancel
classes and they will be responsible for any necessary public announcements. Each Dean's office will be
informed prior to the issuing of a public announcement.

(Issued: September 1991)

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B.4. OVERTIME

B.4.1 - General

1. Authorized work performed by all employees in excess of the hours in an employee’s normal work
week, shall be considered to be overtime and such employees shall be paid at the overtime rate. Part-
time employees shall qualify for overtime after thirty-five (35) hours work per week.

2. Overtime shall be paid at the rate of one and one-half times the regular hourly rate.

3. Where an employee requests time off in lieu of overtime, the Employer shall make every effort to
provide such time off at the time selected by the employee. Where the time off accumulated between
February 1 and January 31 of the following year has not been taken, then the employee and her/his
supervisor must arrange for the employee to take the time off by August 31 of that year. The calculation
of time off shall be based on the overtime rate for hours worked in the same week. An employee shall
receive payment in all overtime situations, unless otherwise requested by her/him prior to the overtime
being performed.

4. All employees must accept a reasonable amount of overtime when requested to do so. Overtime will be
offered on an equal basis where two or more employees in a department perform the required work
during normal working hours. The Employer will provide an employee with as much advance notice of a
requirement to work overtime as possible.

5. Compensation for overtime worked on regularly scheduled days off shall be paid at the overtime rate.

6. No employee shall be required to work more than sixteen (16) continuous hours without at least eight
(8) hours break between that and another period of overtime, call-back or normal duty shift.

7. When an employee is required to work overtime for two and one-half (2½) hours or more, following the
normal day’s work, the Employer shall pay a meal allowance at the rate of $10.00.

8. Employees may, by mutual agreement with their supervisors, be allowed to make up time missed from
work which would otherwise be deducted from their pay. Such time may be worked in excess of the
regular work day or regular work week and shall not be computed as overtime.

9. Employees must be authorized in advance by the manager to work overtime, and compensation shall
be arranged with the employee’s manager at the time the overtime is assigned, in time off or pay.

(Date Revised: May 2007)

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B.4.2 - Overtime Scheduled on a Statutory Holiday

With the exception of Easter Monday, an employee who is required to work on a statutory holiday will:

1. be paid at the appropriate overtime rate for the level, for the hours worked, in addition to any applicable
holiday pay; OR
2. Elect to take paid time off equal to the overtime rate for the hours worked and any applicable holiday pay.
3. Statutory holidays are listed in Appendix B.4 - Recognized Statutory Holidays.

B.5. CALLBACK

B.5.1 - Definition of Callback

Callback occurs when an employee has left the University following the completion of a regular work day and is
called back to work with less than sixteen (16) hours’ notice.

B.5.2 - Eligibility

1. This practice applies to union-exempt staff up to and including level seven (7). Union employees should
consult their collective agreements.

2. Employees in Levels 8 to 12 inclusive, unless authorized in advance by the Dean or Director, do not qualify
for call-back pay as set out in paragraphs (1), (2) and (3) below. This section does not apply to those
employees in Levels 8 to 12 inclusive who are covered by the grandfather status.

3. This practice does not apply to managers in the Administrative Management and Senior Confidential
Group.

B.5.3 - Terms and Conditions

1. Callback will not apply to scheduled overtime commencing before and extending into an employee's
regularly scheduled work day.

2. An employee called back to work outside her/his normal working hours will be paid for a minimum of four
(4) hours at the straight time rate OR the overtime rate for all hours worked, whichever is greater.

3. When an employee is required to remain on the job until the commencement of her/his normal work day,
s/he will be paid at the overtime rate until the commencement of the normal work day, at which time
payment reverts to the normal rate of pay.

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B.6. REDUCED-TIME APPOINTMENTS - BENEFIT AND ENTITLEMENT

B.6.1 - Policy and Procedures

 See Section A.14.1 of Human Resources Policies.

B.6.2 - Continuation of Benefits

1. Life Insurance

To retain eligibility, premiums must be continued throughout the year. Coverage can be based on the
nominal or actual salary. When based on the nominal salary, premium cost-sharing is pro-rated to the
employee's weekly hours of work based on a thirty-five (35) hour week.

2. Long-Term Disability

To retain eligibility, premiums must be continued throughout the year. Because of insurance carrier
regulations, coverage and premiums under this plan can be based on the nominal or actual salary for the
first twelve (12) months of the reduced-time appointment, but must be based on the actual salary
thereafter. When based on the nominal salary, premium cost-sharing is pro-rated to the employee's weekly
hours of work based on a thirty-five (35) hour week. As this is an insurance plan, any benefits payable will
not be affected by a shorter work year. For example, long-term disability benefits for a person on claim will
continue as long as the illness lasts - regardless of prior leave arrangements. The normal one hundred and
thirty (130) working day waiting period will apply regardless of whether the employee is at work or on leave.

3. Extended Health Care

These premiums are not based on salary. Premiums must be paid throughout the year to continue
coverage. Provided the University incurs no unusual expense as a result of a reduced-time appointment
(for example , need to replace during absence) the University will pay the normal cost sharing premium;
otherwise, premium cost-sharing is pro-rated to the employee's weekly hours of work based on a thirty-five
(35) hour week. Medical expenses incurred will be reimbursed under the terms of the Health Care Plan.

4. Dental Plan

These premiums are not salary related. Premiums must be paid throughout the year to continue coverage.
Provided the University incurs no unusual expense as a result of the reduced-time appointment, (for
example , need to replace during absence), the University will pay the normal cost sharing premium;
otherwise, premium cost-sharing is pro-rated to the employee's weekly hours of work based on a thirty-five
(35) hour week. Dental expenses incurred will be reimbursed under the terms of the Dental Plan.

5. Retirement Plan

Retirement Plan participation can be based on actual or nominal salary. If participation is based on actual
salary, both the employee and University contributions are based on actual salary and credited service is
pro-rated accordingly. If participation is based on nominal salary, full credited service is granted. However,

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the University contribution is based on actual salary, whereas the employee contribution is based on
nominal salary. Also, the employee is required to make up the difference in University contributions
between actual and nominal salary.

6. Employment Insurance Contribution

Premiums are based on actual salary payments. Therefore, deductions will be made only during the time
the employee is receiving a salary from the University. If a staff member chooses to receive his/her pay
over twelve months, E.I. premiums will be deducted each month in the normal manner.

7. Employment Insurance Claims

The University is required to issue a E.I. "Record of Employment Certificate" indicating an interruption in
earnings and providing reasons for the interruption. For example, a certificate must be issued under an
eight month reduced assignment when the salary is paid over an eight month period. Questions regarding
employment insurance claims should be directed to the local E.I. Office.

8. Vacations

Vacation entitlements are pro-rated in accordance with the reduced-time appointment. For example, an
employee on a two-thirds appointment is eligible for a vacation entitlement equal to two-thirds of her/his
normal full-time entitlement. When an employee is on a reduced-time appointment that results in her/him
working less than twelve (12) months, the vacation entitlement must be taken during the work period.
Specifically, annual leave cannot be taken during the months the employee is on leave without pay.

9. Sick Leave

Sick leave entitlements are pro-rated in accordance with the reduced-time appointment. For example, an
employee on a two-thirds appointment is eligible for a sick leave entitlement equal to two-thirds of her/his
normal full-time entitlement. (See paragraph (2) above for LTDI details).

10. Seniority

Seniority entitlement is also pro-rated to the appropriate percentage of the reduced-time appointment.
Examples given under vacation and sick leave apply in the same way to seniority entitlement.

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B.7. PART-TIME EMPLOYEES - BENEFIT ENTITLEMENT

For a definition of Types of Appointments, and Part-Time Status see Sections A. 5 and A. 7 of Human
Resources Policies.

B.7.1- Part-Time Employees - Continuing Appointment

Employees in this category are on annual salary in an established position and are eligible for the same
University benefit plans (see Appendix B.11 - Benefit Plans) tuition waiver (see Section C.8) and an
identification card as full-time continuing appointees.

B.7.2 - Part-Time Employees - Term Appointment

Employees in this category are on annual salary and are eligible for University benefit plans (see Appendix
B.11) tuition waiver and an identification card.

B.7.3 - Part-Time Employees - Replacement Appointment

1. Employees in this category are paid on an hourly basis. Their positions are temporary without a guarantee
of continuing employment. Subject to established budget procedures, individual departments are
responsible for hiring and terminating such employees. These employees are eligible for some University
Benefit Plans (see Appendix B. 11) tuition waiver (see Section C. 8) and an identification card.

2. To establish the employee’s eligibility for benefits, the department must forward the following information to
Human Resources:

a. employee’s name and most recent date of hiring; and

b. number of hours the employee will work per week.

3. From date of appointment such employees become eligible for annual, sick and other leave credits, (e.g.
special leave). This does not, however, include eligibility for late arrival and early departure for legal,
medical, and dental appointments nor additional parental leave.

B.7.4 - Part-Time Employees - Temporary Appointment

1. Employees in this category are paid on an hourly basis. These positions are temporary without a
guarantee of continuing employment. Subject to established budget procedures, individual departments are
responsible for hiring and terminating such employees. Employees who work more than 24 hours per week
for a period of three (3) consecutive months are eligible, at the beginning of their fourth month of
employment, for the University benefit plans (see Appendix B.11) tuition waiver (see Section C. 8) and an
identification card.

2. To establish the employee's eligibility for benefits, the department must forward the following information to
Human Resources upon the employee completing three (3) consecutive months of employment:

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a. employee’s name and most recent date of hiring; and

b. number of hours worked by the employee each week since the date of hiring.

3. Commencing with the fourth month of employment, employees are also eligible for annual, sick, and other
leave credits, (e.g., special leave). This does not, however, include eligibility for late arrival and early
departure for legal, medical and dental appointments nor additional parental leave.

B.8. LEAVE WITH PAY

B.8.1 - Policy

The University expects employees to be present at work in accordance with prescribed days and hours of
work. However, an employee may be authorized to be late or absent from work and may be compensated
either totally or partially for this period of absence in accordance with the University's leave with pay policies.

B.8.2 - Statutory Holidays

1. For a list of approved Statutory Holidays see Appendix B.4.

2. Eligibility

This section applies to full-time and part-time employees on continuing, term, replacement and temporary
appointments in union-exempt positions. For a full explanation of statutory holidays for temporary
employees see paragraph (3) below. Employees in bargaining units should refer to their collective
agreements.

3. Terms and Conditions

a. When a statutory holiday falls on an employee's regular day off s/he will be granted pay at the overtime
rate for hours worked in addition to any applicable holiday pay unless such employee elects to take
time off with pay in an amount equal to the overtime rates for hours worked. For part-time employees
on continuing and term appointments, time off and/or pay in lieu of time off will be pro-rated to her/his
normal work week. For example in the case of an employee who works 21 hours per week, the holiday
or pay entitlement will be calculated as follows: 7 hours x 21/35 = 4.2 hours of pay or time off in lieu of
pay. Following the above example, when the part-time employee works a seven hour day, and s/he
takes a seven (7) hour day off in lieu of pay, 4.2 hours will be with pay but the remaining 2.8 hours must
be taken as annual leave. Time off must be scheduled by mutual agreement between the department
head and the individual employee.

b. Employees must work the scheduled work day before, and the scheduled work day following a statutory
holiday, to qualify for pay for the holiday. This requirement is deemed to have been met if an employee
is on vacation or on other approved paid leave.

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c. The University is open Easter Monday and some employees will be scheduled to work that day.
Employees required to work Easter Monday will receive equivalent time off without loss of pay.
Time off must be scheduled by mutual agreement between the department head and the
individual employee.

4. Statutory Holidays - Employees in a Temporary Appointment

Employees as noted above may be entitled to statutory holidays or pay in accordance with the Employment
Standards Act. Generally, employees in this category will NOT receive compensation if they:

a) were employed for less than three months; OR

b) were employed for more than three months but worked less than 17.5 hours per week; OR
c) have not earned wages for at least twelve days during the past four weeks immediately
preceding a public holiday; OR
d) failed to work a regularly scheduled day preceding or following a statutory holiday; OR
e) agreed to work on a statutory holiday and, without reasonable cause, failed to report for and
perform work; OR
f) were employed under an arrangement whereby the employee may elect to work or not when
requested to do so.

B.8.3 - Annual Leave

1. Vacation Year

The vacation year is defined as the twelve (12) month period inclusive from the date of hire.

2. Vacation Entitlement - First Year of Service

a. Employees in levels two (2) to seven (7) shall earn annual leave at the rate of 1.25 days per month.
b. Employees in levels eight (8) and higher, including employees in term and replacement
appointments, shall earn annual leave at the rate of 1.83 days per month.
c. Employees in temporary appointments, regardless of level, earn annual leave at the rate of 1.25
days per month.
d. During the first year of service, an employee will earn annual leave as noted above for each month
in which s/he worked one-half or more of the working days - with the right to take days as they
accumulate in accordance with point (5.) below.

3. Vacation Entitlement - Beyond the First Year of Service

Other than the first year of service, an employee will receive one (1) full year's entitlement on the
anniversary of the employee's date of hire. See Appendix B.5 - Vacation Entitlement based on years of
service. An employee may use her/his entitlement anytime within the vacation year in accordance with (5)
below.

4. Accumulating Annual Leave

An employee may not accumulate annual leave in excess of thirty (30) days. In special circumstances and
upon written application to the employee's supervisor, with a copy to the Director Assistant Vice-President

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(Human Resources), an employee may be permitted to accumulate earned annual leave up to a maximum
of forty (40) days for special extended vacation. See Appendix B.5.1 - Accumulated Annual Leave Policy.

5. Scheduling Annual Leave

The department head is responsible for scheduling annual vacations to ensure that operational
requirements of the department are met. In so doing, s/he will consider the wishes of employees. Conflicts
between employees will be resolved based on seniority. However, an employee will not be permitted to
exercise seniority rights to change her/his selected vacation period once the vacation schedule has been
established.

6. Reporting Annual Leave

Employees are required to report annual leave taken by completing a monthly leave report and submitting
it to their supervisor.

7. Vacation Entitlement While on Leave Without Pay

The University will hold an employee's accumulated annual leave credits while the employee is on leave
without pay. However, annual leave will not accrue during this period. In the case of an incomplete month
of service, the employee is entitled to that month's vacation credit only when the employee has worked
one-half or more of the working days in the month.

8. Compensation for Statutory Holidays Occurring During Annual Leave

When a statutory holiday is observed during an employee's annual vacation, the employee will not record it
as a day of annual leave but will observe it as a regular statutory holiday.

9. Compensation for Illness during Annual Leave

Where an employee on vacation satisfies the employer that s/he was incapacitated due to serious illness or
accident, s/he will be allowed to claim sick leave for this period to the extent that s/he has accumulated sick
leave. In such instances, the employee will not lose vacation time.

10. Termination

When an employee terminates her/his employment, her/his final pay cheque will be credited or debited, in
accordance with the current rate of pay, for annual leave accumulated or owed at the date of termination.

11. Information Regarding Annual Leave Credits

By May 31st each year all employees will be advised in writing by Human Resources of the amount of
annual vacation standing to their credit at April 30th each year. Employees may request and obtain
information regarding annual vacation credits from their supervisor on an as required basis.

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B.8.4 - Sick Leave

1. Eligibility During First Year of Service

At the date of hire an employee will be granted sick leave at the rate of one and one-half (1.50) days for
every full calendar month of service. (A full calendar month of service is defined as more than half the
normal working days of the month.) This leave entitlement will continue during the employee's first year of
service.

2. If during the first year of service an employee requires more sick leave than is accumulated, annual leave
credits or overtime credits may be used or leave without pay may be granted for a period not to exceed the
length of the waiting period for the University's Long Term Disability Insurance Plan. If an employee wishes
to maintain all or a portion of her/his benefit plans while on sick leave without pay, s/he is responsible for
paying the full premium(s).

3. Eligibility Following Completion of One Year of Service

a. After the completion of one year of service, employees in continuing or term appointments are
eligible to receive full salary while absent from work on sick leave to a maximum of one hundred
and thirty (130) working days, which represents the waiting period for Long Term Disability
Insurance benefits for any one illness. If an employee is absent from work due to illness on the date
of completion of one year of service the sick leave bank of 130 days will not be available until the
employee resumes full-time employment following the illness in question.

b. Upon return to work following sick leave or long term disability leave the employee is again eligible
for the sick leave bank of 130 days. In the case of a recurrence of the same illness or injury which
required the original sick leave or long term disability leave, the employee shall be entitled to the
lesser of 130 days or the period of time required to serve the waiting period for long term disability
benefits.

4. Notification

a. Employees are required to notify their supervisor (or designate) as soon as possible on the first day
of the employee's absence. In the case of an anticipated absence of less than five (5) days,
employees will contact their supervisor on a daily basis. In the case of an anticipated absence of
more than five (5) days, employees will keep their supervisor informed on a weekly basis. Failure to
comply with this provision may result in a denial of sick leave pay. The employee must also satisfy
that s/he was ill and unable to work in order to receive sick leave pay. Supervisors should notify
Human Resources if Sick Leave continues beyond one month.

b. Employees may be required to provide a physician's certificate for any absence due to illness in
excess of five (5) consecutive working days. Employees may be allowed up to seven (7) working
days of uncertified sick leave per year after which the employee may be required to provide a
physician's certificate or accept an examination by a medical representative designated by the
University. Failure to attend such examination may result in loss of pay.

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B.8.5 - Special Leave

1. Special leave to a maximum of six (6) days per annum will be granted as follows:

a. Illness in the employee's household and/or immediate family - up to five (5) days per occasion.
(Immediate family is defined as: the employee's parents and children, including step parents, foster
parents, step children, ward or foster children).
b. Fire or other problem resulting in property damage in the employee's residence - two (2) days per
occasion.
c. Medical, dental and legal appointments for the employee or her/his immediate family requiring
absence from work - one half-day (.5) per occasion.
d. Moving of an employee’s household - one (1) day per occasion.
e. Preparing for OR writing an examination for a credit course - one half-day (.5) per occasion.
f. Marriage - up to four (4) days at the employee’s discretion.
g. Birth of a child (for spouse) - up to five (5) days per occasion.

2. With supervisory permission, an employee may be allowed an early departure or a late arrival to attend
medical, dental and/or legal appointments for the employee or for her/his immediate family not requiring a
half day's absence. Such permission will not be unreasonably withheld.

3. Late arrival is not to be more than one hour after the normal starting time, and early departure is not to be
more than one hour before the normal quitting time.

4. Definition of Immediate Family

Immediate family for this purpose is defined as the employee's spouse, parents, grandparents and children
only, to include step parent, foster parent, step child, ward or foster child.

B.8.6 - Court Leave

Paid leave will be granted to any employee who is required by any Canadian body with powers of subpoena to
be a witness or juror. The employee shall notify her/his supervisor immediately upon receiving notification that
s/he will be required to attend court and present proof of required service.

B.8.7 - Bereavement Leave

1. The University will allow an employee up to five (5) working days off without loss of pay in order to make
the necessary arrangements and to attend the funeral of a member of his/her immediate family.

2. Immediate family is defined as: father, mother, stepfather, stepmother, foster parent, brother, sister,
spouse, child, stepchild, ward of the employee, foster child, grandchild of the employee, father-in-law,
mother-in-law and grandparents of the employee.

3. In the case of the death of an employee's sister-in-law, brother-in-law, son-in-law or daughter-in-law, the
University shall grant up to three (3) working days off without loss of pay to attend the funeral.

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4. If during a vacation period an employee is bereaved in circumstances under which s/he would have been
eligible for leave, s/he shall be granted bereavement leave and her/his vacation credits will be adjusted
accordingly.

B.8.8 - Pregnancy/Parental Leave (For Natural Mothers)

1. Eligibility

Natural mothers are entitled to seventeen weeks pregnancy leave followed by eighteen weeks parental
leave, upon request, in accordance with the provision of the Employment Standards Act of Ontario.

2. Financial Considerations

The employee who applies for and is declared eligible to receive Employment Insurance pregnancy leave
benefits is entitled to receive the following benefits from the University while on pregnancy leave:

a. for each of the two (2) weeks of the waiting period required by the Employment Insurance plan,
a payment equal to 95% of the employee's weekly gross salary, and

b. for each of the fifteen (15) weeks where the employee receives Employment Insurance
pregnancy leave benefits, supplementary payments equal to the difference between 95% of the
employee's weekly gross salary and the Employment Insurance payment received.

3. Such payments will be made providing that the employee is not receiving other earnings or payments such
that the combined weekly payment (including Employment Insurance benefits, supplementary University
payments, and other employment earnings) exceeds 95% of the employee's normal weekly earnings.

4. Supplementary pregnancy leave payments will not be made by the University:

a. beyond an employment termination date;

b. should Human Resources and Skills Development Canada disqualify the employee from
receiving Employment Insurance pregnancy leave benefits;

c. unless the employee is a continuing or term employee who has at least six (6) months service.

5. Should Human Resources and Skills Development Canada eliminate or reduce the payment of
Employment Insurance pregnancy leave benefits, the employee is entitled to receive from the University
payments equivalent to those which would have been made under the Employment Insurance SUB plan at
the time immediately prior to its elimination or reduction.

6. Scheduling Leave

The employee must apply, in writing, to her department head at least two (2) weeks prior to the
commencement of leave and must give four (4) weeks notice of the date leave is to end.

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7. Seniority Rights

Seniority rights continue during pregnancy/parental leave.

8. Benefits

a. The University will hold the employee's accumulated annual leave credits while she is on
pregnancy/parental leave. Annual leave will accrue during the employee's pregnancy/ parental
leave (35 weeks).

b. While on pregnancy leave, the employee receiving supplementary leave benefits will continue to
participate in the University benefit plans on a normal cost-sharing arrangement. Benefits and
benefit plan premiums will be based on the nominal salary. For those employees not receiving
supplementary pregnancy leave benefits, the University will continue to pay its share of benefit
plans if the employee agrees to continue paying her share of the premiums.

c. While on parental leave, whether or not she qualifies for supplementary pregnancy payments
during pregnancy leave, the employee may continue to participate in the Group Life Insurance,
Extended Health Care, Dental and Retirement Plans if she agrees to continue paying her share
of premiums. Employees may participate in the Long Term Disability Plan, provided they pay all
required premiums.

9. Return to Work

A Continuing Employee who returns to work from pregnancy/parental leave shall be returned to the
position held prior to the leave. A Term Employee who returns to work from pregnancy/parental leave shall
be returned to the position held prior to the leave provided the expiry date of the leave does not exceed the
specified termination date of the term appointment. A Replacement Employee who returns to work from
pregnancy/parental leave shall be returned to the position held prior to the leave provided that the
Continuing or Term Employee who was being replaced has not returned to the position. A Temporary
Employee who returns to work from pregnancy/parental leave shall be returned to the position held prior to
the leave provided that the work of the position still exists.

10. Additional Leave

Upon request, an employee on pregnancy/parental leave, whether or not she qualifies for supplementary
pregnancy leave payments, will be granted a further seventeen (17) weeks of unpaid leave. If the
employee wants to continue membership in benefit plans during this additional leave period, she will be
responsible for the full cost of the plans, i.e., both the employee and University portions. The University will
hold the employee's accumulated annual leave credits. However, such leave will not accrue during the
period of additional leave. Following such leave, the employee will be reinstated to her former position or
placed in a job of at least equal classification level, and salary. This paragraph does not apply to
replacement, term or temporary employees.

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B.8.9 - Parental Leave (For other than Natural Mothers)

1. Eligibility

In accordance with the provisions of the Employment Standards Act of Ontario, after thirteen (13) weeks of
employment, parents (other than the natural mother) are entitled to eighteen weeks parental leave upon
request. Parent as defined in this paragraph includes the natural father, adoptive parents, as well as a
person in a relationship of some permanence with the natural or adoptive mother or father of the child who
intends to treat the child as her or his own.

2. Financial Considerations

The employee who applies for and is declared to be eligible to receive Employment Insurance parental
leave benefits is entitled to receive from the University the benefits listed in a) and b) while on parental
leave.

a. For each of the two (2) weeks of the waiting period required by the Employment Insurance plan, a
payment equal to 95% of the employee's weekly gross salary.

b. For up to ten (10) weeks where the employee receives Employment Insurance parental leave
benefits, supplementary payments equal to the difference between 95% of the employee's weekly
gross salary and the Employment Insurance payment received.

c. Such payments will be made providing the employee is not receiving other earnings or payments
such that the combined weekly payment (including Employment Insurance benefits, supplementary
University payments and other employment earnings) does not exceed 95% of the employee's
normal weekly earnings.

3. Terms and Conditions

The terms and conditions of parental leave (for other than natural mothers) are the same as those outlined
in Section B. 8.8 paragraphs (6), (7), (8), and (9).

4. Additional Leave

Upon request, an employee on parental leave due to adoption, whether or not the employee qualifies for
supplementary parental leave payments, will be granted a further thirty-four (34) weeks of unpaid leave. If
the employee wants to continue membership in benefit plans during this additional leave period, the
employee will be responsible for the full cost of the plans, i.e., both the employee and University portions.
As in the case of pregnancy/parental leave, the University will hold the employee's accumulated annual
leave credits. However, such leave will not accrue during the period of additional leave. Following such
leave, the employee will be reinstated to her/his former position or placed in a job of at least equal
classification level, and salary. This paragraph does not apply to replacement, term or temporary
employees.

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B.8.10 - Elections

Employees who are eligible to vote in federal, provincial and municipal elections are entitled to three
consecutive hours of leave, while the polls are open, for the purpose of voting. If an employee's hours of
employment do not allow for three consecutive hours before the closing of the polls, the employee may, at a
time convenient to the supervisor, be absent from work without loss of pay. Employees may waive all or part of
the time off.

B.8.11 - Self-Funded Leave Plan

1. Purpose of the Plan

The purpose of the plan is to fund a leave of absence which will afford employees an opportunity to have
an extended break from work for personal reasons. It is not intended to help fund a retirement or other
permanent separation from the University. Government regulations require that upon completion of the
leave of absence the employee is to return to the University for a period equal to or greater than the
duration of the leave.

2. Salary Deferral

Deferral of salary may not exceed 33-1/3% of annual nominal salary (see Appendix B.12 -Salary Deferral
Options.) The deferred amount will be held in a separate account for each participant by the Bank of Nova
Scotia. Interest will be credited to the account monthly. The accumulated interest will be paid to the
employee each year during the deferral period. The interest is taxable in the calendar year in which it is
earned and the amount must be reported by the employee on his/her personal tax return for that year. The
amount of interest earned each year will be reported by the University to the employee and to Revenue
Canada on a T4A form.

3. Duration of Leave

The leave must be at least six months and no longer than 12 months. The leave must start within six years
of the date of the first salary deferral. The leave must be taken at the end of the deferral period. The
employee may not, for example, take a leave in year two and then pay the University back over the next
three years. During the leave, the individual may not be employed by the University in any capacity even if
that employment is casual and unrelated to his/her normal duties.

4. Eligibility

The plan is available to non-academic staff with a continuing appointment with the University, following the
completion of the probation period.

5. Application Process

An application, in writing, must be made through the employee's Department Head to their Dean, University
Librarian, Director or Vice President as appropriate. The application will be reviewed and a decision made
based on the operational requirements of the applicant's work unit. Upon approval the application should
be forwarded to the Assistant Vice-President (Human Resources) for implementation.

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6. Benefit Coverage During the Salary Deferral Period

a. Retirement Plan contributions, at the choice of the employee, can either be based on the nominal
salary (100%) or the reduced salary. The University will match the contributions made by the
employee. The amount of pensionable service credited will be pro-rated according to the choice
made by the employee.

b. Income Tax and Canada Pension Plan contributions will be based on the reduced salary.

c. Life Insurance, Long Term Disability and Employment Insurance premiums and benefits will be
based on the nominal salary (100%) and normal premium cost sharing arrangements will apply.

d. Extended Health Care and Dental Insurance premiums remain the same and the normal cost
sharing arrangements apply.

e. Vacation and Sick Leave credits will accumulate as if the employee is receiving 100% of salary.

7. Benefit Coverage During the Leave Period

a. Under present Revenue Canada regulations, Retirement Plan contributions are permitted. Any
future changes to the regulations will be considered by the University in the context of the plan.

b. Income Tax and Canada Pension Plan contributions will be deducted from the deferred salary
payments.

c. Benefit coverage based on nominal salary (100%) will be available, at the choice of the employee,
in the Life Insurance, Long Term Disability, Extended Health Care, Dental Insurance Plans.
Premiums for coverage under these plans will be the full responsibility of the employee. The
University will not pay any portion of these premiums. This premium cost sharing practice is
consistent with the University Policy on Leave Without Pay.

d. The premiums will be deducted from the deferred salary payments if the employee elects to
maintain coverage.

e. Vacation and Sick Leave credits will not accumulate.

8. Payment of the Deferred Salary

The deferred salary will be paid by the University in equal installments on the regular pay dates of the
employee.

9. Return from Leave

On return from leave, an employee has the right to return to the same position held prior to going on leave.
Vacation and sick leave balances to the credit of an employee immediately prior to the leave will be
reinstated.

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10. Cancellation of the Leave

It is expected that an individual will continue to be committed to his/her plan for self funded leave. However,
in the case of unforeseen or extenuating circumstances, an employee may withdraw from the plan up to
three months prior to taking her/his leave of absence provided that s/he notifies the Department Head or
Dean and the Assistant Vice-President (Human Resources) in writing. The accumulated salary deferral
less required tax withholdings plus any accrued interest not already paid will be returned to the employee
on withdrawal. Withdrawal from the plan does not prevent the employee from reapplying at a later date.
Should an employee die while participating in the plan, any balance in the employee's account at the time
of death shall be paid to the employee's estate.

11. Other Matters

a. An employee shall assume the responsibility of making himself/herself aware of the implications of
the plan related to its effect on pension provisions and income tax. Those wishing to participate in
the last 5 years before retirement should take care to look into the implications of doing so.

b. The University intends to maintain the Plan in force indefinitely, but nevertheless retains the right to
amend or discontinue the plan in whole or in part, at any time. However, no amendment to the plan
initiated by the University shall operate to reduce the benefits accruing to employees who are
enrolled in the plan at time of amendment.

c. This plan is administered by Human Resources.

B.9. LEAVE WITHOUT PAY

B.9.1 - Policy

1. Any employee occupying a continuing position, who has a minimum of one (1) year continuous service,
may apply for a leave of absence, without pay, for personal reasons. Such requests may be for as short a
period as one (1) day or for as long as one (1) year. Requests, stating reasons, are to be made in writing to
the employee's Department Head and are subject to the approval of the Assistant Vice-President (Human
Resources). Permission for such leaves of absence shall not be unreasonably withheld. Upon returning to
the University, the employee shall be reinstated in her/his former position or one of at least equal salary.

2. Benefit plans can be continued during the leave without pay. In such cases the employee is responsible for
the full cost of the premiums. More complete information on benefit plan options and coverage can be
obtained by contacting the Pensions and Benefits Section of Human Resources.

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B.10. WORKPLACE SAFETY AND INSURANCE ACT AND RETURN TO WORK PROGRAM

B.10.1 - Policy

All University employees are eligible to apply for compensation for loss of pay and medical expenses arising
from work-related injury or occupational disease.

In compliance with the requirements of the revised Workplace Safety and Insurance Act, and the Human
Rights Code, the University recognizes the benefits of a formal Return to Work Program to provide a fair and
consistent policy for rehabilitating employees with occupational or non-occupational injuries or illnesses.

The University therefore undertakes, where practicable, to provide employment for both permanently and
temporarily disabled employees.

B.10.2 - Definitions

Return to Work Program: A Return to Work Program is a process for returning injured or disabled employees
to the workplace as soon as possible after injury or the onset of disability. The program recognizes the
University’s responsibility and participation in the effective rehabilitation of injured or disabled employees.

Modified Work: Modified work is any job, task, function or combination thereof that a worker who suffers from a
diminished capacity may perform safely without risk of re-injury or exacerbation of disability or risk to others.
The work must be productive and the result or the work must have value.

Program Manager: The Program Manager is the Assistant Director, Pensions and Benefits, Human Resources.

B.10.3 - Accommodation

Where suitable opportunities exist, the Return to Work Program will be available to all employees who have
been approved by the WSIB, and/or their treating physician to return to work and are able to perform the
essential duties of their regular position or other suitable work that may be available.

Assistance will be provided where possible, to temporarily accommodate the needs of the injured or ill
employee in their own department, in order to facilitate the employee's reintegration to the workplace and a
return to their regular duties.

Issues to be addressed in identifying appropriate accommodations for the employee returning to modified work
will be:
 reduced hours
 accessibility of facilities
 job restructuring and altering the ways in which tasks are accomplished
 creating modified or part-time work schedules
 providing assistance or support staff
 special project work
 a temporary alternate position.

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Should the employee’s pre-injury/illness department be unable to provide modified work, a search will be
conducted throughout the University for a position that would provide appropriate accommodation, based on
the employee’s skills and functional abilities.

The employee will be placed on a Priority Placement listing which will be provided to hiring departments.

With the agreement of the union on a case by case basis, hiring departments will be required to demonstrate
that every effort has been made to fill vacant term or continuing positions with qualified staff from the Priority
Placement list before other candidates can be considered.

B.10.3.1 - Temporary Accommodation

A temporary accommodation will be considered a period not exceeding six months. Temporary
accommodations lasting more than six months must be approved by the appropriate bargaining unit
representative, the manager and the Assistant Vice-President (Human Resources).

In all cases involving a bargaining unit employee and where that employee is placed in a position in another
bargaining unit or non-bargaining unit, the employee will continue to be represented by the pre-injury/illness
bargaining unit until that point in time when the employee returns to the pre-injury/illness job.

During the period of temporary accommodation, while the employee is participating in the Return to Work
Program, the accommodation will not result in an adjustment to wages. Wages will continue to be charged to
the pre-injury/illness department.

B10.3.2 - Permanent Accommodation

In cases involving a bargaining unit employee who is declared to be unable to ever return to the pre-
injury/illness position, and is permanently accommodated in another position, employment rights will emanate
from the bargaining unit of the new position.

Permanent accommodations and temporary accommodations of more than six months’ duration will be
reviewed on a case by case basis by senior management, the appropriate bargaining unit and the Program
Manager to determine if a wage adjustment is required.

B.10.3.3 - Refusal of Accommodation

When an employee is offered appropriate duties within the prescribed abilities but declines the offer, and when
all other offers of appropriate accommodation are declined, and there is no medical information to substantiate
a continued absence from the workplace, the Program Manager will notify WSIB, if applicable, and the
appropriate union. Continued refusal by the employee of suitable work may affect benefit entitlements.

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B.10.4 - Responsibility

B.10.4.1 - Employee Responsibility

The injured/disabled employee has the following responsibilities:

 follow appropriate medical treatment

 report promptly all work-related injuries or absences due to illness to supervisor
 return the Functional Ability Form from the health professional after seeking medical treatment
 maintain regular contact with the supervisor and keep the supervisor informed of any changes to medical
condition
 participate in developing a Return To Work Program and co-operate in job reassignments where required
 provide the Program Manager with a medical release
 communicate any difficulties regarding the duties to immediate supervisor
 attempt to schedule activities such as physiotherapy or medical appointments so they do not interfere with
the return to work
 invite a union representative to attend the return to work meetings with the Program Manager
 comply with standard university policies.

B.10.4.2 - Supervisor Responsibility

Upon learning of an occupational injury or disease the supervisor must:

 furnish first aid treatment

 record first aid attention
 complete and give to the worker the Treatment Memorandum Form 156 if the worker needs more than first
aid treatment
 provide immediate transportation to a medical facility, doctor or the employee’s home as necessary
 complete the appropriate sections of the WSIB Form 7 and return all copies to Human Resources within 24
hours of notification of an accident or illness

In all cases of occupational and non-occupational injury or illness, the supervisor must:

 maintain contact with the employee and determine the general fitness of the employee, the expected return
to work date and advise the employee if modified work is available
 work with the Program Manager to design suitable duties and accommodation
 train the injured employee on the new duties
 brief co-workers
 meet with the returning employee to review any concerns the employee may have
 complete the Return to Work Weekly Progress Reports and forward them to the Program Manager

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B.10.4.3 - Program Manager Responsibility

The Program Manager will be responsible for:

 the over-all management and the day-to-day operations of the Return to Work program
 communicating the Return to Work program
 training staff and management on the Return to Work program
 co-ordinating return to work meetings with the employee and the supervisor
 preparing and offering the modified work assignment to employee
 ensuring the supervisor and the union receive a copy of the signed modified work assignment
 meeting with the employee on the first day back and facilitating the return to work
 ensuring proper medical release is received
 monitoring the progress of the employee
 establishing and maintaining effective communication with WSIB or the Long Term Disability carrier
 serving as a liaison between management, the employee and the union
 maintaining appropriate records
 reviewing the overall results of the Return to Work program and reporting those results to management and
union representatives
 recommending modifications to the program.

B.10.5 - Compensation

1. Full time and part time employees on continuing, term and replacement appointments and temporary
employees beginning their fourth month of employment who are working 17.5 or more hours per week for a
period of three (3) consecutive months will be eligible for additional compensation as in (2) below.

2. Employees in the categories noted in (1) above, who are prevented from performing their work because of
an injury or occupational disease that is covered by the Workplace Safety and Insurance Board (WSIB),
will receive from the University the difference between the amount payable by WSIB and their regular
salary. Benefits will continue in accordance with what was in place at the time of injury. In such cases, the
employee will continue to receive regular pay for a period not to exceed six (6) months. At that time the
University will review the claim to determine if the employee is to continue on full salary or receive only the
WSIB benefits.

3. Employees on temporary appointment, not covered by Section B.10.4, who are prevented from performing
their normal work with the University because of an injury or occupational disease that is covered by WSIB
will not receive any payment of wages in respect of time away from work as a result of the injury or
occupational disease. They will, however, receive any compensation payment for which they are eligible
through the WSIB.

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B.11. BENEFIT PLANS

B.11.1

1. The University has a comprehensive Benefits Program for employees which may vary depending on the
type of appointment.

2. Employees who are in a bargaining unit should consult their collective agreement regarding benefit plans
or the "Benefit Plan Booklet" for their bargaining unit.

3. Details regarding benefit plan coverage for union-exempt employees are available in the "Benefit Plan
Booklet" issued to all exempt staff or on the Human Resources Website.

4. A summary of the benefit plans and eligibility is outlined in Appendix B.11 - Benefit Plans.

B.12. RETIREES

B.12.1 - Retirement Allowance

Employees with thirteen (13) or more years of continuous employment who retire from Carleton University in
accordance with the provisions of the Carleton University Retirement Plan will be paid a retirement allowance
equal to one (1) week’s salary for each year of continuous service to a maximum of fifteen (15) years.

B.12.2 - Privileges for Retired Employees

Employees who retire from the University in accordance with the provisions of the Carleton University
Retirement Plan are entitled to the privileges which are available at the time of retirement. Currently, these are:

1. When an employee has at least five (5) years of service and has reached age fifty-five (55) or over at
retirement, her/his Extended Health Care coverage will continue, at no cost to the employee, provided s/he
was a member of the plan at retirement.

2. Retirees will receive free access to the University Library, Athletic facilities, and Health Services on the
same basis as full-time continuing staff. A special identification card will be issued by the Card Office upon
request.

3. The University will, upon annual application, pay the membership fee for use of the University Faculty Club
facilities for those employees who have been members of the Faculty Club for at least 12 months, at the
time of their retirement. Other expenses associated with the use of the Faculty Club will be the
responsibility of the retiree.

4. A copy of "This Week at Carleton" will be sent to retirees upon request. Annually, retirees will be asked by
an insert in "This week at Carleton" to indicate if they want to continue to receive the publication.

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5. Continuation of Coverage for Surviving Dependents of Retired Employees

If a Retired Employee becomes deceased, coverage for his or her surviving spouse and surviving
dependent children will be continued; provided the Dependents were enrolled as such prior to the date of
the Employee's death and the required premium's are paid during such continuance.

Coverage for the surviving Dependents will terminate on the earliest of the following:

For the surviving spouse:

a. the date of death of the spouse, or
b. the end of the month in which remarriage occurs.

For the surviving child:

a. the date of death of the child,
b. the end of the month in which the surviving spouse (parent) remarries, or
c. the end of the month in which the surviving child ceases to be a Dependent as defined herein.

The term "surviving children" shall include any child conceived before and born after the Employee's death,
and who would otherwise have been covered as a Dependent of such Employee.

(Revised: February 1995)

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B.13. COMPENSATION - JOB CLASSIFICATION/SALARY ADMINISTRATION - ADMIN / TECH. EXEMPT (LEVELS 2-12)
B.13.1 - Policy

1. The University’s compensation policy is designed to:

a. pay salaries that will attract and retain qualified personnel who can perform the tasks necessary for
the successful operation of the University;
b. maintain an equitable relationship between salaries paid by the University and those paid externally
for comparable occupational groups;
c. maintain equitable relationships amongst internal jobs with similar requirements; and
d. maintain uniform administration of salaries across broad occupational groups.

B.13.2 - Job Classification

To implement the salary administration objectives outlined above, the University uses a point-rating job
classification system. This system is used to determine the relative value of all positions in the Administrative
/Technical Exempt Group. The classification system defines those characteristics or "factors" that are present
in all positions evaluated within the system. The degree to which each "factor" is present in a given job is
determined and a point value is assigned to each factor. The sum of these point values determines the value of
the position. Positions that fall within a designated point range are regarded as equal and are assigned the
same classification level. Appendix B.13 - Point Score Ranges outlines points associated with each
classification level.

B.13.3 - Job Descriptions

1. Guidelines to Assist Staff in Writing Job Descriptions can be found on the HR Website.
2. Preparing a Position Description for an Existing Position The job description can be completed and signed
by the Employee in consultation with the Supervisor. The job description consists of Part A (the job
identification information), Part B (the position summary), and Part C (the primary duties performed). The
job description is then sent to the Department Head with a copy to Human Resources and dealt with in
accordance with the procedures outlined below.

a. The Classification Analyst will meet with the Employee to review duties, responsibilities and the
environment in which they are carried out.
b. The Classification Analyst will meet with the Supervisor to identify appropriate position
specifications. The Classification Analyst then makes a formal recommendation to the
Dean/Administrative Director on the appropriate specifications. If the Supervisor disagrees with the
recommended specifications, the Classification Analyst, the Supervisor and the Dean will meet and
attempt to reconcile the differences.
c. The Bona-Fide staffing requirements and classification level are recommended to the RPC Chair by
the Assistant Director, Human Resources (Compensation and HRIS), with the advice of the
Classification Analyst.

3. Preparing a Job Description for a New Position

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The job description is completed and signed by the supervisor. The job description consists of Part A
(identification information), Part B (position summary), and Part C (primary duties performed). The job
description is then sent to the Department Head with a copy to Human Resources and dealt with in
accordance with the procedures outlined below:

a. The Classification Analyst will meet with the Supervisor to identify appropriate position
specifications. The Classification Analyst then makes a formal recommendation to the
Dean/Administrative Director on the appropriate specifications. If the Supervisor disagrees with the
recommended specifications, the Classification Analyst, the Supervisor and the Dean will meet and
attempt to reconcile the differences.

b. The Bona-Fide staffing requirements and classification level are recommended to the RPC Chair by
the Assistant Director, Human Resources (Compensation and HRIS), with the advice of the
Classification Analyst.

B.13.4 - Review Procedures

B.13.4.1 - Review Procedures - Employee Initiated Request

1. When an Employee in an existing job classification believes that their position is incorrectly classified, s/he
may submit a review request to her/his Supervisor. A review request must include:

a. the Employee's full name, present classification and salary;

b. the name of the department and/or section and location of work;
c. a new or up-dated job description for the position under review;
d. reasons why the present classification is considered to be inappropriate and justification for the job
classification considered to be correct;

2. A request for review will not be considered on the grounds of inadequate pay scale.

3. Supervisor Action

a. If the Supervisor agrees with the request and the revised job description, it is then forwarded to the
Department Head, with a copy sent to the Human Resources Classification Analyst, within 10
working days of receipt from the Employee.

b. If the Supervisor agrees with the request, but is not in agreement with the Employee's revised job
description, s/he should resolve the differences with the Employee. Upon agreement and sign-off,
the job description is then forwarded to the Department Head, with a copy sent to the Human
Resources Classification Analyst.

c. If the Supervisor is not in agreement with the review request, and is not willing to proceed with the
review, the Employee must be so notified within five working days, with a copy of the notification
sent to the Human Resources Classification Analyst.

B.13.4.2 - Review Procedures - Management Initiated Request

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The job description is completed and signed by the supervisor and the employee. The job description consists
of Part A (identification information), Part B (position summary), and Part C (primary duties performed). The job
description is then sent to the Department Head with a copy to Human Resources.

1. A review request must include:

a. the Employee's full name, present classification and salary;

b. the name of the department and/or section and location of work;
c. a new or up-dated job description for the position under review;
d. reasons why the present classification is considered to be inappropriate and justification for the job
classification considered to be correct.

B.13.5 - Review and Evaluation of Job Descriptions

The formal review and evaluation of job descriptions is conducted by the Classification Analyst in the Human
Resources Department within forty working days.

The Classification Analyst will notify the Department Head of the decision, who will in turn notify the
employee(s) within three working days.

Any questions or concerns the Supervisor or an incumbent may have regarding the evaluation results, will be
directed to the Job Classification Analyst.

B.13.6 - Classification Appeal Procedures - Administrative/Technical Exempt Positions

1. If the employee is dissatisfied with the result of the review, s/he may appeal to the Classification System
Appeal Committee. The basis of the appeal should be outlined in a written brief.

2. The Committee will review the brief and the original evaluation and, as necessary, consult with the
employee, the supervisor and/or Human Resources. Following this, the Committee will reach a decision
regarding the appeal.

3. The Committee secretary will notify the employee and immediate supervisor of the decision, providing
reasons for the decision.

4. If the employee is dissatisfied with the Committee's decision, s/he may appeal to the appropriate Vice-
President. Employees who report to a Vice-President may take their appeal directly to the President.

5. The Vice-President or President will review the material and consult with the parties as required. S/he will
advise the Committee and the employee of her/his decision.

6. Differences not resolved to the satisfaction of the Committee, the employee and the Vice-President will be
subject to final resolution by the President.

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B.13.7 - Salary Administration Procedures

1. Step Increments

Progress through the salary ranges from Step 1 to Job Rate is achieved through annual step increments.

2. Employees are eligible for a step increase on the anniversary date of their appointment to their
classification level subject to paragraph (5) below. The increment will be effective the first day of the month
in which the anniversary date occurs.

3. An increment is given to the extent that the employee's salary is raised to the Job Rate. An employee
whose salary is above the Job Rate of the salary range is not eligible to receive an increment.

4. Current salary ranges, salary steps within each range, and current annual increments are shown in
Appendix B.10 - Administrative/Technical Exempt Group, Salary Ranges as of July 1, 1991. The salary
ranges and increments are adjusted annually to reflect the annual salary scale increase.

5. An increment may be denied on the basis of performance upon a recommendation from the employee's
Department Head, through the Dean/University Librarian/Director, to the Assistant Vice-President (Human
Resources). The denial review process is as follows:

a. The denial recommendation must be sent to the Assistant Vice-President (Human Resources) by
the Dean/University Librarian/Director by the first day of the month preceding the month of
appointment to classification level.

b. The recommendation should outline the reason(s) for denial and must be accompanied by the
appropriate written documentation confirming that the employee has been informed of the
performance problem(s).

c. The Dean/University Librarian/Director should not discuss the denial or possibility of a denial with
the employee prior to the denial being confirmed by the Assistant Vice-President (Human
Resources).

d. The Assistant Vice-President (Human Resources) will review the case and notify the
Dean/University Librarian/Director of his/her decision to support or to decline the recommendation
within ten (10) days.

e. If the Assistant Vice-President (Human Resources) supports the denial recommendation, the
Dean/University Librarian/Director is responsible for informing the employee, in writing, of the
decision to deny an increment including the reason(s) for the decision.

f. The decision of the Assistant Vice-President (Human Resources) is final and binding.

g. Denial recommendations regarding Human Resources staff are made by the Assistant Vice-
President (Human Resources) to the Vice-President (Finance and Administration).

h. The step increment will be automatically processed in the absence of a denial recommendation.

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6. When an employee is promoted/reclassified to a higher level his/her salary will be increased to the greater
of the following amounts:

a. to Step 1 of the higher classification; OR

b. by an amount equal to 5% of his/her existing salary, or the range maximum, whichever is less; OR
c. where a 5% salary increase results in a salary between range steps, the next higher step in the
salary range.

7. Approved Acting Assignment

Refer to Section A.5.6 of Human Resources Policies.

8. Transfers

a. An employee who transfers to a different position at the request of the employer will not experience
a reduction in salary. Future salary adjustments will be determined by the position of the employee's
salary in the salary range of the position to which the employee is transferred.

b. When an employee transfers to a lower-level position at her/his request s/he will be paid at his/her
present salary or the step closest to the midpoint of the salary range of the new position, whichever
is less.

c. When an employee transfers as a result of a job competition to another position at the same level
there will be no change in the employee's salary.

9. Reclassification

a. An employee's salary will be increased as a result of a reclassification to a higher level. Such an

increase will be retroactive to the date the reclassification request was received in Human
Resources. The revised salary will be the greater of the following amounts:
i. to Step 1 of the higher classification; OR
ii. by an amount equal to 5% of his/her existing salary, or the range maximum, whichever is
less; OR
iii. where a 5% salary increase results in a salary between range steps, the next higher step in
the salary range.

b. When the classification level of a position is reduced to a lower level, the incumbent employee will
not suffer a loss in salary. For salary administration purposes, the level of the position will remain as
it was prior to the reclassification for as long as the employee occupies the position.

10. External Hires

New appointments will normally be hired at Step 1 of the salary range. New appointees may be hired above
Step 1 of the salary range depending on their qualifications, previous experience and the departmental
requirements. The starting salary of all such appointments can only be agreed and confirmed with the new
appointee by the Classification Specialist following discussions between the Department Head and the
Assistant Vice-President (Human Resources) or his/her representative.

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B.14. COMPENSATION - JOB CLASSIFICATION/SALARY ADMINISTRATION - ADMINISTRATIVE MANAGEMENT GROUP

B.14.1 - Policy

1. The objectives of the University’s compensation policy are as follows:

a. to attract and retain competent staff;

b. to provide internal equity in the level of compensation;
c. to pay salaries which are generally comparable with those paid by other employers in the
community
d. to encourage employees to develop to their full potential and to perform their duties in a fully
competent manner.

2. There are four basic tools used to meet these objectives. These are:

a. the job description;

b. job evaluation;
c. performance review;
d. salary administration.

3. The first two tools (job description and job evaluation) permit the measurement of differences in job content
and provide a clear understanding of what is expected of the person occupying the position. The latter two
(performance review and salary administration) provide the means to evaluate performance against the job
requirements, recognize different levels of job performance and monitor salaries against the market.

B.14.2 - Job Description

1. A job description is a written statement which defines the objectives or purpose of the position. These
objectives should be highlighted against the environment in which the job exists.

2. The job description is an important component of a fair and effective salary administration plan. It provides
both the employee and management with a clear statement of the job requirements and the end results
which are expected. It is also the key document used in the evaluation of the position and in the placement
of the position in an appropriate salary range.

3. To ensure a systematic approach to maintaining up-to-date job descriptions, the duties and responsibilities
of all positions will be reviewed when any of the following situations occur:

a. the incumbent initiates a review request; OR

b. the supervisor initiates a review request; OR
c. the position becomes vacant.

4. For each type of review, the department must submit a review request. This should be sent to the Assistant
Vice-President (Human Resources) who will review the changes with the supervisor. If they feel a review of
the job's evaluation is appropriate, a revised job description will be prepared by the employee's
department. The Assistant Vice-President (Human Resources) will advise the President/Vice-
President/Deans and University Librarian as appropriate, of the changes in the position and the

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requirement to review the evaluation. (See Section B.13.5) Job Description Writing Manuals are available
from Human Resources.

B.14.3 - Job Evaluation

Job evaluation is a systematic method of measuring the important elements of a job to determine its value to
the University. It provides a method of comparing the value of many different jobs and their relation to each
other. The Hay Guide Charts are used to evaluate all positions in the Administrative Management and Senior
Confidential Group. The job description is the key document used in the evaluation process.

B.14.4 - Job Evaluation committee

The Job Evaluation Committee includes the Vice- Presidents and the Assistant Vice-President (Human
Resources). All job evaluations are done by this Committee and its recommendations are made to the
President.

B.14.5 - Job Evaluation Review Process

1. Upon receipt of a request from a supervisor to review a position's evaluation, the Assistant Vice-President
(Human Resources) will convene a meeting for the Job Evaluation Committee at the earliest possible date.
As part of the review process, the Committee may meet with the employee and the supervisor. The
Committee will forward its recommendation to the President.

2. The Vice-President (Finance and Administration) will advise the employee of the President's decision. This
will be done in writing, with copy to the supervisor and the Assistant Vice-President (Human Resources).

B.14.6 - Salary Administration

1. Salary Ranges

Each position has its own discrete salary range which follows from the job evaluation. The range has a
minimum, which is the lowest rate the University will pay an employee in the position; a job rate, which is
the rate paid to an employee who is fully developed and performing at a satisfactory level; and a maximum,
which is the highest rate the University will normally pay an employee in the position.

Salary Range: Maximum/Job Rate/Minimum

2. Salary ranges are reviewed annually and adjustments are normally made effective May 1.

3. Movement within the salary range is accomplished through increments which are awarded for satisfactory
performance in the position. The performance increment recognizes the increased value of the employee
to the University as a result of his/her additional experience and development in the position.

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4. Movement from the minimum to the job rate will normally take six (6) years with annual increments of three
percent of the job rate.

5. Movement from the job rate to the maximum will normally take five (5) years with annual performance
increments of two percent of the job rate.

6. Performance Increment Eligibility

An individual who has occupied a position within the Group since November 1 will be eligible to be
considered for a performance increment payable effective May 1. Others will not be eligible to be
considered for performance increments until May 1 of the following year.

7. Performance Increment Decisions

Each year Human Resources will provide supervisors with the names of their staff who are eligible to be
considered for performance increments.

8. Eligible staff members will be awarded performance increments if their performance in the position has
been satisfactory during the year.

9. Those whose performance has not been satisfactory during the year will not be awarded performance
increments.

10. In making performance increment decisions, the supervisor will be required to:

a. assess the performance of all eligible staff reporting to her/him to determine who will be
recommended for a performance increment;
b. recommend to his/her supervisor whether or not to award a performance increment, for all eligible
staff in the unit;
c. forward the performance increment decisions for all eligible staff to the Assistant Vice-President
(Human Resources); and
d. advise staff who are not being awarded performance increments of the decision as well as the
reasons for it.

B.14.7 - Promotion of Reclassification to a Higher Job

1. Promotion

An individual is promoted when s/he is appointed to a position in the Group that has a higher job rate
than that of her/his former position.

2. Reclassification

A position may be reclassified if the duties of the position change significantly or the organizational
arrangement changes to the extent that the job rate for that position increases or decreases.

3. Salary Adjustment

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When a person is promoted or a position is reclassified to a higher job rate the Assistant Vice-President
(Human Resources), in consultation with the supervisor, will review the individual's salary and make a
recommendation to the appropriate Vice-President or the President. The salary review will include an
examination of the individual's qualifications and experience in the context of the new or revised
requirements of the position. The salary will not be less than the minimum of the salary range for the
position.

B.14.8 - Transfer or Reclassification to a lower Job Rate

1. University Initiated

If as a result of University requirements, a person is transferred to a position with a lower job rate or if
changes to the current position lead to a lower job rate, the person's salary will not be reduced. However, if
the employee's salary exceeds the salary range maximum for the new position, it will be frozen until the
salary range reaches that level.

2. Employee Initiated

If an employee voluntarily transfers to a position at a lower job rate for personal or career reasons, his/her
salary will not be reduced unless it exceeds the job rate of the new position. In such cases the individual's
salary will be reduced to the job rate for the position.

B.14.9 - Hiring of New Employees

The starting salary of a new employee who meets the minimum qualifications and experience will be at the
minimum of the range for that position. For a person with full qualifications and experience, the starting salary
may be set between the minimum and the job rate. Starting salaries will not be above the job rate. Following
consultation with the Department Head, the Assistant Vice-President (Human Resources) will recommend a
starting salary to the President or Vice-President (Finance and Administration). Salary commitments must not
be made to anyone without prior approval of the President or Vice-President (Finance and Administration).

B.14.10 - Salaries above Maximum

Persons whose salary is currently at or above the range maximum will receive the basic salary adjustments on
May 1 each year, but will not be eligible for performance increments.

B.14.11 - Special Salary Adjustments

1. There may be occasions when the University is required to pay more to attract or retain staff as a result of
outside market pressures or in response to internal situations. Such situations will be considered by the
Job Evaluation Committee and a recommendation will be forwarded to the President.

2. If it is determined that a salary which exceeds the job's range must be paid, then the amount in excess of
the position's rate will be considered a "bonus component". However, in such circumstances the position

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evaluation and actual salary range will remain at the level which was established using the Hay Guide
Charts. If the situation which led to the necessity to pay a bonus changes, then the bonus may be altered
or eliminated.

B.14.12 - Payment of Salaries

1. Salaries will be paid twice monthly: on the next to last working day prior to the fifteenth (15th) and the end
of each month.

2. Direct Deposit

Employees’ salary payments will be made by electronic deposit directly to the banking institution of the
employee’s choice. To permit the timely and accurate payment of salaries, employees must provide
Human Resources with a void cheque (for deposit to a chequing account) or a copy of a bank
passbook/statement with the bank and account information (for deposit to a non-chequing account).

In the event the salary deposit is rejected by the banking institution, the employee will be required to visit
Human Resources to obtain a salary cheque and confirm the banking information to ensure that the
electronic deposit can be processed accurately in the future.

Employees may choose to have their "net pay" divided and deposited in one (1), two (2) or three (3)
accounts and/or banking institutions. This arrangement requires the employee to instruct Human
Resources what set dollar amount is to be deposited into each account in priority order. If the employee
has insufficient net pay to meet all of the set amounts, available net salary will be deposited to the accounts
in the priority order.

3. Each employee’s statement of earnings and deductions will be delivered to their University Department
through University Mail Services.

(Revised: June 1996)

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Section C - Staff Development

C.1.1 - PREAMBLE

The University supports the principle of staff development by providing training and career development
opportunities to meet both organizational and individual goals and objectives. The purpose of Staff
Development is to improve the effectiveness and efficiency of individuals within the organization and to provide
opportunities for personal and professional growth.

C.2.1 DEFINITION

1. Staff Development is defined as those activities intended to prepare employees for advancement within the
University by:
a. Internal training (courses, workshops, and seminars)
b. Tuition waiver
c. External training (courses, workshops, and seminars)
d. Leaves
e. Career development assignments
f. Job Exchange Program
g. Career planning and counselling
h. Resume and interview preparation

2. All Staff Development can be divided into two categories, Job Related Development and Career
Development.

a. Job Related Development training is defined as any training or skill upgrading activity required by
the Employer. Funding for Job Related Development is the responsibility of the Employer. This
includes both on campus and off campus training courses and seminars.

b. Career Development is defined as those activities designed to prepare an employee for another
position within the University or those activities which may increase the ability of an employee to
meet potential requirements of the Employer. Career development is the responsibility of the
employee. However the Employer will endeavour to support the training and development needs of
employees in support of their career with the University.

3. The University supports and encourages staff with continuing appointments (see Section A.5.1 for
definition of Continuing Appointment) to improve and update their skills. Courses may be taken at Carleton
and/or off campus during regular working hours, on weekends or in the evening.

4. Approval for courses that are scheduled during regular working hours is dependent on the time of the
course and the operational needs of the department. Departmental approval is required prior to registration
when time off work is required. Employees who attend approved courses or seminars shall suffer no loss of
pay, benefits or seniority during such leave, except in cases where leave is requested without pay.

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5. With departmental approval, an employee may take a job related development course during regular
working hours without making up the time taken. Career development courses may be taken during regular
working hours provided that time taken is made up at the straight time rate.

6. If an employee's request for staff development is rejected, managers are encouraged to advise the
applicant of the reasons.

(Revised: February 1995)

C.2.2 - POLICIES

The university has a number of policies which enhance or support career development and mobility of staff.
These include:

1. Job Postings: In accordance with Human Resources Policies and collective agreements, most vacant
positions are posted. The use of postings ensures that employees are aware of job vacancies as they arise
and ensures equal access for all employees.

2. Internal Competitions:

a. Promotions: Preference is given to internal applicants for vacant positions. External candidates are
considered only when all internal candidates have been disqualified. This policy is in keeping with
the University's desire to provide career mobility for current staff.

b. Transfers: An employee can move laterally through internal competition in order to develop skills or
gain experience that could enhance his/her opportunity for future promotion. (See Section A.14.1)

c. Acting Assignments: Employees can assume acting assignments (see Section A.5.5 for a definition
of acting assignments). Through acting assignments, employees can develop skills and gain
experience that could prove beneficial in future job competitions.

d. Reduced-Time Appointments: The availability of reduced-time appointments may make it possible

for an employee to pursue educational and/or skill development.

e. Equal Opportunity: The University supports equality in employment opportunities for all individuals.

f. Career Development Assignments: see Section A.5.6

g. Self Funded Leave Plan: see Section B.8.11

h. Job Exchange Program: see Section C.3.4

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C.3. INTERNAL RESOURCES

C.3.1 - Internal Training

1. The University sponsors training programs offered through the Learning & Development section of Human
Resources. This section offers training in accordance with identified needs by:
a. Developing and offering training courses and
b. Retaining consultants to offer training courses in-house.

C.3.2 - Tuition Waiver for Credit Courses

1. Eligibility

This policy covers:

a. Full-time and part-time employees with continuing appointments;

b. A spouse (husband or wife, or a person of the opposite or same sex with whom the employee has
been cohabitating in a common-law relationship for a period of at least one (1) year) of the above;
c. A child (or children), natural or adopted, of the above who qualify for dependant status under the
Income Tax Act or would have qualified if she/he had not earned in excess of the amount which
would allow her/him dependant status under the Income Tax Act in the years in which the free
tuition is requested.

The spousal and dependent eligibility does not change where the employee may:

a. Be receiving benefits under the terms of the Long Term Disability Plan;
b. Have retired under the terms of the Carleton University Retirement Plan; or
c. Have died while in service.

2. Disqualification under the Waiver Program

Individuals who are unsuccessful in a course must successfully complete the next course at their expense
to re-establish eligibility.

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3. Tuition Waiver Application Procedures

Employees with continuing appointments whose spouses and/or dependents are claiming the tuition waiver
benefit must sign an Exemption Form, which is available from the Business Office at the time of registration
and online on the HR website.

4. Other Information

This waiver does not cover supplementary fees; they are the employee's responsibility.

The cost of required text books for credit courses may be reimbursed (see Section C.4.1 (Part 3).)

Should an employee cease employment with the university for reasons other than retirement or death, the
recipient will retain the tuition waiver to the end of the current term.

In accordance with current income tax regulations, the value of the tuition waiver for a spouse or
dependent is taxable to the student.

C.3.3 - Career Development Assignment

Career Development Assignments provide opportunities for employees to gain different University experience
and skills by working in another environment. Before applying for a Career Development Assignment
employees must have written approval for a Leave of Absence from their current position. (See Section A.5.6)

C.3.4 - Job Exchange Program

1. Preamble

The Career Development Job Exchange Program is designed to provide Administrative/Technical Exempt
staff in full-time and part-time continuing appointments with an opportunity for individual career
development by making it possible to work temporarily in a different position within the University.

2. Terms of Reference

a. Duration: Temporary Job Exchange will not normally exceed one (1) year and will not normally be
for less than six (6) months. The exchange may be:

i. Full-time, with the employees exchanging jobs completely for the duration of the exchange;
OR
ii. Partial, with the employees participating in the two jobs on a time-sharing basis (e.g., two
days at one job, three days at the other.)

b. Identification of Potential Exchange Positions

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While these exchanges may vary in nature they will involve positions which are in the same employee
group and within one classification level of each other. An employee must obtain her/his supervisor's
agreement in principle before submitting a Job Exchange proposal for consideration.

c. Salary Considerations

Employees participating in the Program will continue to receive their normal salary. There will be no
change in salary or benefits as a result of an exchange.

d. Establishing a Training Program

Once the exchange has been agreed to, the parties (employees and supervisors) will meet with a
member of the Learning & Development Section of Human Resources to design a training program for
the duration of the exchange (i.e., what new skills will be learned, how will skills will be learned and so
on.) The training program must be approved by the Department Head before implementation.

e. Breakdown of Exchange

The Organizational Development Section will monitor the progress of the exchange and be available to
provide assistance as required. If during the course of an exchange one of the parties is unable to
complete the term, for whatever reason, the parties to the exchange will meet with the Assistant
Director, Human Resources (Organizational Development) or her/his designate to work out a
reasonable accommodation. In the event that the operational needs of either department cannot be
met, the parties to the exchange will be returned to their original work units and the exchange will be
terminated.

f. Procedures For Submitting a Joint Request

i. Employees who wish to exchange jobs may submit a joint application by applying in writing
to their immediate supervisors, with a copy to the Assistant Vice-President (Human
Resources), and their Department Heads indicating:

1. the positions involved

2. reasons why the exchange is being sought;
3. nature of the exchange; and
4. duration of the exchange with beginning and ending dates.

ii. Each supervisor must assess the impact of the proposed exchange on the operation of
her/his work unit and make a written recommendation to her/his Dean, University Librarian
or Administrative Director. This may involve interviewing the parties to the exchange.

iii. Requests to enter into a Career Development Job Exchange will be approved when:

1. both employees agree with all of the exchange arrangements;

2. the operational requirements of the units can be met under the arrangements and
both supervisors and Department Heads concur; and
3. the exchange does not violate any of the terms of Human Resources Policies except
as allowed for under this Program.

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iv. The Dean(s), University Librarian or Administrative Director(s) will then advise the Assistant
Vice-President (Human Resources) if the request is being approved. If both employees'
requests are approved, Human Resources will write to the employees confirming the details
of the Exchange.

v. If the request is denied either in part (only one employee receives approval) or in its entirety,
the Assistant Vice-President (Human Resources) will be informed. Human Resources will
write to the employees providing reason(s) why the request cannot be approved.

vi. When only one of the employees receives approval, this employee's request will be
considered as an individual request (see below).

g. Procedures For Submitting An Individual Request

i. An employee who would like to apply for a Career Development Job Exchange but is unable
to make a joint submission may apply by writing to her/his supervisor, with a copy to the
Assistant Vice-President (Human Resources), and the Department Head indicating:
1. type of position being sought;
2. preferred area(s) (e.g., academic department); and
3. reason an exchange is being sought.

ii. The supervisor must assess the request in light of its impact upon the operational needs of
the unit and make a written recommendation to her/his Dean, University Librarian or
Administrative Director.

iii. If the request is approved the Dean, University Librarian or Administrative Director will
advise the Assistant Vice-President (Human Resources).

iv. Once the request is approved the Organizational Development section of Human Resources
will attempt to facilitate an exchange.

v. If the request is denied, the Assistant Vice-President (Human Resources) will be informed.
Human Resources will communicate the decision to the employee providing an explanation.

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C.3.5 - Career Planning and Counselling

C.3.5.1 - Preamble

Career Planning is defined as the methodical and periodic reassessment of an employee's career goals and
the identification and acquisition of skills, abilities and experience to help the employee achieve those goals.

C.3.5.2 - Resources

Career Planning can help an employee achieve her/his short and long term career goals by identifying training,
education and experience requirements. Employees have the following resources to assist them:

1. Supervisors are often best suited to assist with career planning by helping the employee identify career
goals, training needs and/or education. Supervisory and employee exchange can provide feedback on
work performance, identify employee strengths and point out areas that need development.

2. Learning & Development professionals are available to assist employees with career planning. They can
discuss qualifications and experience requirements for various positions at Carleton. The Learning &
Development section of Human Resources can help an employee identify and obtain relevant training. The
section maintains an up-to-date list of available courses and training materials and has a reference library
from which employees may borrow books, video tapes and cassettes.

3. Counselling and Student Life Services professionals may also help employees make career choices
through various forms of testing. Appointments can be made by contacting the Learning & Development
section, Human Resources.

4. Career Development Guidebook has been prepared with the objective of condensing all of the career
development options for employees in one pamphlet. A copy is available by contacting the Learning &
Development section, Human Resources.

C.3.6 - Resume and Interview Preparation

The Learning & Development Section provides assistance to employees who are preparing a resume for an
internal job competition. Interview preparation is also available for employees participating in internal job
competitions. Contact the Learning & Development Section for an appointment.

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C.4. EXTERNAL RESOURCES

C.4.1- External Training

1. When it is not feasible to offer internal training (i.e., where there might be insufficient numbers to warrant
developing a course or retaining a consultant) staff may be authorized to attend training sessions outside
the University. Courses may be taken in Ottawa or in other cities during normal working hours (subject to
approval) or on weekends or evenings.

2. Information on external courses/workshops is available from the Organizational Development Section,

Human Resources.

3. Where training is job related, the costs are the responsibility of the department. Where training is for
career development purposes, the employee may apply for funding from the career development fund.
(See Section C.4.2 below.)

C.4.2 - Career Development Funding

See Section C.2.1 for a definition of Career Development. There are two funds, as follows;

1. The CUPE 2424 Career Development Fund (open to members of the bargaining unit under Article 28 of the
Collective Agreement), and

2. The University Career Development Fund (open to all continuing employees not covered by the CUPE
2424 Collective Agreement, up to, but not including, the level of Administrative Director)

Requests for financial assistance must be received prior to the beginning of the course or seminar. Funds may
be provided to cover tuition, textbooks, travel, accommodation and meals. Funds will be disbursed directly to
the training company or organization.

Requests will be reviewed with funding granted on the basis of relevance, future availability of the course or
seminar and the applicant's background. Human Resources may also suggest alternative initiatives. Where
two or more employees are eligible and funds are limited, seniority shall be the deciding factor.

The maximum amount that can be disbursed to an employee per year is $1750.00.

 If the amount to be disbursed is in excess of $1750.00, approval of the Joint Committee to Administer
the Agreement is required for members of CUPE 2424, Human Resources approval is needed for
members of all other groups.

Any moneys not used by year end will be carried over to the next year. For the CUPE 2424 fund at least one
quarter of the annual allocation will be preserved for disbursement in the period following January 1 of each
year.

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Application Procedures

1. Fill out the Career Development Fund (on Human Resources website). The employee should attach any
documentation, such as a course description or outline, showing the content and cost of the course.

2. Application for reimbursement for required textbooks must be accompanied by receipts.

3. Applications should be forwarded to the Learning & Development Section, Human Resources for review.
CUPE fund applications will be reviewed and approved according to the guidelines outlined in Appendix D
of the CUPE 2424 Collective Agreement. University Fund applications will be reviewed and approved
according to Section C.4.2 of Human Resources Policies.

Withdrawals / Cancellations

Employees who withdraw from or do not complete a course/seminar are required to notify the Learning &
Development Section immediately.

Funding Exceptions

Costs associated with attending conferences will not be covered by the career development funds. Conference
costs are the responsibility of the employee's department.

C.4.3 - Leaves of Absence

1. Preamble

Educational leave is defined as extended leave for the purpose of upgrading academic qualifications.
Educational leave may be approved for a period not normally exceeding twelve (12) consecutive months:

a) with pay;
b) without pay; or
c) either of the above with other financial assistance from the University to cover such items as tuition,
travel, accommodation, etc.

Where educational leave, as specified in paragraph (1) a, b, or c above is approved, the employee may be
required to sign an agreement indicating that s/he will return to the University for a specified period of time
immediately following the leave.

2. Leave with Pay

Educational leave with pay may be granted only when by mutual agreement the employee is required by the
University to undertake a specified course of study to meet a specific departmental need. During a leave with
pay the normal employee/employer relationship continues--salary is paid, benefits are covered, etc.

3. Leave without Pay

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When the proposed course of study is unrelated to the work of the department in question, leave without pay
may be granted in accordance with Section B.9 of Human Resources Policies.

4. Funding

Costs associated with a leave with pay are the responsibility of individual departments.

Leave with pay or leave without pay may also include financial assistance to cover such items as tuition, travel,
supplies, etc., and may be covered in full or in part:

a) by the department;
b) by securing funds from an appropriate training fund; or
c) by cost-sharing through a combination of the above.

An employee who is granted educational leave with financial assistance from the University will be advised in
writing that failure to successfully complete the program or, where applicable, to return to the University as
agreed, may result in the employee being required to fully or partially reimburse the University in accordance
with the financial contribution provided.

5. Application Procedures

Requests for educational leave, including details regarding financial requirements, must be submitted in writing
to the immediate supervisor who will forward it to the appropriate Dean, Director or University Librarian for
recommendation to the President or appropriate Vice-President. A copy should be forwarded to the Learning &
Development Section, Human Resources and the Assistant Vice-President (Human Resources).

Requests will be evaluated based on:

a) The employee's work history and career development plans;

b) Alternative means of training; and
c) Overall benefit to the University.

Applicants will be advised of the decision, with reasons, if approval is not granted.

When requesting financial assistance from a training fund, the (Appendix C.1) form should be completed and
forwarded to the Learning & Development Section, Human Resources for consideration.

C.4.4 - Self-Funded Leave

Self-funded leave can also be used to upgrade qualifications. This type of leave option is described in Section
B.8.11 of Human Resources Policies.

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Section D - Staff Relations

Staff Relations Guiding Principles

Staff Relations concern the relationship between the employer and employees, whether members of a
bargaining unit or not, and in the case of unionized employees, their representatives. These relationships are
governed by the Employment Standards Act, Human Resources Policies and, for members of a bargaining
unit, the Ontario Labour Relations Act and the collective agreement. However, beyond this legal framework
within which the parties interact, staff relations involve the principles of sound inter-personal relationships
which can help foster a healthy and effective workplace.

The following principles should guide the day-to-day interactions of staff, work unit leaders and managers:

1. Staff, work unit leaders and managers have the right to know what is expected of them in terms of their
assigned duties and responsibilities. Clearly stated goals and objectives ensure that all are able to focus
their efforts, and hence contribute towards the common goal of the work unit, and ultimately, of the
University.

2. Trust, cooperation and commitment are required of all members of a work unit for the attainment of their
common goals. These requirements can be achieved through honest, open dialogue, effective
departmental communications and participation between the group members (staff, work unit leaders and
managers).

3. Problems are best handled by those who have to live with the outcome. Issues such as workplace
decisions, operational issues, application of policies or collective agreement provisions are usually best
dealt with in the work unit through discussion and problem solving, if possible. Nevertheless, there may be
times when it is appropriate or necessary to involve a third party in those instances where discussion and
problem solving fail to resolve the matter or where additional information or expertise is required.

4. Members of the work unit are entitled to constructive feedback on their performance and to receive
coaching and support from their work unit leader and/or manager in dealing with any performance
deficiencies. In dealing with work performance problems, respect for the employee as a responsible adult
must be the basis for any managerial action. Corrective action should focus on the behaviour/performance
problem. This commitment to respect the dignity of employees while addressing behaviour/performance
problems in no way implies permissiveness or excludes the use of discipline as a corrective measure.

5. The University wishes to foster an atmosphere where all employees feel free, if they so choose, to
participate fully in the lawful activities of their bargaining unit. Employees should never be made to feel that
participation (or non-participation) in the activities of their union might interfere with their rights and
opportunities as employees or as members of the Carleton community in general. Whether it be in the area
of promotion, discipline, entitlement to leaves, or other matters respecting the exercise of employer
discretion, the employee's freedom of association must not have any bearing on management decisions.

(Issued: April 1993)

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D.1. DISCIPLINE

D.1.1 - Policy

1. The primary objective of the disciplinary process is to correct unacceptable work performance or behaviour.
As such, discipline will focus on corrective rather than punitive action. Such action must be prompt, fair,
firm and consistent.

2. Supervisors are responsible for ensuring that all employees understand the duties and responsibilities of
their job and the work performance and behaviour expected in the workplace.

3. The Staff Relations Section of Human Resources is available to advise supervisors at any step of the
disciplinary process.

D.1.2 - Disciplinary Authority

1. Immediate Supervisor

An employee’s immediate supervisor has the authority to issue an oral reprimand even if the supervisor is
a member of a bargaining unit.

2. Union-Excluded Supervisor

In all cases of discipline beyond an oral reprimand (written reprimand, suspension) the action must be
taken by a union-excluded supervisor in the work unit or department. In some cases, this person may be
the immediate supervisor.

3. President and Vice-President (Finance & Administration)

Only the President and Vice-President (Finance & Administration) may exercise the disciplinary action of
dismissal.

D.1.3 - Guidelines for Disciplinary Action

1. Investigation

a. Before any disciplinary action is imposed, the supervisor must investigate the circumstances
leading to the dissatisfaction with the employee's performance or behaviour.

b. The investigation might include an interview with the employee only or with a number of people. (An
employee in a bargaining unit may have the right, if s/he wishes, to have a union representative
present at an interview.) In the case of any such interview, the supervisor should make notes during
or immediately after the interview, being careful to document what each party to the interview said.
These notes may be hand written or transcribed and should be dated and initialled by the
supervisor.

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c. The supervisor should try to be as thorough as possible in the interview. For example, if one person
reports that another person said something, the supervisor would attempt to interview the second
person.

d. The supervisor should make clear to the person being interviewed that this is an investigation, not a
disciplinary interview.

e. Occasionally a supervisor may decide to suspend (with or without pay) an employee pending the
investigation. This should only be done on the advice of the Staff Relations Section of Human
Resources.

2. Factors to Consider

a. In the case of work performance - was the employee fully trained to do the work;

b. In the case of inappropriate behaviour - did the employee know (or was it reasonable to expect the
employee would know) that the behaviour would not be condoned;

c. Length of employment service;

d. Whether or not the poor performance or behaviour was an isolated incident in the employment
history of the employee;

e. Whether or not the employee had been disciplined within the past two years and the reasons for
that disciplinary action (in the case of an employee in a bargaining unit, consult the collective
agreement);

f. The seriousness of the misconduct (performance or behaviour);

g. Any other circumstances which should be taken into consideration - such as, did the employee
apologize for, or admit to, the misconduct after being given an opportunity to do so.

3. Timeliness

It is very important for the disciplinary action to be timely. Incidents of poor performance and/or
inappropriate behaviour should be brought to the employee's attention as soon as possible. Delay on the
part of the supervisor might be interpreted as condoning the performance or behaviour.

4. Consistency of Approach

The supervisor will take the factors listed above into account when deciding what, if any, disciplinary action
is appropriate. Therefore, the level of discipline may vary from employee to employee even though the
infraction is the same. However, it is important that the recognition of the poor performance or behaviour as
being inappropriate in the work place be consistent. For example, if tardiness is generally condoned, it
would not be fair to discipline one employee for tardiness but not others. Nevertheless, the level(s) of
discipline might differ.

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D.1.4 - Steps of Progressive Discipline

1. Oral Reprimand

Unless the employee’s misconduct is very serious, after the investigation the supervisor will usually decide that
the first disciplinary action given an employee should be an oral reprimand. This reprimand should be given in
a private interview (an employee in a bargaining unit may have the right to have a union representative at an
interview) and the supervisor should note the details of the discussion. The supervisor and the employee
should agree on an action plan, preferably in writing, to ensure the poor performance is corrected or the
misconduct is not repeated. The supervisor should arrange to meet with the employee to follow-up on the
action plan.

2. Written Reprimand

a. The next step of progressive discipline is the written reprimand. This is a letter which describes the
misconduct and the performance or behaviour which is expected of the employee. It usually
contains a warning that further misconduct will lead to more severe disciplinary action. The
supervisor should give two copies of the letter to the employee with instructions to read and initial
one copy and return it to the supervisor for the Employee file. Should the employee not return the
copy to the supervisor within a reasonable length of time, the supervisor should note this on another
copy of the letter and forward that copy to Human Resources.

b. The supervisor and the employee should agree on an action plan to ensure the poor performance
or behaviour is corrected. Again, the supervisor should arrange to meet with the employee to follow-
up on the action plan.

c. The supervisor should review any written reprimand with the Staff Relations section of Human
Resources before giving it to the employee.

3. Suspension

a. An employee who is suspended is told not to come to work for a period of time, and that time is
normally without pay. (Occasionally, an employee may be suspended with pay pending the
outcome of an investigation). An employee may receive more than one suspension, usually of
increasing length. The number of days of suspension will depend on the supervisor's assessment of
the factors listed in Section D.1.3 above. The suspension should be timely. That is, it should follow
closely on the investigation but it need not be immediate if that will disrupt the operational
requirements of the work place.

b. Like the written reprimand, the letter of suspension should describe the misconduct and the
performance or behaviour which is expected of the employee. The letter should state the number of
days/weeks the employee is to be suspended with or without pay. It usually contains a warning that
further misconduct will lead to more severe disciplinary action. The supervisor should give two
copies of the letter to the employee with instructions to read and initial one copy and return it to the
supervisor for the Employee file. (Should the employee not return the copy to the supervisor within
a reasonable length of time, the supervisor should note this on another copy of the letter and
forward that copy to Human Resources.)

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c. While the supervisor is waiting for the employee to return the letter, a further copy should be sent to
Human Resources with a request to initiate the action to stop the pay for the period of the
suspension.

d. The supervisor and the employee should agree on an action plan to ensure the poor performance
or behaviour is corrected. Again, the supervisor should arrange to meet with the employee to follow-
up on the action plan.

e. The supervisor should review any letter concerning a suspension with the Staff Relations section of
Human Resources before giving it to the employee.

4. Dismissal

a. Dismissal is the ultimate sanction and should only be considered when all other disciplinary
measures have failed or are considered inadequate. Only the Vice-President (Finance &
Administration) and the President have the power to dismiss.

b. A supervisor who recommends dismissal to the Vice-President (Finance & Administration) or the
President will be expected to demonstrate that the dismissal is for just cause, the employee is
aware of the performance or behaviour expected of her/him and of any previous instances of
misconduct which the supervisor has considered and that the supervisor has taken the factors listed
in Section D.1.3 into account in making the recommendation.

D.1.5 - Situations which may require discipline

The following instances may require disciplinary action of varying degrees (this list is not all inclusive):

 Absenteeism (not innocent absenteeism)  Interference with the work of others

 Assault  Lateness/tardiness
 Breach of confidentiality  Negligence in performance of duties
 Damage to University property  Neglect of equipment or tools
 Dishonesty  Personal harassment of others
 Drinking while on duty  Poor work performance
 Drunkenness or disorderly conduct  Pranks, horse play or unsafe behaviour
 Falsification of records  Sexual harassment
 Fighting  Theft of time or money
 Gambling on University premises  Unauthorized absence from duty
 Improper time card or attendance reporting  Waste of material
 Insubordination*

*Insubordination may be a refusal to obey instructions or orders, or behaviour which is disrespectful or insolent
to the supervisor. Generally, it is a refusal to recognize the authority of the supervisor.

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D.2. APPEAL PROCEDURES FOR ADMINISTRATIVE / TECHNICAL EXEMPT STAFF

D.2.1 - Policy

1. This policy applies to all full-time and part-time ADMINISTRATIVE/TECHNICAL EXEMPT STAFF with
continuing or term appointments who have completed their probationary period.

2. The appeal procedure provides an orderly method for processing and resolving disputes in the workplace.
It can be used by employees who feel aggrieved as a result of the interpretation, application, or
administration of the University's written policies (the appeal procedure concerning classification decisions
is set forth in Section B.13.6 of Human Resources Policies).

D.2.2 - Terms and Conditions

1. This appeal procedure is intended as a formal in-house mechanism for the resolution of disputes and is not
intended to supersede any legal rights possessed by the employee. Consequently the appeal procedure is
not available to an employee pursuing her/his complaint through any Federal or Provincial board,
commission or court.

2. Complaints regarding matters covered by Human Resources Policies are considered as appeals for the
purposes of this procedure.

3. The grounds on which the written appeal is based may not be changed after Step 1 (see Section D.2.5).

4. The appellant has the right to withdraw the appeal at any point in the appeal procedures.

5. An appeal not followed up by the appellant from one step of the procedure to the next, within the specified
time limits, shall be deemed to be abandoned or settled and binding and, therefore, not eligible for any re-
opening.

6. The time limits may be adjusted by mutual agreement.

7. The appellant is responsible for providing documentation substantiating her/his appeal.

8. An employee may use this procedure without prejudice to her/his employment.

9. Employees, who participate in meetings during working hours, as provided for within this policy, will not
lose pay for the time spent at such meetings. Time off to attend meetings requires the approval of the
employee's immediate supervisor. Approval is subject to operational requirements and will not be
unreasonably withheld.

10. When an employee reports directly to a Dean, Director or the Librarian, the appropriate Vice-President will
replace the Dean/Director at each step.

11. Employees reporting directly to a Vice-President, or the President, will automatically move to Step 3 of the
process following informal discussions to resolve the issue.

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D.2.3 - Informal Complaint Procedure

1. An employee who concludes that s/he has been unjustly treated, in that a University policy or procedure as
set out in Human Resources Policies has been breached, must discuss this matter with her/his immediate
supervisor.

2. If this discussion fails to resolve the concern the employee may wish, and should have an opportunity, to
meet informally with the person at the level above the immediate supervisor.

3. Informal avenues must normally be exhausted prior to moving to the formal appeal procedure. Some
situations may, however, warrant the employee moving directly to the formal appeal procedure. In such
instances the employee should discuss the reasons for such action with the person at the level above the
immediate supervisor before proceeding.

D.2.4 - Formal Appeal Procedure

1. The Assistant Director, Human Resources (Staff Relations) will be available to the appellant, upon request
of the appellant, to provide guidance and/or to assist her/him during the appeal. The Assistant Director will
provide procedural advice as well as support through each step of the process.

2. The appellant may also seek advice and guidance from other sources, i.e., faculty members, colleagues,
Counselling and Student Life Services, and so on. Such individuals may assist the appellant during the
appeal by providing procedural advice as well as support through each step of the process.

3. The appellant may request information s/he deems relevant to the case. This shall not include access to
information of a confidential nature.

D.2.5 - Step 1 - Dean/Director/Librarian

1. To initiate a formal appeal the appellant must submit a written statement to her/his Dean/Director/Librarian
within five (5) working days following the failure to resolve the issue through informal discussions, and in
any event, not more than twenty (20) days after the occurrence of the event giving rise to the appeal.

2. Copies of the statement are to be sent to the appellant's immediate supervisor, Department Head (if
applicable), and the Assistant Vice-President (Human Resources). The statement must include the
appellant's name, department, the date the written policy or procedure as set forth in Human Resources
Policies was breached and all facts relevant to the case.

3. Within five (5) working days of receiving this statement the Dean/Director/Librarian will arrange to meet
with the appellant and the supervisor to review the situation and attempt to resolve the problem. The
Department Head may also be present at this meeting, and the appellant may be accompanied by another
member of the University community chosen at his/her discretion. The Assistant Vice-President (Human
Resources) or his/her designate will be available for discussions or advice to both parties. The
Dean/Director/Librarian will reply in writing to all participants within five (5) working days of this meeting.
This communication must include an explanation of the reason(s) for the decision.

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D.2.6 - Step 2 - Vice-President/President

If the appellant is not satisfied with the response of the Dean/Director/Librarian or if the Dean/Director/Librarian
fails to respond within the required time, the appellant may within five (5) working days of the date of receipt of
the response or the expiry of the time limit for response, present the original written statement along with the
Step 1 reply (where applicable) to the Vice-President with functional responsibility for the affairs of the division.
Within five (5) working days of receipt of the appellant's request for further examination of the issue, the Vice-
President will call a meeting of all persons present at the previous meeting to review and attempt to resolve the
dispute. The written decision of the Vice-President will be issued within ten (10) working days of the date of the
meeting. This communication must include an explanation of the reason(s) for the decision and details of
procedures to be followed in moving to Step 3 in the event the appellant wishes to pursue the appeal further.

D.2.7 - Step 3 - Appeal Review Board

1. If the appellant is not satisfied with the decision made by the Vice-President (or President in the case of
employees reporting directly to the President), or if the Vice-President (or President in the case of
employees reporting directly to the President) fails to respond within the required time, the appellant may
within ten (10) working days of the date of receipt of the response or the expiry of the time limit for
response, refer her/his appeal to the Chairperson of the Appeal Review Board.

2. The Chairperson shall be appointed by the President. The Chairperson will be responsible for chairing all
Boards established to review appeals that reach Step 3 of these procedures. The initial appointment shall
be for a period of two years with the possibility of an extension following a review by the President.

3. The appellant referring an appeal to the Board shall provide the Chairperson with all documentation
previously submitted at Steps 1 and 2 and include a statement of the reason(s) for being dissatisfied with
the decision reached in Step 2. The appellant will also forward the name of the University employee s/he
wants to sit on the Review Board.

4. The Chairperson will notify the appropriate Vice-President (or President in the case of employees reporting
directly to the President) that an appeal has been received by the Board. The Vice-President (or President
in the case of employees reporting directly to the President) will have three (3) working days following
receipt of notification to provide the Chairperson with the name of her/his nominee to the Board (chosen
from amongst University employees) and any further documentation s/he wants to submit.

5. The respective nominees and the Chairperson shall form the Appeal Review Board. The Board may
establish its own rules of procedure including reasonable time limits for its operation. Arrangements for
administrative support such as secretarial services, files, and/or meeting arrangements will be made
through the President's Office.

6. Within the framework of the University's policy on confidentiality, the Appeal Review Board may request
whatever evidence and documentation it deems relevant to the case including a report on the matter from
Human Resources.

7. The Appeal Review Board shall forward its recommendation(s) and reasons for them to the President. The
President shall review the Board's recommendation(s) and make a final decision. Her/his decision, along

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with an explanation, will be communicated in writing as promptly as possible to the appellant. Copies of the
decision will be sent to the Chairperson of the Review Board, all parties involved in the earlier steps, and to
the Assistant Vice-President (Human Resources). The President's decision is final and binding on the
appellant and the University.

D.3. STRIKE POLICY

D.3.1 - Preamble

1. The purpose of this policy is to communicate the procedures which will apply in the event of a strike.

2. The policy is predicated on the assumption that during a strike there will be access to and exit from work
locations at the University for non-striking employees. The University community has undertaken
obligations to students and the community which it should fulfill. Students expect to attend classes and to
utilize other facilities on campus. Therefore, those who are not legally on strike must continue to perform
their jobs and meet their work commitments. Their continued presence at their jobs is not only an obligation
which arises from the undertaking of the University to staff and students, but an obligation which arises
both from the laws of Ontario and the Collective Agreements with all unions representing campus staff.

3. The University expects everyone to abide by the law and to fulfill their obligations. Those who do not report
for work will not be paid, nor will the University's portion of their benefit plans be paid. For non-striking
employees not reporting for work, vacation and other leave will not normally be approved. Leave (e.g.,
annual leave) already granted may be revoked.

4. A legal strike does not permit staff who are not part of the striking bargaining unit to stop or reduce their
work or to refuse to continue to perform their obligations. The Ontario Labour Relations Act treats such
action as an unlawful strike. Persons who participate in such illegal strikes expose themselves to severe
penalties.

D.3.2 - Lawful Strike

By the authority provided by the Ontario Labour Relations Act a union or unions may, under certain conditions
and at a specified time, legally strike. Generally, when the parties cannot agree after the termination date of a
collective agreement the Minister of Labour will appoint a conciliation officer to help solve the dispute. Although
there are other options, the custom if the parties cannot reach agreement is for the Minister to release the
conciliation officer's report declaring that it is not advisable to appoint a conciliation board. Sixteen (16) days
after the release of such a report the union can legally strike and the University can legally lock-out members
of the bargaining unit.

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D.3.3 - Illegal Strike

An illegal strike is the cessation of work, or a refusal to work or continue to work, by employees when a
collective agreement is in operation.

D.3.4 - Communications Committee

A Communications Committee will be established to prepare for, and co-ordinate, activities during any strike. It
will receive and direct information, answer questions, and take responsibility for the University's conduct during
the strike.

D.3.5 - Strike Procedures

1. As soon as a strike date is known the following will occur:

2. The President will announce to the community and the surrounding area that the University will continue to
operate during the strike.

3. All employees who are not involved in the dispute will be advised that they are expected to continue to
work and have a legal obligation to do so.

4. All employees in the striking bargaining unit will be advised that they are expected to continue work
following the date of the strike deadline. Those who do not report for work will not be paid, nor will the
University's portion of their benefit plans be paid. Entitlement to vacation, sick, or other leave will cease.

5. A union in a legal strike position may establish a picket line. However picketing must not amount to a
nuisance at law, violate the criminal code, or involve signs that contain libellous material. It is lawful to
communicate information and/or to peacefully persuade a person to refrain from entering picketed
premises. However it is an offence for pickets to use compulsion in any way. It is unlawful for pickets to use
force or threatening gestures to block access to premises or to otherwise engage in actions that constitute
a nuisance at law or an unlawful assembly. The right to carry on peaceful picketing does not include the
right to trespass on private property or to engage in mass picketing with the effect of preventing persons
from entering the premises. In the event of picketing, non-striking staff are advised that they should try to
enter using care. If they feel they are unable to enter because of fear of personal injury, they should
withdraw and telephone their supervisor or University Safety at 520-3612.

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D.3.6 - Roles and Responsibilities - Deans/Directors/University Librarian and Other Excluded Officers

1. During the sixteen (16) day countdown period the Deans/Directors/University Librarian and other excluded
officers will meet with their faculty/staff and advise them of the following:

2. The University will remain open and will continue to operate as normally as possible during any strike.

3. No one is authorized or allowed to contract or arrange for space, or move classes off campus prior to or
during a strike.

4. Attendance records will be kept during a strike and those not in attendance will not normally receive pay.

5. In addition, employees not engaged in a lawful strike who fail to meet their obligations to the University may
be subject to disciplinary action. The Deans, Directors, University Librarian and other excluded officers will
assist the Strike Committee as required during a strike.

D.5. EMPLOYEE ASSISTANCE PROGRAM

1. Carleton University recognizes that its success depends on its employees. The purpose of Carleton's
Employee Assistance Program (EAP) is to promote and maintain the health and well-being of all University
staff.

2. Details about the program can be found on the HR Website.

D.6. CARLETON UNIVERSITY ENVIRONMENTAL HEALTH AND SAFETY POLICY

Environmental Health and Safety is part of the Department of University Safety and a complete list of
procedures is available on the website at http://www.carleton.ca/safety/ or by calling the Department of
University Safety.

D.6.1 - Policy

Carleton University is committed to provide a safe and healthy environment for its students, employees and
visitors to study and work.

It is the policy of the University to take every reasonable precaution to prevent personal injury or illness by
identifying and controlling workplace hazards; to consider health and safety in all organizational activities; to
protect the environment; and to comply with all applicable health and safety and environmental legislation
including the Occupational Health and Safety Act and Regulations and the Environmental Protection Act.

Every employee has a duty in law to inform him/herself of any environmental health and safety rule, regulation
and statute which applies to the performance of their job and to conduct him/herself in accordance with such

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rules, regulations and statutes. Further every employee who supervises other employee(s) and/or student(s)
shall ensure that such person(s) who are supervised are informed of any environmental health and safety rules
which apply to the performance of their functions and comply with such rules, regulations and statutes.

Failure to be informed, to comply and/or to supervise may result in disciplinary action by the employer up to
and including dismissal. Employees should also be aware that a person who contravenes or fails to comply
with the health and safety laws of Ontario is guilty of an offence, and upon conviction may be liable to a fine,
imprisonment, or payment of damage.

Policy Application

The primary responsibility for health and safety and environmental protection lies with the line of supervision. In
academic departments the line of supervision extends from the individual researcher or faculty member to the
Department Heads, Deans, the Assistant Vice-President, the Vice-President (Academic) and the President. In
administrative departments it extends from the supervisor to the manager, Director, the Vice-President
(Finance and Administration) and the President.

Supervisors have an obligation to ensure that employees work in the manner and with the protective devices,
measures and procedures required by the Occupational Health and Safety Act and it regulations. This includes
advising employees of the existence of any potential or actual danger to their health and safety of which the
supervisor is aware and ensuring that appropriate safety procedures are followed. Supervisors are responsible
for taking every reasonable precaution to maintain a safe and healthy environment for their faculty, staff and
students. Supervisors are responsible for ensuring that faculty, staff and students are informed of the hazards
associated with their work and are given sufficient information, training, facilities and protective equipment to
enable them to work safely.

Faculty, staff and students are responsible for working safely, for following safety procedures and for reporting
any safety hazards or unsafe or unhealthy conditions.

Employees who fail to meet their obligations concerning health and safety may, depending on the
circumstances, face discipline, up to and including dismissal.

The University shall have a Joint Occupational Health and Safety Committee established under the terms of
the Occupational Health and Safety Act.

All external contractors, sub-contractors and their workers are responsible to meet or exceed the requirements
of the health and safety and environmental legislation.

All members of the university community will strive to minimize negative impacts on the environment by
conservation, using natural resources wisely, and supporting the 3Rs of waste management, namely Reduce,
Reuse and Recycle. Consideration will be given to the environmental impact of goods and services prior to
purchase.

The Environmental Health and Safety section of the Department of University Safety assists individuals and
departments in meeting their responsibilities by providing services as consultants and coordinators; providing
advice and administering applicable legislation and the University’s policies and procedures on health, safety
and the environment; monitoring compliance with the legislation and University policies; and recommending
policies and procedures to facilitate the implementation of this policy.

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Monitoring compliance with the legislation and University policies will be achieved by reviewing the safety
management system on a regular basis to ensure the plans, procedures and controls are being carried out.
Results of the monitoring will be used to improve the health and safety management system.

(Revised: December 1997)

D.6.2 - Occupational Health and Safety Act

1. The Act sets forth general duties of the employer, supervisors, and workers. It also mandates the formation
of a joint committee and identifies procedures for inspection and record keeping. A copy of the Act should
be posted in each work unit. Copies are available from the Department of University Safety.

2. WHMIS (the Workplace Hazardous Materials Information System) requires information (safety data sheets
and labeling) and training be provided to those working with hazardous materials. The program is
administered by coordinators in each department. A list of coordinators is available from the Department of
University Safety.

D.6.3 - Joint Occupational Health and Safety Committee

1. The Joint Occupational Health and Safety Committee is set-up as prescribed by the Occupational Health
and Safety Act. Members are appointed by management and workers. The Committee is co-chaired and
meets quarterly. A list of members is printed in the Staff Directory and is available on the Department of
University Safety website.

2. The Committee makes recommendations to the Vice-President (Finance and Administration) and is
expected to help stimulate an awareness of health and safety issues and an atmosphere of cooperation.
Duties of the Committee are included in the Occupational Health and Safety Act.

3. Building Health and Safety Committees are set up under the auspices of the Joint Occupational Health and
Safety Committee for each building on campus. These Committees have responsibility for inspecting the
workplace as required by the Act. A list of Building Health and Safety Committee Chairs is also printed in
the Staff Directory and a complete list of members is available on the Department of University Safety
website.

D.6.4 - Procedures for Reporting a Health or Safety Problem

1. When a staff member identifies a health or safety problem, s/he should first report it to her/his supervisor. If
the staff member is not satisfied with the response at this level, the problem should be reported to any
member of the Joint Occupational Health and Safety Committee or to the Department of University Safety.

2. The members of the Committee are responsible under the Act to attempt a resolution of the issue at the
supervisor/employee level. If this is not possible, the problem will be taken to the Committee. The
Committee may resolve the issue or, when required, make a recommendation to the Vice-President

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(Finance & Administration). If the Employer is not able to resolve the issue to the satisfaction of all
concerned, the matter is taken to the Ministry of Labour by the Committee.

D.6.5 - Reporting an Injury

See Section B.10.4 of Human Resources Policies.

D.6.6 - Radiation Safety

The Atomic Energy Control Board (AECB) legislates matters pertaining to radioactive material. The AECB
issues a Consolidated License to the University to be administered by a Radiation Safety Officer (RSO). The
RSO issues permits to individuals working with radioactive materials. Laboratories and personnel must be in
compliance with the regulations of the AECB and with the Carleton University regulations.

The Radiation Safety Officer is responsible for developing, implementing and maintaining policies, regulations
and procedures for the safe use and control of all sources of radiation owned or controlled by the University.

The Radiation Safety Manual (Carleton University) includes regulations and procedures for storage, use and
disposal of sources of ionizing radiation. Every permit holder/lab must have a copy of the manual. Copies are
available from the Radiation Safety Officer.

The Radiation Safety Officer can be reached through the Environmental Health and Safety section of the
Department of University Safety.

D.6.7 - First Aid

1. All injuries must be reported to the supervisor. Any first aid treatment should be recorded. See Supervisory
responsibility under the Workplace Safety and Insurance Act, Section B.10.4 of Human Resources
Policies.

2. There is a first aid station in each building on campus. At each location a first aid kit is available and the
certificates of two (2) employees trained in first aid are posted. The complete list of First Aid certificate
holders is located on the Department of University Safety website.

3. In addition to employees in each building, all officers in the Department of University Safety are trained in
first aid and can be contacted in an emergency at 4444.

4. First aid kits should be checked regularly by the staff trained in first aid. It is the responsibility of the
department to purchase material for the fist aid kit, as required.

D.7. SMOKING IN THE WORKPLACE

Please see the University's Smoking Policy on the University Policy website.

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D.8. PERSONAL HARASSMENT

D.8.1 - Definition

1. Harassment means engaging in a course of vexatious comment or conduct that is known or ought
reasonably to be known to be unwelcome.

2. Harassment can either be psychological or physical or it can be a combination of both. It is any behaviour,
whether deliberate or negligent, which denies individuals their dignity and respect, is offensive,
embarrassing or humiliating to the individual and adversely affects the working environment.

D.8.2 - Complaint Procedure

1. Where the alleged harasser is the person who would normally deal with any of the steps of the appeal
procedure (see Section D.2) the complaint shall automatically be sent forward to the next step.

2. At no time during or after a harassment complaint shall the complainant be removed from the area of the
alleged harasser unless fully and entirely voluntarily requested or agreed to by the complainant and without
prejudice to the validity of the complaint.

D.9. AIDS POLICY

D.9.1 - Institutional Guidelines

1. Carleton University recognizes that AIDS is one of many infectious diseases. Every effort will be made to
ensure that an employee or student with an infectious illness, including AIDS, does not pose a health or
safety threat to other employees or students.

2. Carleton University also recognizes that an employee or student with AIDS is entitled (as the condition
permits) to continue normal activities.

3. The University will not refuse admission or employment to anyone with AIDS or a positive HIV test. See
Appendix D.2 -- What is AIDS? for definitions of AIDS and HIV.

D.9.2 - Testing

1. HIV testing, for the purpose of determining suitability for employment or admission, is neither appropriate
nor required.

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D.9.3 - Confidentiality

1. Medical authorities are required by law to keep information about people with communicable diseases
confidential. Under normal circumstances it will not be appropriate or necessary for an employee or student
to know that another employee or student has HIV. However, disclosure to Human Resources may be
necessary as required for insurance programs.

2. Those who have tested positive for HIV will have been instructed, at the time of testing, in the appropriate
behaviour required to eliminate risk of transmission of the virus. In certain circumstances (e.g. sharing
living quarters) a student with HIV would be encouraged to inform roommates.

D.9.4 - Right to Work / Attend Classes

1. Many people with HIV and AIDS wish to continue to work and to attend classes. Every reasonable effort
should be made to accommodate them. Anyone who is HIV positive has the responsibility to notify
supervisors or professors if assignments or duties cannot be completed for medical reasons, if this
situation arises.

D.9.5 - Benefits

1. All employees have rights to benefits according to their employment contract. HIV/AIDS is treated like any
ther illness so far as University actions and benefits are concerned.

D.9.6 - Discrimination

1. Employees who discriminate against or refuse to work with infected co-workers are liable for disciplinary
action, in the same way that they would be liable in any other situation where they refuse to work. Likewise,
discriminatory acts by students or faculty against persons infected with this virus are unacceptable. At the
same time, the University expects infected persons to conduct themselves in a responsible manner. If the
University suspects otherwise, the matter will be referred to the Medical Officer of Health.

2. The Director of Health Services should be notified if persons with positive HIV conduct themselves in a way
which puts others at risk. Each case will be analyzed and responded to as required by its own particular
facts. This may involve consulting with various University departments as well as off-campus medical and
legal experts including the Medical Officer of Health.

D.9.7 - Departmental Guidelines

1. Each department must ensure that the policy is administered uniformly and with compassion while
maintaining confidentiality. It is the responsibility of each department to request additional guidelines or
procedures if special circumstances such as risk of injury or contact with blood exist. This effort should be
co-ordinated in consultation with the University Health Services Department.

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D.9.8 - University Health Services

1. Health Services shall be available to departments to assist in developing programs of preventative

education and will make available information on the spread of the disease. Students are encouraged to
inform Health Services if they have AIDS, or a positive HIV antibody test, in order that proper medical care
and support can be provided.

2. Information relating to students or employees with AIDS/HIV will be treated as confidential medical records.
However, notification to the Medical Officer of Health is required by law.

3. Health Services will respond to requests from students or employees for HIV antibody testing. Counselling
as to the limits and implications of these tests will be provided, as will sexual counselling.

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Section E - General

E.1. REIMBURSEMENT OF TRAVEL AND RELATED EXPENSES

E.1.1 - Policy

1. The University shall pay for reasonable expenses incurred for authorized travel on University business by
academic and administrative staff members, subject to the availability of funds. University business shall
include teaching, research, administration, and ancillary operations. For current rates please visit
www.carleton.ca/secretariat/html/carleton_policies.html

2. Advances for travel, expenditures for travel, and accounting for travel shall be made in accordance with
University policy (see section on Travel Advances below). Certain granting agencies have guidelines
concerning eligible travel expenses. Where there are inconsistencies between such guidelines and the
University’s policy, the granting agency guidelines shall apply.

E.1.2 - Travel Advances

1. Cash advances are available to travellers by means of the University’s Travel Card (American Express).
The Travel Card permits travellers to obtain cash from Automatic Banking Machines through the Interac
and Circuit Networks in Canada and Express Cash Network worldwide. The fee associated with such
transactions is an allowable expense.

University Travel Cards may be obtained by contacting the Accounting Section, Business Office (8607).

2. Only in exceptional circumstances, when the University Travel Card cannot be used to obtain cash, will the
Business Office provide a travel advance. Advance requisitions should be forwarded to the Accounting
Section, Business Office clearly stating the circumstances which make a travel card advance impossible.
The requisition should be received five (5) working days prior to the travel date.

3. All advances must be cleared by submitting a Travel Expense Report to the Accounting Section, Business
Office within ten (10) working days following the completion of the trip. If an amount is to be returned to the
University, a personal cheque in the correct amount, payable to Carleton University, must be attached to
the Travel Expense Report. If cash is being used to repay the amount due to the University, the claimant
must obtain a receipt from the Business Office cashier. If expenses exceed the amount of the travel
advance, and the additional expenses are to be reimbursed, the lower part of the first page of the Travel
Expense Report may be used as a cheque requisition.

4. Any travel expenses paid directly by the University on behalf of an individual must be charged to a travel
account and reported on a Travel Expense Report. Such items include air fare, hotel bills, car rentals and
other items paid directly by the University.

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E.1.3 - General Guidelines

1. Individuals must obtain the authorization of their immediate supervisor prior to any travel. This guideline
applies to travel funded from all University administered funds (operating, ancillary, plant, research, special
purpose and development funds). Similarly, all Travel Expense Reports must be approved by the traveller’s
supervisor. In doing so, the supervisor must certify that the expenses are for University purposes and in
accordance with University policy.

2. Travel expenses can be reimbursed only by submitting a properly completed and approved Travel Expense
Report form. This form must be accompanied by original vouchers and invoices (photocopies will not be
accepted) and should be submitted to the Accounting Section, Business Office within ten (10) working days
following completion of each trip.

3. All expenses incurred relating to a particular trip must be shown individually on the Travel Expense Report.
These include transportation costs, hotel bills, car rentals, and items that have been paid directly by the
University on behalf of the claimant.

4. Claims for air and rail fares must be supported by the passenger’s copy of the ticket. Credit card sales slips
may be used to support claims for gas used for rental cars. Original paid receipts or vouchers are required
for all other expenses being claimed except for per diem meals, mileage claims, parking meters, and
gratuities paid in cash. Credit card statements, cancelled cheques, and travel agency statements are not
acceptable.

5. The University shall reimburse for additional necessary costs associated with the care of children and
dependent adults while an employee is out-of-town overnight or on weekends on University business. The
reimbursement rates for these costs are available from the Accounting Section, Business Office. Such
additional costs may not include those incurred by the employee for care of children or dependent adults
during the normal work day. Receipts, including the cost, dates of employment, caregiver’s name and
phone number, must be submitted. Amounts paid to spouse may not be claimed.

6. Other personal expenses incurred on behalf of the claimant or his/her family, friends or relatives may not
be reimbursed and must be clearly shown as reductions on the Travel Expense Report.

7. Reimbursement will be made by cheque in Canadian funds in amounts equivalent to the actual expenses
incurred. All expenses must be listed on the Travel Expense Report in the currency that was used for the
actual expenditure. The exchange rate should equal the claimant’s actual cost of obtaining foreign funds.

If a University Travel Card is used, a copy of the credit card summary statement should be included with
the Travel Expense Report to support the cost of exchange. If foreign currency is purchased or sold at a
banking institute, a receipt should be obtained and included with the Travel Expense Report.

8. Travel advance cheques and travel reimbursements will be withheld until all outstanding travel advances of
the traveller have been accounted for by filing a Travel Expense Report which is in accordance with these
guidelines.

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E.1.4 - Transportation Expenses

1. Reimbursement of public transportation costs will not exceed rail fare or economy air fare. For public
transportation, the original ticket receipt (third copy of the ticket) must be submitted with the claim.

2. Use of private automobiles should be limited to those trips where no suitable public transportation is
available or where a private automobile is more economical considering all costs and time availability.

Note: When a private automobile is used strictly for personal convenience, reimbursement shall be limited
to the lesser of mileage claimed or the equivalent of economy airfare.

3. If a private automobile is used on approved University business, the owner must ensure that his/her
personal automobile insurance is adequate and includes coverage for business usage. A minimum of
$1,000,000 third party liability coverage is recommended. Any costs of arranging this business-use
coverage shall be paid by the employee.

4. The mileage reimbursement rates currently in effect are available from the Accounting Section, Business
Office. These rates will be reviewed and adjusted from time to time. Please visit
www.carleton.ca/secretariat/policies/Travel Policy.htm

5. Where an automobile is used and mileage is claimed, only one person may claim the mileage. Passengers
in the automobile may not claim mileage or cost of equivalent public transportation.

6. Flight cancellation insurance is an allowable expense. A receipt is required.

7. It may be more economical to rent an automobile than to use a private automobile. Refer to the Purchasing
Department in order to obtain information about automobile rentals.

8. Expenditures for travel insurance that covers medical expenses incurred in a foreign country will be
reimbursed. (Note: Most granting agencies do not consider this an allowable expense).

9. Taxi fares are allowable expenses.

10. Off-campus parking expenses are allowable expenses. A receipt is required for lot parking but not for
metered parking.

11. Parking and traffic fines are not allowable expenses.

E.1.5 - Accommodation and Meal Expenses

1. Information on those major hotels which offer a preferred rate to University employees may be obtained
from the Purchasing Department.

2. Reimbursement for hotels, motels, and other lodging will be limited reasonable amounts in the particular
circumstance and normally will not the single occupancy rate.

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3. Expenses for meals while travelling on University business must be listed separately (total for the day) on
the Travel Expense Report and may include gratuities and taxes. The meal reimbursement rates currently
in effect are available from the Accounting Section, Business Office. Alternatively, reasonable actual meal
costs may be claimed if supported by original vouchers (photocopies will not be accepted).

4. The per diem allowance will not apply where meals are included as part of another reimbursable item (e.g.
meals included in the transportation charge or in the conference registration fees, etc.).

5. When accommodation is provided without charge by a friend or relative, a gift of appreciation other than
cash to the host may be appropriate. The maximum value of such a gift should be based on $20.00 per day
of accommodation and a purchase receipt of the invoice for the gift is filed with the Travel Expense Report.

E.1.6 - Receptions and Entertainment Expenses while travelling

1. Generally no reimbursement will be made for reception and entertainment expenses related to social
events involving only employees of the University or involving only employees and their spouses. However,
in particular circumstances, such expenses may be reimbursed provided the expenditure has received the
prior approval of the appropriate Dean or Vice-President.

2. Receptions and entertainment expenses must be charged to the expense account designated for such
expenses. The nature of the event including the name of the group or the names of the people being
entertained must be listed on the Travel Expense Report sheet. Receipts are required.

E.1.7 - Research Funded Travel

1. Travel supported by research grants or contracts must comply with University regulations and policies
unless otherwise indicated by the granting agency. When contemplating travel funded by research
accounts, it is important to understand the guidelines that must be followed. A review of the agency policy
guidebook or terms of contract will usually indicate the method. If it is unclear which travel procedure
should be adhered to, contact the Office of Research Services.

E.1.8 - Approvals and Responsibilities

1. The claimant is responsible for ensuring that claims for expenses are in accordance with University policy.

2. Requisitions for travel advances, accounting for advances, and claims for reimbursement of expenses, as
detailed in the Travel Expense Report, must be approved by the traveller’s supervisor.

3. The supervisor who approves the Travel Expense Report or Travel Advance requisition is responsible for
ensuring that the expenses are for University purposes only and are in accordance with University policy.

4. Travel Expense Reports and Travel Advance requisitions which do not conform to these guidelines will be
returned prior to processing in order to clarify any discrepancies.

(Revised: April 2004)

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E.2. CONFIDENTIALITY

E.2.1 - Policy

Openness with respect to the affairs of the University is encouraged. However, individuals are entitled to
privacy and to know what personal information is kept on file.

E.2.2 - Type of information to be Kept

The University may collect and keep only such personal information as specifically required for the
administration of its affairs.

E.2.3 - Release of Information

1. No personal information classified as confidential and which identifies the individual may be released
except as follows:

a. in cases of emergency (emergencies will be defined by the President who will report reasons for
her/his decision to Senate and the Board of Governors);
b. under compulsion of law; or
c. with the consent (expressed or implied) of the individual to whom the information relates.

2. On request, all personal information may be released to the individual to whom it relates. This policy may
be set aside when information to be released could reasonably be considered, by the person who provided
it, to have been provided on a confidential basis.

3. Information which may be released internally or externally without individual permission, includes:
information in the public domain, e.g., names of faculty, staff, or students; names of winners of competitive
awards; names of graduates; officially settled facts of appointment, employment, promotion, membership in
professional bodies, and so on; information contained in the following publications of the University: the
Calendar, Convocation Programs, University Reports, Report on Research and Studies, and the
President's Report.

4. Information which may be released to any person or body within the University charged with making or
adjudicating career decisions concerning faculty and staff members for the legitimate purposes of their
respective offices, or with the consent of the individual concerned, to a body outside the University,
includes: age, date of birth, sex, family/marital status, citizenship, wages and salaries, letters of reference
or assessment (or similar documents), curriculum vitae, disciplinary records, and other similar information.

5. Aside from statistical data which does not identify any individual, information such as medical,
psychological and counselling records, and financial status, may be recorded, but not released, except to
officials or bodies within the University authorized by the President to receive such information and then
only with the consent (expressed or implied) of the individual concerned.

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6. Information which cannot be requested nor officially recorded unless gratuitously provided by an individual
in her/his curriculum vitae includes: race, ethnic origin, place of birth, religion, colour, political affiliation,
non-professional memberships, and social habits.

7. When information that cannot otherwise be released outside the University is released with the consent of
the individual, the University or person releasing the information is obliged to comply with any written
request, from the individual, for a copy of the information being released, except in the case of material
from medical, psychological and counselling files.

E.3. CONFLICT OF INTEREST

E.3.1 - Preamble

Each employee (member of the faculty or staff) occupies a position of trust in dealing with others inside and
outside the University. Whatever the area of activity or degree of responsibility, the University expects each
employee to act in a manner which will enhance the University’s reputation for ethical performance in all its
dealings.

In situations where the Policy on Integrity in Research and Scholarship or a collective agreement differs from
this policy, the Policy or collective agreement shall apply.

This policy applies to employees of Carleton University as well as to employees of companies owned directly
or indirectly by Carleton University.

E.3.2 - Policy

1. A conflict of interest exists or might exist in any instance where an individual’s actions or activities on behalf
of the University provide an opportunity to obtain a gain or advantage to the individual or the individual’s
family or business associates or cause an adverse effect on the University’s interests. It can also result
when a personal or business relationship affects or may affect the employee’s capacity to exercise due
care, skill and judgment on behalf of the University in the performance of the individual’s assigned duties.

Such situations include but are not limited to the following:

a. Ownership or management of a company or participation as a shareholder (other than by way of

investment in a publicly traded company), director, officer, or in any other capacity which is a
supplier of materials or services to the University.

b. Making an investment in any situation in anticipation of the University taking a material interest
therein or which results from knowledge of facts not generally known by or available to the public or
in anticipation of actions which may be taken by the University in such a situation.

c. Participating in the appointment, promotion, disciplinary or tenure process affecting a relative or

partner.

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d. Participating in decisions regarding grades, financial aid, academic programme or thesis or

providing academic or employment references for a relative or partner.

2. A conflict of interest arises or might arise if gifts, gratuities, or favours of any kind are exchanged between
an employee and any individual or company whose relationship with the University involves the employee’s
sphere of responsibilities.

a. This policy is not intended to prohibit the acceptance or giving of common courtesies associated
with accepted business practices, including accepting or giving a meal or other gifts of nominal
value which could not be construed as a bribe or other improper payment. However, employees
should never expect any favours and should tactfully discourage the practice.

b. Cash payments in any amount must not be accepted or given as a gift or favour under any
circumstances.

3. A conflict of interest arises or might arise if any employee accepts outside employment or engages in
outside activities which may interfere with the efficient and independent performance of University duties,
or which may place the employee under an obligation to any individual or company whose relationship with
the University involves the employee’s sphere of responsibilities.

4. Candidates for any position at Carleton University are expected to declare a potential conflict of interest to
the Chair of the Search Committee as part of their application. Relatives, partners or other persons with
whom one has a personal/close relationship will not be appointed where there is a direct reporting
relationship or where internal control problems may be created as a result of such an appointment. When
this policy is the basis for not selecting an applicant, the hiring manager will note the reason in her/his
documentation (if a potential internal control problem is the reason, he/she should describe the problem).

Hiring managers are also required to follow this policy with respect to the hiring of temporary, casual or
replacement employees.

5. The University’s name, facilities, equipment, stationery, supplies, personnel and other resources are to be
used only for University work. An employee shall not make unauthorized use of any University resources,
including the services of University employees, for the personal direct or indirect benefit of the employee or
of any other person.

No employee who enters into a contract for commercial advantage shall give the impression or make a
representation that the contract is with the University. The name, address or phone number of the
University shall not be referred to on any document (e.g. contract, letterhead or business card) which has
to do with an employee’s private business.

E.3.3 - Implementation

If an employee is faced with a situation involving an existing or potential conflict of interest, or is in any doubt
about the application of this policy, he/she must report the circumstances to:

1. In matters relating to the acquisition of goods and services, the Director of Finance; or

2. In other matters, the President, Vice-President, Dean or Director,

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who will determine if a conflict of interest exists or might exist, and in such an event, reach a written agreement
with the employee on the means by which that conflict will be removed or avoided.

E.3.4 - Definitions

For the purposes of this policy:

1. two persons are partners if:

a. they have lived/cohabited together for a least one year; or
b. have a personal/close relationship that is of primary importance in both persons lives.

2. Two persons are relatives if they are related by blood, marriage, adoption or as partners as defined in 1.i.a.

(Revised: November 1997)

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E.4. GUARANTEED HOUSING LOAN PLAN

E.4.1 - Purpose of the Plan

The Guaranteed Housing Loan Plan is available to designated staff to enable them to purchase a house in
which to live while employed at Carleton University. Homes that will be rented or used by persons other than
the employee’s immediate family do not qualify under the plan. The maximum loan is $20,000 with a maximum
repayment period of twenty (20) years.

E.4.2 - Eligibility

As long as the funds will be used to buy a house in which the staff member will live, any permanent employee
is eligible to apply for a loan under this plan.

E.4.3 - How the Plan Works

The employee borrows the required sum of money from the Bank of Nova Scotia (campus branch) as the
primary debtor. The University will guarantee repayment of the loan to the Bank subject to the execution of a
second mortgage agreement in favour of the University.

E.4.4 - Interest Rate and Repayment Terms

1. Because the University has agreed to guarantee loans made by the Bank under this plan, an agreement
has been reached whereby interest will be charged as follows:

Term of Loan Amount of Loan Interest Rate

1 - 10 years up to $10,000 Prime + 1/2%

1 - 10 years $10,001 - $20,000 Prime + 3/4%

10 - 15 years $1 - $20,000 Prime + 1%

15 - 20 years $1 - $20,000 Prime + 1 1/4%

2. The rate of interest charged on the outstanding amount will vary upwards or downwards as the prime rate
varies. Payments will be made in monthly instalments of principal and interest sufficient to amortize the
loan over the loan period.

3. Under the terms of the Agreement between the University and the Bank of Nova Scotia, it is required that
the applicant open a Personal Account at the Bank of Nova Scotia (campus branch) and authorize the
University to deposit to that account salary payments as are due the applicant from time to time.

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4. The balance of principal plus accrued interest owing at any time may be repaid without notice or bonus.
Such arrangements for repayment must be made between the employee and the Bank.

E.4.5 - Securing the Loan

1. To secure the loan, the Bank will require that a Promissory Note be signed by the employee and
guaranteed by the University.

2. To secure its guarantee of the loan, the University requires that the employee execute a second mortgage
on the property concerned, prepared by the University’s solicitor, in favour of the University.

3. So that the University may properly record the contingent liabilities arising from this plan, staff members
must also authorize the Bank to inform the University of the state of the loan account at any time.

E.4.6 - Limitations

1. Since it is necessary to control the total contingent liability under this plan, the University reserves the right
to limit the number of guaranteed loans made available at any one time.

2. The Bank of Nova Scotia is not bound to make a loan to a staff member even though the employee has the
University’s approval for a loan.

3. If and when the Bank does approve a loan, money will not be advanced to the employee until the Bank
receives notice from the University’s solicitor to do so.

4. A loan will not be approved by the University unless the employee has at least a 10% equity in the
property, in the case of a detached house, and up to 20% on other types of homes, as may be negotiated
on an individual basis.

E.4.7 - Cancellation of Loan

1. Loans given under this plan contain the condition that the entire balance of outstanding principal, together
with interest accrued, becomes due and payable immediately if the staff member:

a. ceases for any reason to be employed by the University;

b. ceases to occupy as her/his usual and principal place of residence, the house for which the loan
was made; and/or
c. Sells, conveys, assigns or otherwise becomes deprived of her/his interest in the said lands and
premises.

E.4.8 - Legal Costs

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1. The employee must pay all legal and administrative expenses incidental to this loan including the cost of
preparing the second mortgage documents and of obtaining an up-to-date survey of the property
concerned.

2. Because the University is a party to the second mortgage, the second mortgage document must be
prepared by the University’s solicitor at the staff member’s expense.

3. When the loan has been repaid, the employee is responsible for arranging and paying for the discharge of
the second mortgage.

E.4.9 - Application Procedures

1. Eligible employees who wish to borrow money under this plan must complete an "Application for
Guaranteed Housing Loan" (Appendix E.4) which can be obtained from the Office of the Director of
Finance or the Bank of Nova Scotia on campus.

2. If the application is approved by the University, the University will forward the application to the Bank and
the Bank will contact the applicant to obtain whatever information is required to establish the applicant’s
credit standing. If the loan is approved, the Bank will arrange for the signing of the promissory note and the
payment of moneys.

E.5. TRIBUTES

E.5.1 - University

1. It is University policy to acknowledge the death of a staff member. Human Resources is responsible for
ensuring that appropriate arrangements are made as follows:

a. flying the University flag at half-mast on the day of the funeral;

b. sending a floral tribute or donation on behalf of the University; and
c. sending a letter of condolence, from the President, to the next of kin.

E.5.2 - Individual Departments

1. Individual departments may also wish to acknowledge the death of a colleague. In this instance, costs are
to be covered through individual contributions.

2. Where a department wishes to acknowledge a special occasion, e.g. birth, illness, marriage etc., costs are
to be covered through individual contributions.

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E.6. CARD ACCESS TO BUILDING

E.6.1 - Policy

Carleton University is committed to providing personal safety and security of property. Some buildings on
campus are accessible after normal working hours, with the use of an access card.

E.6.2 - Procedures for Obtaining an Access Card

Individuals interested in obtaining an access card must have approval from authorized personnel in the
respective department and the Department concerned must complete a Card Access Requisition for each
individual requesting a card.

The form must have an appropriate authorization signature (i.e. the Department Administrator or her/his
designate). This form should then be forwarded to the Department of University Safety, who must be in receipt
of the authorization before an access card will be issued. Copies of the Requisition Form are available from the
Department of University Safety.

E.6.3 - Terms and Conditions

1. Issuing of cards will be restricted to persons having a valid reason to enter buildings outside normal
working hours.

2. The access card must be picked up from the Department of University Safety, Room 107 Robertson Hall,
by the individual user. The holder must sign for the card and provide valid photo identification (i.e.
student/staff card).

3. These cards are the property of Carleton University and should be returned to the Department of University
Safety when they are no longer active. Effective September 1, 1998 there is a $10.00 non-refundable fee to
obtain an access card.

4. Access cards for faculty and staff will remain valid indefinitely except in cases of change of locale or
termination of employment.

5. Cards issued to undergraduate students are valid as indicated on the Card Access Requisition by the
Departmental Administrator. In cases where no expiry date is provided, the card will be valid until the end
of the academic year, at which time the card will be de-activated.

6. Cards for students requiring continued access, or for returning students, can be retained and will be re-
activated upon receipt of authorization.

7. Lost/stolen/damaged cards should be reported immediately to the Department of University Safety Patrol
Office (Room 203 Robertson Hall) and to the concerned department in order to received authorization for a

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replacement card. Replacement cards may be obtained from the Department of University Safety from 8:00
am to 4:00 pm, Monday to Friday.

8. Equipment malfunctions (Electronic Card Readers, door locks, etc.) should be reported to the Patrol Office
as soon as possible in order to properly effect repairs. Reports should be made to the patrol Office at 520-
3612 at any time (24 hours a day). If a card does not work because of equipment malfunction, the Patrol
Office will grant access to the building, with proper identification.

(Revised: February 1997)

E.7. EMERGENCY EVACUATION OF BUILDINGS AND ASSISTANCE TO PERSONS WITH DISABILITIES

E.7.1 - Guidelines

1. The following guidelines must be followed:

a. Evacuate immediately on hearing the alarm. Do not hesitate;

b. Do not use elevators, use the closest stairwells;
c. Do not stop and congregate in stairwells;
d. Exit the building as quickly as possible;
e. Do not congregate near the building. The possibility of flying glass is real and is extremely
dangerous.

2. The following guidelines are published for the information and action of all staff in the event of emergencies
requiring the evacuation of disabled occupants from campus buildings:

a. Evacuation will begin with the sounding of building fire alarms. Attention is directed to the "Fire
Emergency Procedures" signs located above fire alarm pull-stations located in each building.

b. Those who instruct are primarily responsible for the safety of the students they teach in laboratories
or classrooms. It is the responsibility of the instructor to evacuate his/her classroom as quickly as
possible and, in so far as possible, to speed the evacuation of the building using exit routes which
will avoid fire or other danger areas.

c. The instructor should delegate an appropriate number of students to assist disabled student(s) to
leave the building and, if feasible, to move to a safe area pending the arrival of fire-fighters, police,
or University Safety staff who should immediately be advised of the location of disabled person(s).

d. Alarms in some buildings ring intermittently and silence automatically after only five (5) minutes.
This does not mean that it is safe to return to the building. The all clear is a thirty (3) second
sounding of the alarm. Do not enter the building until this sounds.

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E.7.2 - Dunton Tower Fire Alarm and Evacuation Procedures

1. The Dunton Tower alarm is a two stage system. In the event of a fire or an emergency situation, the
following will occur:

2. The floor on which a device is activated will immediately go into general alarm along with the floor
immediately above and the floor immediately below. (i.e.: device activated on the 9th floor, floors 8 and 10
will also go into general alarm). In general alarm, the horns will sound approximately 120 times per minute.
Evacuate immediately.

3. The remainder of the building will go into "pre-alarm". The horns will sound approximately 20 times per
minute. Prepare and start to evacuate.

4. Upon hearing the alarm or pre-alarm, persons with disabilities should go to the red phones at the elevator
and report their location. The dispatcher will inform Department of University Safety personnel of your
location. If it is not possible to remain at the elevators on the floor on which you work, go to the nearest
stairwell and remain there. If for any reason you change floors, advise the Department of University Safety
by using the red phone.

5. On arrival of the Fire Chief, s/he will be informed of the location of the individuals. S/he will then decide
how, or if, the disabled persons can be evacuated. From this point, fire officials will control and direct the
usage of the elevators. In all likelihood, elevators will be used to evacuate the disabled persons from the
building.

6. An announcement over the PA system will advise if an emergency is real or a false alarm.

E.7.3 - Requests for Assistance

During an emergency evacuation of a building, those individuals with special needs may require assistance in
leaving the building. This assistance will be provided by the departments and fire wardens, the Department of
University Safety and the Fire Department. The department or fire warden will need to provide first-line help
such as assisting someone to enter a stairwell that is a temporary haven from fire. Those with special training
and equipment will provide the actual evacuation assistance.

Individuals with a special need should complete the Request for Assistance form, available from the
Department of University Safety. The completed form should be returned to University Safety and will be kept
on file in the Patrol Office. The information will be kept confidential except for those persons who will be
providing the assistance.

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Request for Assistance

Any student, staff or faculty member with special needs for assistance during a building evacuation has the
responsibility to make this known to the University. The University cannot make an independent evaluation of
such need. Assistance is usually needed by anyone with hearing, visual or mobility impairment.

All information provided will be kept confidential and only the persons and agencies providing the required
assistance will have access. Please fill in the Evacuation Assistance form available on the Environmental
Health & Safety Website.

E.8. FIRE PREVENTION

E.8.1 - Policy

The Municipal Fire Code requires that employers conduct fire drills for all buildings. Drills will be conducted
twice a year for all campus buildings and will require the evacuation of all building occupants during such drills.

Fire Prevention Officer

The Fire Prevention Officer carries out all duties relating to fire safety and fire prevention on the University
campus in liaison with the City of Ottawa Fire Department and the Department of University Safety personnel.
This includes conducting monthly inspections of buildings and equipment, testing and replacing fire equipment,
investigating fire alarms, conducting regular fire drills, and keeping records of all of the above.

E.8.2 - Fire Drills

The Municipal Fire Code requires that employers conduct fire drills for all buildings. Drills will be conducted
twice a year for all campus buildings and will require the evacuation of all building occupants during such drills.
Fire drills are scheduled and supervised by the Fire Prevention Officer. Schedules are circulated in advance to
the Building Authorities (for a list of Building Authorities see the University Policies website). Academic and
administrative staff and students are expected to cooperate with University Safety and participate in these
drills.

Fire drills are necessary to ensure that:

1. building occupants are familiar with evacuation procedures and routes;
2. fire drill procedures are current and understood by occupants and officials; and
3. fire warning equipment is working properly.

Fire Wardens

Volunteer fire wardens participate in fire drills and fire emergencies in specified buildings on campus. The
volunteers receive training from the Fire Prevention Officer and assist in clearing the building and alerting the
Fire Prevention Officer or Campus Police Officers of occupants in need of assistance.

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E.9. UNIVERSITY WORK

E.9.1 - Definition of University Work

University work is work performed by staff which is required to meet the needs of the department. Assignment
and priority ranking of work will be set by the department and may vary from one department to another.
Questions regarding the type or distribution of work should initially be referred to the Supervisor/Department
Head and then, if necessary, to the Dean or Director for clarification.

E.10. BUILDING EVACUATION

E.10.1 - Procedures

A building will be evacuated when there is a threat (or perceived threat) to the safety of the occupants.

Except in very obvious situations, such as fire, the decision to evacuate will be made jointly by the Director,
University Safety (or designate) and the Building Authority.

Staff in the Department of University Safety, who generally receive the first calls about a problem, will call in
other resources, such as the fire department, gas company, police services, etc.

The Fire Prevention Officer will be informed and the fire alarm will be used to evacuate the building.

Staff in the Department of University Safety will notify the Office of the President and the Building Authority of
the building concerned (if not involved in the decision) that the building has been evacuated. Staff in the Patrol
Office and the University Safety administrative office will be kept aware of the situation in order to pass on
information to callers.

University Safety will post notices on the doors and keep the building locked. Occupants will be advised to
phone the Patrol Office at 3612 for information - not 4444.

The Director of University Safety and the Building Authority will decide when the occupants may return to the
building. In some situations the decision will be made on the advice of others such as, the fire department,
police services, gas company, etc.

The Director of University Safety and the Building Authority will issue a report to the occupants following the
incident. The report will provide information on what caused the evacuation and the steps taken to ensure the
safety of the occupants and prevent a recurrence.

When in Doubt, Get Out!

If you feel your health is in danger from contaminants, fumes, odours, or dusts in your building, leave
immediately. If you are in a position of responsibility for staff and/or students, instruct them to leave also. After

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leaving, go to the nearest telephone and report the problem and your location immediately to University Safety
at 4444 and the Office of the Building Authority. If necessary the Department of University Safety will evacuate
the building and post notices on the doors. The Office of the Building Authority will advise department heads
and assign alternative work areas or send people home.

E.11. GUIDELINES FOR EARLY CLOSING DUE TO TEMPERATURE EXTREMES

E.11.1 - Preamble

1. The University undertakes to provide a safe and healthy working environment. Extreme high or low
temperatures may produce uncomfortable working conditions.

2. Early closing shall be subject to operational requirements and considered on a case by case basis
depending on specific working and environmental conditions.

E.11.2 - Early Closing Authorization

1. After consultation with Physical Plant, the Department Head may permit an early closing of specific work
areas. The Department Head will so advise the Office of the Building Authority. For a List of Building
Authorities see the University Policies website.

2. When possible, consideration may be given to relocating staff as an alternative to early closing.

E.12. EMPLOYEES WITH DISABILITIES WHO REQUIRE ELEVATORS

E.12.1

The following buildings on campus have only one elevator. Occasionally, due to breakdown or maintenance
and repairs, these elevators are not available.

 E.L.B.A.  Southam Hall

 Mackenzie (4th floor, block A)  Athletics Building
 Tory Building  Herzberg Building -- Physics
 University Centre  Steacie Building -- Chemistry
 Paterson Hall  St. Patrick’s Building
 Russell-Grenville Residence

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E.12.2 - Notice of Elevator Shutdown

It is the University’s intention to provide advance notice of elevator shutdowns, whenever possible, to
employees who require an elevator to access their workplace. Employees with a mobility impairment who
require an elevator to reach their workplace should register with the Equity Coordinator, who will arrange to
have Buildings and Grounds attempt to alert the employee in the event of an elevator being out of order.

E.13. POLICY ON LAPTOPS AND MICROCOMPUTER PURCHASE LOANS

E.13.1- Purpose of the Plan

The purpose of this policy is to assist continuing employees of Carleton University to purchase laptops,
microcomputers, workstations and related accessories for their own use in support of the University’s general
strategic goal of enhanced access to information technology.

E.13.2 - Policy

1. The University may, at its own discretion, grant loans to continuing employees (faculty and staff) in order to
purchase a microcomputer.

2. The University reserves the absolute right to refuse to grant a loan.

3. All purchases shall be made through Purchasing Services at the prevailing prices.

4. The term of the loan shall be from one to three years. Once initially agreed upon, the term shall be fixed.
However, during the term of the loan, the entire outstanding balance (principal only) can be repaid without
penalty on the 1st of any month.

5. No employee shall be entitled to more than one loan at a time. The maximum loan shall be no more than
$5,000.

6. Where loans are granted, the interest rate charged shall be the prime rate charged by the University’s bank
at the time the loan is granted plus one percent and shall be fixed for the period of the loan.

7. Applications may be obtained from Purchasing Services, 609 Robertson Hall. All applications for
microcomputer purchase loans must be submitted to Purchasing at the time the microcomputer is ordered.
Purchasing will forward the application to the Business Office for approval. When the equipment has been
received by Purchasing Services, the employee will be called and asked to complete the deed of loan
before the equipment is released. Repayments shall be by equal instalments of principal and interest made
through payroll deduction.

8. All amounts remaining unpaid at the date of termination of employment must be repaid in full at
termination.

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9. All benefits which may be granted by the present policy are done so on ex-gratia and without creating any
right whatsoever on the part of the employee. Without restriction of this principle, any decision made by the
University is not subject to grievance, appeal, review or any informal or judicial recourse. This Policy is not
a term forming part of the contract of employment and may be withdrawn at any time.

10. All equipment purchased under this Policy is subject to the usual warranties offered by the manufacturer.
Under this Policy the University is not offering any additional guarantees or warranties and is not liable for
providing any additional support or maintenance, except as may be offered through an extended
maintenance contract with Computing and Communications Services. Employees wishing to enter into
such a maintenance contract should first ensure that support is available for the equipment they wish to
purchase.

(Revised: June 2006 )

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APPENDIX B.1. UNIVERSITY HOURS MANAGEMENT COMMITTEE MANDATE & MEMBERSHIP

 Review appeals from Deans/Vice-Presidents/University Librarian for exemption to the University Policy on
Hours of Service and render a decision.
 Communicate all decisions to the campus community through the Department of University
Communications.
 Conduct a review annually in January of those units which have been granted exception (including
extended hours) to the University Policy on Hours of Service.
 Evaluate the policy on a five-year cycle.

Administrative support for the University Hours Management Committee to be supplied by the Office of the
Vice-President (Finance & Administration).

Membership (3)
 The Vice-President (Finance & Administration) Chair
 The Vice-President (Academic)
 Assistant Vice-President (Human Resources)

APPENDIX B.2. EXAMPLES OF FLEXIBLE WORKING SCHEDULES

Start Time Lunch Period Finish Time

Employee A 7:30 a.m. 12:00 - 1:00 p.m. 3:30 p.m.
Employee B 8:00 a.m. 12:00 - 1:30 p.m. 4:30 p.m.
Employee C 8:00 a.m. 12:30 - 1:00 p.m. 3:30 p.m.
Employee D 9:30 a.m. 12:00 - 1:00 p.m. 5:30 p.m.
Employee E 8:30 a.m. 12:00 - 12:30 p.m. 4:00 p.m.
Employee F 9:30 a.m. 12:00 - 12:30 p.m. 5:00 p.m.
Employee G 9:00 a.m. 1:00 - 2:00 p.m. 5:00 p.m.
Employee H 9:30 a.m. 12:00 - 1:30 p.m. 6:00 p.m.

 Flexitime 7:30 - 9:30

 Morning Core Hours 9:30 - 12:00
 Flexible Lunch Time 12:00 - 2:00
 Afternoon Core Hours 2:00 - 3:30
 Flexitime 3:30 - 6:00

(Date Issued: September 1991)

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APPENDIX B. 2.5. COMPRESSED WORKING SCHEDULES

1. Work Period - Four Day Week

Four work days, each comprising 8 hours and 45 minutes, with the fifth day off.

2. Work Period - Nine Days Over Two Consecutive Weeks

Nine work days, each comprising 7 hours and 47 minutes, with the tenth day off.

3. Work Period - Fourteen Days Over Three Consecutive Weeks

Fourteen work days, each comprising 7 hours and 30 minutes, with the fifteenth day off.

These are the only compressed work schedules which will be approved under this policy.

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APPENDIX B.4. RECOGNIZED STATUTORY HOLIDAYS

 New Year's Day

 Heritage Day (if proclaimed)
 Good Friday
 Easter Monday
 Victoria Day
 Dominion Day
 August Civic Holiday
 Labour Day
 Thanksgiving Day
 Christmas Day
 Boxing Day

Christmas Holiday Schedule

For the Christmas period each year there will be Premium Days and Designated Days off with pay. Employees
scheduled to work on those days identified as Premium Days will be paid in accordance with Section B. 4.7.

Employees scheduled to work on those days identified as Designated Days will be granted days off with pay at
some other time. Such time off is to be scheduled by mutual agreement between the department head and the
individual employee.

When Christmas and New Year's fall on the following days the Premium Days and Designated Days will be:

Day Premium Designated

Saturday December 27, 28, 29, 31 December 30
Sunday December 26, 27, 28, 30 December 29
Monday December 25, 26, 27 / January 1 28,29
Tuesday December 24, 25, 26 / January 1 December 27,28,31
Wednesday December 25, 26, 27 / January 1 December 30,31
Thursday December 25, 26, 29 / January 1 December 30,31 / January 2
Friday December 25, 28, 29 / January 1 December 30,31

(Date Revised: April 2007)

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APPENDIX B.5. VACATION ENTITLEMENT

Vacation Accrual for First Year of Service

Each employee shall receive the following annual leave with the right to take days as they are accumulated.

Levels three (3) to seven (7): 1.25 days per month

Levels eight (8) and higher: 1.83 days per month

Vacation Accrual after First Year of Service

Annual vacation shall be earned monthly at the rate of 1/12 of the employee's annual vacation entitlement;
such vacation entitlement will be calculated, according to number of years service from date of hire, as follows:

1. Up to and Including Level Seven

Number of Years from Date of Hire Vacation Accrual / Year Vacation Accrual / month
1-4 years service 15 working days 1.25 days / month
5-9 years service 20 working days 1.66 days / month
10-14 years service 22 working days 1.83 days / month
15 years service 25 working days 2.08 days / month

On an employee's 25th anniversary date, s/he will be granted, on a one-time basis only, an additional ten
(10) working days of paid leave.

2. Levels Eight to Twelve

Employees in levels 8-12 inclusive shall receive twenty-two working days vacation up to 14 years of service
and shall receive twenty-five working days vacation after 14 years of service

On an employee's 25th anniversary date, s/he will be granted, on a one-time basis only, an additional (10)
working days of paid leave.

Note: This schedule applies to union-exempt employees. Employees in a bargaining unit should consult their
collective agreement.

Date Revised: April, 2007

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APPENDIX B.5.1 ACCUMULATED ANNUAL LEAVE POLICY

Appendix B.5.1.1 - Background

All employees, except members of the academic staff, are required by law to report absences from work. This
statutory requirement includes reporting the use of annual leave.

Managers within departments are responsible to ensure that employees schedule annual leave and report all
time off taken.

A designated staff member in each department is responsible for entering and approving leave taken for
members of the department after the monthly leave report has been approved by the manager and/or
department head. Employees can view annual leave balances on the self service unit of the enterprise
computer system.

The department of Human Resources prepares quarterly reports that are distributed to department managers
and their direct reports. These reports show annual leave balances for all employees in the unit, all are
accompanied by a communication encouraging managers to talk to staff in their area who have excess leave
balances.

It is University policy, as well as a requirement of most collective agreements, that employees take annual
leave each year. Although the University has the right to schedule an employee’s annual leave, the practice in
most cases is to permit employees to take their annual leave when it is convenient to them. The current policy
recognizes that circumstances may prevent employees from using all of their leave entitlement and so it
provides for limited accumulation of annual leave. It reads as follows:
"An employee may not accumulate annual leave in excess of thirty (30) days. In special circumstances and
upon written application to the employee’s manager, with a copy to the Assistant Vice-President (Human
Resources), an employee may be permitted to accumulate earned annual leave up to a maximum of forty (40)
days for special extended vacation."

This policy on accumulated annual leave has not been applied consistently across the campus. Human
Resources has been reporting leave balances to departments and senior management on a regular basis over
the past four years. In addition to this reporting, it is now necessary to manage leave balances over the stated
limits, in order to comply with policy and recommendations made by external auditors.

At the end of September 2009, there were some 184 employees with more than 30 days of accumulated
annual leave with 36 of them having over 50 days of accumulated annual leave.
Accumulated annual leave becomes an expense to the department when the employee resigns or retires. At
that time the full cash value of accumulated annual leave is payable to the employee. This is calculated using
the employee’s salary rate at the date of departure.
When employees transfer from one department to another the vacation balances are considered, and any
balance of vacation in excess of 30 days must be paid out to the employee by the department the employee is
leaving, so that the new department does not assume the full financial liability.

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Appendix B.5.1.2 - Policy

Unit managers must ensure that any employees in their unit with accumulated annual leave in excess of 30
days at September 30, 2009, are scheduled to take:
1. their full annual leave entitlement during the current leave year
2. plus that amount required to ensure their accumulated total is reduced to 30 days at September 30,
2010, or reduced by at least 10 additional days, whichever is less.

If at September 30, 2010 an employee has a balance of accumulated annual leave in excess of 30 days, the
manager must ensure the employee is scheduled to take:
1. their full earned annual leave entitlement during the next leave year
2. plus that amount required to ensure their accumulated total is reduced to 30 days at September 30,
2011, or at least 10 additional days, whichever is less.

Failure to ensure the above target is met will result in the employee being paid for the shortfall with the amount
being paid at the employee’s current rate of pay and charged against the unit’s operating budget.

Appendix B.5.1.3 - Implementation

Human Resources has prepared the September 2009 departmental annual leave reports, showing a list of all
employees with more than 30 days accrued annual leave and have distributed to each department head, their
Dean/Director and Vice President.

Human Resources will send further reports showing the March 31, 2010 and June 30, 2010 accumulated leave
for persons who have accrued more that 30 days. These reports will be in addition to the regular quarterly
reports referred to above.

It will be the responsibility of department heads to ensure that persons with more than 30 days accrued annual
leave take their full entitlement for the year plus additional days to comply with the policy.
It is understood that this process is not accomplished overnight, and that there are excessive balances within
some departments. However, applying the policy consistently to all employees with a balance greater than 30
days will ensure that leave is being managed.

The following information demonstrates some examples of implementing the policy and managing leave
balances:

Example #1
September 30, 2009 accumulated annual leave balance 45 days
Annual leave entitlement 22 days
During the period October 1, 2009 until September 30, 2010, Employee must use 22 days of earned annual
leave, plus at least 10 additional days to help reduce the accumulated balance:
 September 30, 2009 balance 45 days
 Earned entitlement 22 days
 Minimum leave to be taken (22 + 10) 32 days
Balance September 30, 2010 should be maximum of 35 days

September 30, 2010 balance 35 days

During the period October 1, 2010 and September 30, 2011, Employee must use 22 days of earned annual
leave, plus at least 5 additional days to reduce the accumulated balance to the policy limit.

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 September 30, 2010 balance 35 days

 Earned entitlement 22 days
 Minimum leave to be taken (22 + 5) 27 days

September 30, 2011 balance 30 days

Example # 2
September 30, 2009 accumulated annual leave balance 75 days
Annual leave entitlement 25 days
During the period October 1, 2009 and September 30, 2010, Employee must use 25 days of earned annual
leave, plus at least 10 additional days to reduce the accumulated balance.
 September 30, 2009 balance 75 days
 Earned entitlement 25 days
 Minimum leave to be taken (25 +10) 35 days
Balance September 30, 2010 should be 65 days

If employee leave balance is more than 65 days, the excess days will be paid out to the employee in
November 2010, at current salary rate and charged to the department’s budget.

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APPENDIX B.9.2 – RESERVIST LEAVE

Policy Name: Reservist Leave
Originating/Responsible Department: Finance and Administration
Approval Authority: Senior Management Committee
Date of Original Policy: August 2009
Last Updated: August 2009
Mandatory Revision Date: August 2014
Contact: Vice President (Finance and Administration), Assistant Vice-President (Human
Resources)

Policy:

Employee reservists who have worked for the university for at least six (6) consecutive months are entitled to an unpaid
leave of indefinite length, if the employee reservist will not be performing the duties of his or her position due to a
domestic or international deployment. The duration of the leave will depend on the operation to which the reservist is
deployed, and, in the case of international operations, may include participation in both pre- and post-deployment
activities.

Purpose:

Military reservists serving on domestic operations such as search and rescue operations or national disasters like flood
relief or ice storms or international deployment have job protection upon returning from a tour of duty under the
Employment Standards Act (“ESA”), 2000.

The term “reservist” is defined to mean a member of the reserve force of the Canadian Forces.

Scope:

This policy is applicable to all University departments and units.

Procedure:

The employee reservist is required to provide reasonable notice in writing to his or her manager and to the Assistant Vice-
President (Human Resources) before the beginning and ending of the leave and is required to provide proof of military
service.

(1) During the leave:

a) Seniority and length of service credits continue to accumulate where applicable
b) Annual leave accumulation will cease
c) Pension will cease, although the service is eligible to be purchased upon the return to employment under the
Buy-back provisions of the pension plan.
d) All benefits including extended health, dental, long term disability, life and optional life insurance will cease
e) Entitlement to sick leave will cease.

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(2) Returning from the leave:

f) The employee will be reinstated to the same position if it still exists or to a comparable position if it does not
g) Pay and benefits will resume no later than two (2) weeks after the end of the reservist leave
h) Benefits will not be subject to evidence of insurability or pre-existing condition clauses of the benefits contract.
Contacts:

Assistant Vice-President (Human Resources)

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APPENDIX B.10. SALARY RANGES FROM JULY 1, 2009 - JUNE 30, 2010

Level Step 1 Step 2 Step 3 Step 4 Job Rate

3R 30120 30882 31647 32409 33171
3PE 34429 35191 35953 36717 37481
4R 32729 33556 34387 35216 36045
4PE 37021 37850 38680 39508 40336
5R 35497 36394 37294 38193 39092
5PE 39787 40684 41584 42481 43383
6R 39760 40766 41773 42779 43785
6PE 44049 45055 46063 47069 48074
7R 42940 44027 45114 46204 47290
7PE 47231 48317 49405 50494 51581
8R 48202 49425 50645 51867 53089
8PE 52492 53716 54935 56158 57379
9R 53947 55313 56680 58045 59411
9PE 58235 59600 60968 62333 63698
10R 60561 62095 63629 65163 66698
10PE 64849 66384 67918 69452 70987
11R 67099 68800 70497 72197 73897
11PE 71388 73087 74785 76486 78183
12R 71883 73705 75525 77346 79167
12PE 76173 77995 79814 81637 83458

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APPENDIX B.11. BENEFIT PLANS

Continuing Appointments Term Appointments Replacement & Temporary

Appointments
FT PT FT PT FT PT
Long-Term Disability X X X X
Extended Health Care X X X X
* Dental Plan X X X X X X
Retirement Plan X X X
* Group Life Insurance X X X X
Group RRSP X X X X

* These plans are compulsory. The Retirement Plan, although optional to age thirty (30), becomes compulsory
on July 1 following age 30.

NOTES:

1. Term employees appointed for less than 12 months are not eligible for long term disability insurance. For
clarification, contact the Pension and Benefit Section, Human Resources

2. Temporary employees are eligible for benefits following three (3) months of continuous employment of
more than 24 hours per week.

3. After two years, temporary employees may be eligible to join the Carleton University Retirement Plan.

(Date Issued: September 1991)

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APPENDIX B.12. SELF-FUNDED LEAVE PLAN

Examples of Salary Deferral Options for Annual Nominal Salary of $30,000

Period Deferral Salary Deferred per Year Annual Salary Payable during Salary Payable
in Years Deferral Period During Leave Period
33 1/3% 66 2/3% 33 113%
1
($10,000) ($20,000) ($10,000)
33 113% 66 2/3% 66 2/3%
2
($10,000) ($20,000) ($20,000)
25% 75% 50%
2
($7,500) ($22,500) ($15,000)
25% 75% 75%
3
($7,500) ($22,500) ($22,500)
20% 80% 60%
3
($6,000) ($24,000) ($18,000)
20% 80% 80%
4
($6,000) ($24,000) ($24,000)
25% 75% 100%
4
($7,500) ($22,500) ($30,000)
20% 80% 100%
5
($6,000) ($24,000) ($30,000)
15% 85% 75%
5
($4,500) ($25,500) ($22,500)
10% 90% 60%
6
($3,000) ($27,000) ($18,000)
15% 85% 90%
6
($4,500) ($25,500) ($27,000)

APPENDIX B.13. ADMINISTRATIVE/TECHNICAL EXEMPT STAFF - POINT SCORE RANGES

Classification Level Point Scores

2 0-158
3 159-217
4 218 -276
5 277 -335
6 336 -394
7 395 -453
8 454 -512
9 513 -571
10 572 -630
11 631 -689
12 690 +
(Date Issued: September 1991)

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APPENDIX D.2. WHAT IS AIDS

AIDS stands for Acquired Immune Deficiency Syndrome. It is caused by a virus called the Human
Immunodeficiency Virus or HIV. This virus attacks the body's natural defences against illness. Once infected
the person has the virus for life. Some people will remain healthy for years; others will go on to develop AIDS.
In this final stage of the HIV infection, the body's defences are completely destroyed. A person with AIDS is at
risk for serious infections and disabilities.

HIV seropositivity means that a person has tested positive for the antibody to the AIDS virus. This antibody
confirmatory test is highly reliable, and, according to the current level of knowledge, indicates that a person:

 has been exposed to HIV;

 is still infected with HIV;
 is infectious to others (see below).

Transmission

How is HIV spread?

HIV is a fragile virus and cannot survive for more than a few hours outside the human body. It is quickly
inactivated by a number of disinfectants. HIV is transmitted in only three ways:

 through unsafe or risky intimate sexual behaviours that permit an exchange of infected blood, semen or
vaginal secretions;
 through blood, needles or blood contaminated objects and substances;
 from mother to infant.

There is very low risk of getting HIV from a blood transfusion. Canadian blood supplies have been tested for
the virus since November 1985.

How is HIV NOT spread?

The virus is NOT spread through casual everyday contact. In the workplace or classroom this includes shaking
hands, sharing equipment, cutlery, coffee mugs or glasses. Washrooms, saunas, swimming pools and water
fountains can also be shared without risk of HIV infection.

HIV is not spread through the air. This means that coughing, sneezing or sharing telephones will not lead to
HIV infection.

Standard First Aid Procedures when Exposed to Blood

Preliminary first aid should be administered, but as soon as possible thereafter; all blood and body fluids
should be carefully washed off with hot soapy water. If readily available, gloves should be worn.

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Cleaning
To clean surfaces soiled by blood, the surface should be washed with a disinfecting solution (Javex in a
dilution of 1 in 10 is satisfactory). Plastic gloves should be worn and disposable materials such as paper towels
should be used. Mops should be rinsed in disinfectant.

Blood stained clothing, cloths and other cleansing material should be rinsed out in cold water using gloves and
then laundered normally.

Blood stained disposable articles, including gloves, should be placed in a plastic bag, closed with a twist tie
and then placed in the regular garbage.

If these procedures are followed it would be almost impossible to acquire any infectious disease from blood or
other body fluids.

(Date Issued: September 1991)

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