Volume 26, No. 9 Editor: Mark Langer December, 1995 On December 20, 1995 CUASA signed several memoranda of agreement with management revising or adding to the current Collective Agreement. These memoranda affect sections in the Collective Agreement dealing with non-credit language teaching (Articles 13 and 37), achievement awards (Article 42), and technology transfer, patents and copyright (Article 14). Members are advised to retain the changes printed in this number of the CUASA Communiqui along with their copy of the Collective Agreement for future reference. ARTICLE 13.4: NON-CREDIT LANGUAGE TEACHERS (AMENDED) (i) Non-Credit Language Teachers teaching English as a Second Language in a classroom program of fifteen contact hours per week or more shall be included in the bargaining unit if they are so employed for one hundred and eight (108) hours in any of the three terms. (vii) If a Non-Credit Language Teacher has worked for a period sufficient for inclusion in the bargaining unit and subsequently does not work for a period of one academic term or less, s/he shall, subject to satisfactory performance , have a right of recall if there is sufficient need during the next academic term. ARTICLE 14: TECHNOLOGY TRANSFER, PATENTS AND COPYRIGHT 14.1 General (a) Protection of intellectual property includes, but is not limited to, matters of patent, copyright, trade mark, and industrial design. (b) Inventors, authors and other creators (hereinafter referred to as originators) have sole ownership over their intellectual property except where the employer has contributed any assistance in the creation or development of the intellectual property, whether by way of funds, facilities and/or support or technical personnel employed by the employer beyond that which is normally provided to originators to carry out their usual duties. Originators so supported have a duty to disclose intellectual property developed to the employer. Unless specifically directed otherwise, each originator shall make such disclosure to the Dean of Graduate Studies. (c) Nothing contained in this Article derogates from an employee's right to assign ownership of intellectual property to the employer. (d) An employee who assigns or agrees to assign ownership of intellectual property to the employer shall execute all such documents as may be required in order to register or record such intellectual property and its assignment. 14.2 Technology Transfer (a) Technology transfer represents the movements of concepts, processes and products generated and developed at Carleton University to external communities including industry, government an society at large. This transfer of technology is undertaken in a variety of ways including, but not limited to, publication of research results and concepts, consulting arrangements, conduct of seminars and conferences and various types of research arrangements. (b) The parties recognize that Carleton University supports technology transfer in all its dimensions and the commercialization of the concepts, processes and products emerging from the research at the University. (c) Assistance for technology transfer and commercialization is available through the Graduate Studies and Research Office of Carleton University and through Carleton University Development Corporation. (d) Assistance for technology transfer may take a variety of forms such as the following: technical evaluation, market evaluation, prototype development, industrial contacts and leads, business planning, new product planning, market research, financial planning, licensing arrangements , and protection of intellectual property. 14.2 (e) Ownership Where the employer contributes any assistance beyond that normally provided as outlined in Article 14.1 (b) the originator(s) and the employer shall reach a mutually agreeable arrangement respecting ownership which shall be reduced to writing. (f) Exploitation (i) Exploitation of intellectual property through technology transfer may be undertaken by the owner singly or in combination with another party. (ii) The parties exploiting the property shall reach a mutually agreeable arrangement including ownership and revenue sharing which shall be reduced to writing. (iii) In the event that the employee reaches an agreement to use the offices of the University or the Carleton University Development Corporation, disputes shall be handled in accordance with Article 14.7. Individuals using the offices of external agencies should include a dispute resolution mechanism in their written agreements. (g) Article 14.2 shall not apply to intellectual property resulting from work financed by a grant or contract where the granting or contracting body, as a condition of the grant or contract, requires that any technology rights be assigned to it. 14.3 Patents (a) Patent assistance is available through the Graduate Studies and Research Office of Carleton University and through Carleton University Development Corporation. (b) Ownership Where the employer contributes any assistance beyond that normally provided as outlined in Article 14.1 (b), the originator(s) and the employer shall each hold 50% of any right, title and interest to any invention, combination with other agencies. (c) Exploitation (i) Exploitation of intellectual property may take the form of patenting by the originator singly or in combination with other agencies. (ii) The parties patenting the property shall reach a mutually agreeable arrangement including ownership and revenue sharing which shall be reduced to writing. (iii) In the event that the employee reaches an agreement to use the offices of the University or the Carleton University Development Corporation, disputes shall be handled in accordance with Article 14.5. Individuals using the offices of external agencies should include a dispute resolution mechanism in their written agreements. (d) Article 14.3 shall not apply to any invention, improvement, design or development resulting from work financed by a grant or contract where the granting or contracting body, as a condition of the grant or contract, requires that any patent rights be assigned to it. 14.4 Copyright (a) Non Sponsored Research and Sponsored Research under which the Employee Retains Copyright Notwithstanding the provisions of Article 14.1(b), the employee retains all rights related to literary work created by that employee which includes, but is not limited to, lectures (whether televised or not), copyright in computer program software, industrial design and artistic work (hereinafter called copyrighted property), except that where such work is covered by a signed agreement between the employer and the employee predating this Collective Agreement the prior agreement shall govern. (b) Employer Facilitated Research Where the employer has contributed any assistance in the creation or development of the intellectual property, where by way of funds, facilities and/or support or technical personnel employed by the employer beyond that which is normally provided to originators to carry out their normal duties, the originator(s) and employer shall come to a written agreement on the sharing of royalties from the commercialization of copyrighted property. (c) Sponsored/Contracted Research with Copyright Ownership Provisions (i) Article 14.4(a) does not apply to any copyright resulting from work financed by a grant or contract where the granting or contracting body, as a condition of the grant or contract, requires that any copyrights be assigned to it. (ii) Any employee who is employed by the employer or an agent of the employer to edit a journal or magazine shall not own any copyright therein save and except for articles, reviews or literary pieces written by him/her. (iii) Where the employer specifically commissions the preparation of a particular work relating to the operations of functions of the University, the employer may enter into a contract with a member the terms of which give the employer sole or part ownership in the copyright of any such work. The employer shall provide the Association with a copy of any such contract one (1) week prior to its execution. (d) General Provisions (i) The employer shall retain a non-exclusive, royalty-free, irrevocable, indivisible and non-transferable right to the use, solely for the employer's internal use, of any audio-visual recorded instructional materials, including related printed materials which are prepared or developed by an employee in the course of his/her University employment and which are produced with the assistance of direct University funding or with the use of University production facilities free of charge or at rates substantially lower than those of the local commercial establishments provided the employee signs a written agreement to that effect. Audio-visual recorded materials shall include films, filmstrips, film loops, tape/slide programs, series of overhead transparencies, videotape or television programs, audiotapes, audio or video cassettes, together with any secondary print materials which form an integral part of the production. Where no agreement has been entered into and the employer wishes to use the material for internal use, then the matter shall be referred to the Technology Transfer, Patents and Copyright Committee under Article 14.7. 14.4 (d) (ii) The employer shall retain a non-exclusive, royalty-free, irrevocable, indivisible and non-transferable right to the use, solely for the employer's internal use, of any computer program developed in the course of the normal administrative duties of the member of any program developed in relation to the storage and use of university data and records or any program developed for use in the degree programs of the University. (iii) No employee shall claim any copyright in any assessment, grading, report or correspondence produced pursuant to his/her normal administrative duties with the University. (e) Exploitation of Copyright (i) The owner of the copyright has the right to exploit the copyrighted property. (ii) Such exploitation may be undertaken by the copyright holder singly or in combination with other agencies. The copyright holder retains the right to assign or license copyright in whole or in part to any agency assisting in the exploitation of the copyrighted property. (iii) The parties to the exploitation of a copyrighted property shall reach a mutually agreeable arrangement including financial terms which shall be reduced to writing. (iv) In the event that the employee reaches an agreement to use the offices of the University or the Carleton University Development Corporation, disputes shall be handled in accordance with Article 14.7. Individuals using the offices of external agencies should include a dispute resolution mechanism in their written agreements. 14.5 Trade-marks Any trade-mark adopted or used in association with wares or services which are or may be subject to the provisions of Article 14 shall be owned by the persons who, pursuant to this Article, are the owners of the patent, copyright or other intellectual property in question. 14.6 Dispute Resolution Mechanism (a) The parties agree to request the Senate to establish a Technology Transfer, Patents and Copyright Committee. Should Senate fail to establish such a Committee within two (2) months of the signing of this Collective Agreement the parties agree to create a continuing Technology Transfer, Patents and Copyright Committee, which shall be composed of two (2) members appointed by the employer and two (2) members appointed by the Association with the chairpersonship alternating between the employer's representatives and the Association's representatives at each successive meeting. The Committee shall meet at least twice annually or at the call of any two (2) members to: (i) conduct such business as is refereed to it; (ii) consider proposals for modifications or changes in the patents and copyright Articles of this Collective Agreement; and, (iii) mediate any disputes arising out of this Article as per 14.5(b) below. (b) For purposes of this Collective Agreement, the complaint stage of a grievance pertaining to patents and copyright shall be referred to the Technology Transfer, Patents and Copyright Committee. If the Committee is unable to resolve the dispute, the remaining formal grievance and arbitration procedures provided for in Article 30 of this Collective Agreement shall apply. 14.7 Intellectual Property General Provisions (a) Passing of Rights On the death of an employee or former employee any rights which he/she had derived under this Article or any agreement made in pursuance of this Article shall pass to his/her estate. (b) Subcontracting by Employer The employer agrees not to enter into any agreement to subcontract the services of any employee without securing to the employee whose services are subcontracted, all the rights, privileges and benefits accorded him/her in this Article, nor shall universities or government department or private companies, for the purposes of research or development or commercial exploitation or the creating of intellectual property without securing to the employees who may be seconded to or employed by such consortia, departments, or private companies all the rights, privileges and benefits accorded by this Article. If the employer makes an agreement contrary to this provision and fails to secure the said rights, privileges and benefits to said employees, the agreement shall not apply to employees unless there is a special agreement in writing between the employer and the Association upon the recommendation of the Technology Transfer, Patents and Copyright Committee (Article 14.7), to waive this provision in that case. 14.8 Interpretation In this Article the singular shall include the plural and the plural the singular where appropriate. ARTICLE 37.10: Non-Credit Language Teaching in CALS (a) Eligibility Subject to satisfactory performance, availability of funds and a continuing need, a non-Credit Language Teacher in CALS (as defined in Article 13.4) who teaches nine (9) hours per week or more for at least ninety (90) weeks during any consecutive five (5) year period shall be eligible for automatic appointment to a special twelve-month term position in accordance with the special provisions outlined in this article normally commencing in September or January as applicable. (b) Terms and Conditions of Appointment (i) Once the eligibility requirements in (a) above have been met the individual shall be offered a twelve-month term position which shall be automatically renewable subject only to satisfactory performance, the availability of funds and a continuing need. (ii) .Such appointment shall commence no later than in the fall term immediately following the term in which the employee becomes eligible in accordance with this Article. (iii) Non-Credit Language Teachers covered by 37.10 shall be listed by seniority on the basis of the first hired to a 37.10 position being the most senior teacher. The seniority listing will be provided annually in writing to each Non-Credit Language Teacher. The format of the list shall be mutually agreed by the parties. (iv) In cases where funds are unavailable and/or there is no continuing need, Non-Credit Language Teachers who have taught nine (9) hours per week or more for at least ninety (90) weeks during any consecutive five (5) years and who are thereby eligible for appointment shall be listed by seniority of attaining the service eligibility and any future available appointments shall be offered to each person on the list starting with the most senior. The seniority listing will be provided annually in writing to each Non-Credit Language Teacher. In order to maintain their seniority, Non-Credit Language Teachers must continue to have the requisite amount of service but over the immediately preceding five (5) year period. Non-Credit Language Teachers who would not qualify to be maintained on the seniority list due to insufficient work shall, nevertheless, continue on the seniority list for a period of one (1) year. The format of the list shall be mutually agreed by the parties. (v) Each appointee shall necessarily be offered a full-time workload in the non-credit teaching program of CALS of a maximum of five hundred and forty hours (540) normally distributed as fifteen (15) contact hours per week over thirty-six (36) weeks, except as provided for in (vi) below. (b) (vi) In instances where there are insufficient funds and/or need for an additional full-time Non-Credit Language Teacher but sufficient funds and need for a Non-Credit Language Teacher working nine (9) or more hours per week, then an appointment shall be offered in accordance with the provisions of (v) above based on a reduced workload until such time as a full workload is available at which time the appointment shall be altered to full- time subject to agreement of the employee. (c) Workload (i) Workload assignments shall be based on thorough consultation with the Non-Credit Language Teachers sufficiently in advance of scheduled instruction to permit the Non-Credit Language Teachers adequate time to prepare and shall normally be accomplished by mutual agreement between the employer and the employee. In cases of disagreement, the mater shall be decided by the appropriate dean. (ii) Subject to mutual agreement, appointees may undertake teaching in the credit program as part of the workload identified in (i) above but such workload shall be consistent with the limits on sessional teaching contained in Article 2.5. (iii) Testing work, administrative duties, special contracts or material development beyond courses contracted for shall be considered work falling outside the scope of this article. Non-Credit Language Teachers may carry out such duties for remuneration beyond that specified in this collective agreement subject to mutual agreement between the employer and the employee. (iv) Each appointee has the right to a full-time workload but may at their request teach a workload less than full-time which shall not be less than nine (9) hours per week and any such reduced work-load shall not affect seniority or their right to revert to a full-time workload. (d) General Terms and Conditions (i) Such appointees shall not be eligible for tenure or confirmation and there shall be no limit to the number of successive appointments a person could receive. (ii) Such appointees shall be eligible for up to one (1) year's unpaid leave of absence. Such leaves shall not affect seniority entitlements which have been accumulated, nor shall seniority entitlements be accrued during such leaves of absence without pay. (iii) There shall be no provision for sabbaticals; however, upon appointment to instructor or faculty rank, the provisions of Article 21.1(d) shall apply. (iv) A Non-Credit Language Teacher may transfer to Instructor rank when: (1) a suitable vacancy exists and there are no other suitable term appointees; and, (2) where the position has been advertised, his/her qualification are demonstrably comparable to the best external applicant who meets the requirements of the position. (v) Article 26 shall apply to this category of employees and the JCAA shall appoint a sub-committee te design an evaluation form. (vi) The provisions of Article 15.3(b (i)-(viii), (xi) and 15.3 (c) shall apply to this category of employees. (d) (vii) The employer shall prepare and sign contracts with Non-Credit Language Teachers specifying any information pertaining to the duties and remuneration of this type of employee. Such contracts shall be consistent with this Article and shall express the remuneration in annual terms. (viii) In the event that lack of funds and/or continuing need means that their is insufficient work for 27.10 Non-Credit Language Teachers part-time employment shall be offered subject to mutual consent between the employer and the employee. Thereafter, the available work shall be assigned on the basis of seniority. (ix) In the event of lack of funds and/or continuing need, Non-Credit Language Teachers shall be laid off in reverse order of seniority and those laid-off shall have preference for teaching as hourly Non-Credit Language Teachers. Those laid-off shall have a one (1) year right of recall. (x) Salary shall be in accordance with Article 45.4(b) and shall be pro-rated for workloads of less than full-time (full-time shall normally mean five hundred and forty (540) contact hours per year). (e) The employer agrees to provide the Association with an annual report of all funds generated in the ESL program and expenditures against these funds. ARTICLE 42: ACHIEVEMENT AWARDS 42.1 The parties recognize that the outstanding scholarly contribution made by some employees require special recognition. To give tangible recognition, the employer agrees to establish an Achievement Award fund. 42.2 Research Achievement Awards (a) There shall be ten (10) Research Achievement Awards per year, each valued at $10,000.00. The awards are intended to enhance the research productivity of the recipients at Carleton University. They are available to faculty employees only. (b) The awards may, at the option of the recipient, take the form of teaching release time, equipment, research assistants, or any other research expense that would be considered appropriate by a government granting council. In the event that the release time option is chosen by the recipient, the following equivalent shall be used, solely in the context of this article and for no other purpose whatsoever, to compute the release entitlement. (i) a full release from teaching, excluding graduate supervision, for one (1) academic year shall be considered equivalent to the entire value of an Award; (ii) a reduction of teaching, load by one-half (1/2) for one (1) academic year, or full release from one (1) term of the Fall/.Winter session shall be considered to be the equivalent of one-half (1/2) of the value of the Award; and, (iii) the equivalent listed under (i) and (ii) above shall be the only release time options available to recipients. (c) No quota system of any kind shall be applied in the determination of award recipients. (d) Candidates can either be nominated by a colleague or apply directly for an award. Nominations should be submitted to the appropriate faculty dean no later than September 30. The dean will ascertain whether nominees wish to be considered as candidates and if so, request them to follow the procedure prescribed below. All candidates for the award shall, no later than October 31, submit a curriculum vitae and an application to their faculty dean using a standardized form that addresses the following questions: 42.2 (d) (i) research conducted over the last five (5) years; (ii) research proposed for the term of the Award; (iii) publications, grants and contracts held over the past five (5) years; (iv) how the award will contribute to the employee's research program; and, (v) any other information the candidate wishes to provide to his/her dean(s) (e) Each dean shall, by November 15, convene a meeting of the Faculty Tenure and Promotion Committee. to consider the candidates submitted from that faculty. This Committee will select a "short list" of the most meritorious candidates based on an assessment of research completed to date. This list shall not exceed ten (10) in number. Where the total number of candidates is less than ten (10), the Committee shall include all candidates on the list. The short listed applications will be rank-ordered and submitted to the University Committee without comments. The University Committee shall select the final ten (10) recipients and shall report its decision to the President by December 21. Also, it will identify an ordered reversion list to be used in the event that a successful applicant waives his/her award. (f) The University Committee shall be chaired by the Director of Research (currently the Associate Dean (Research) of the Faculty of Graduate Studies and Research), who shall vote only in the event o f a tie. The remaining, members will consist of one (1) faculty member who has earned distinction as a scholar but is not a candidate for the award, from each of the Faculties of Arts, Engineering, Science and Social Sciences. These member will be selected by the President who shall, whenever feasible, use previous winners of the award as the principal source of potential members of the Committee. (g) The deans will be an information. resource for the Committee but will not participate in any other way in its deliberations. (h) Receipt of an award will occur on the May 1 following the date of application but may be deferred by the recipient for reasonable cause up to one (1) year. (j) Award recipients will be eligible to apply for further awards in the Fall term of the fourth year following, the year in which the previous award was received. 42.2 (k) It shall be responsibility of each faculty dean to ensure, on an annual basis and in a timely fashion, that his/her faculty members are aware of the applications procedures and deadline. 42.3 Teaching Achievement Awards (a) There shall be four (4) Teaching Achievement Awards per year, each valued at $10,000.00. The awards are intended to enhance the teaching of their recipients and the quality of instruction at Carleton University. (b) The awards may, at the option of the recipient, take the form of appropriate expenses towards a teaching development project related to a course or courses being taught by the recipient, or teaching release time for a project designed to enhance current or future teaching at Carleton. For the purposes of release time arrangements, the provisions of Article 42.2(b) shall apply. (c) No quota system of any kind shall be applied in t he determination of award recipients. (d) Candidates can either be nominated by a colleague or apply directly for an award. Nominations should be submitted to the appropriate faculty dean no later than September 30. The dean will ascertain whether nominees wish to be considered as candidates and if so, request them to follow the procedure prescribed below. All candidates for the award shall, no later than October 31, submit a brief statement of reasons, a description of the teaching development project, the results of peer and student evaluations, evidence of past teaching innovations, and any other supporting documentation the candidate wishes to provide. (e) The provisions of Article 42.2(e) to (j) shall apply to Teaching Achievement Awards, mutatis mutandis. The University Committee shall be chaired by the Vice-President (Academic) or his/her designate. 42.4 Professional Achievement Awards (Professional Librarians and Instructors) (a) There shall be six (6) Professional Achievement Awards per year, each valued at $1,000.00. Three (3) awards shall be provided for professional librarians and three (3) awards shall be provided for instructor employees. (b) The procedures to be used to arrive at the names of the three (3) professional librarian recipients s hall be as follows: 42.4 (b) (i) recommendations shall be made by the Peer Evaluation Committee to the Library Rank Promotions Committee and the Library Rank Promotions Committee's decision shall be final and binding; (ii) where the University Librarian is not satisfied that the Peer Evaluation Committee's list contains the names of all those employees s/he believes worthy of consideration by the Library Rank Promotions Committee, s/he may present additional names to the Library Rank Promotions Committee for consideration, hearing first asked the Peer Evaluation Committee to submit a written assessment of the employees thus presented to the Library Rank Promotions Committee. (c) The procedures to be used to arrive at the names of the three (3) instructor employee recipients shall be as follows: (i) the committee for determining recipients shall consist of two (2) persons appointed by CUASA and two (2) persons appointed by the employer. (ii) the basis shall be outstanding performance by an instructor employee in meeting the responsibilities as defined in the collective agreement, and in the individual job descriptions referred to by the collective agreement; and, (iii) the selection committee shall solicit nominations from the chairpersons/directors of units with instructor employees to be submitted by June 15 to the Office of the Vice-President (Academic). 42.5 The allocation of unexpected monies in the fund set out in Article 42.1 shall be determined by JCAA.