Supervisory Duties Checklist - UC Santa Barbara
Preliminary information to be gathered for new Academic Researcher Supervisor
For new appointments:
• If you answer “yes” to #1, also answer #2 and fill out the Supervisory Checklist on the following page. Submit both pages with the appointment case.
• If you answer “no” to #1, submit this page only with the appointment case.
For out of Unit Movement:
• Answer numbers 1-3 and fill out the Supervisory Checklist on the following page. Submit both documents to Academic Personnel.
1. Does this individual provide direct supervision of 2 or more employees (e.g. directs work, approves time off, manages performance)?
2. If yes, please provide the following information for the employees this individual supervises:
|Employee Name |Employee Title |Employee Appointment|
| | |% effort |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
3. Describe how the work of the Academic Researcher will be adjusted and indicate how the adjustment is being communicated to the Academic Researcher
Supervisory Duties Checklist
The following checklist is to determine if this position is a supervisor. As a general guide, at least half of the answers must be ‘yes’ in order for the incumbent to qualify as a supervisor. The supervisor either carries out specific actions on their own, or they make recommendations to senior management. The supervisor must regularly and consistently supervise two or more employees to be classified as a supervisor.
Name:____________________ Payroll Title:__________________ _____
Specific Supervisory Responsibilities are found below. Please indicate by checking yes or no as to which of these responsibilities are appropriate to this employee’s position.
|Responsibilities |YES |NO |
|Does the incumbent have full authority to carry out all aspects of hiring (e.g., interviewing, selection) for two or more | | |
|employees? | | |
|-OR- Does the incumbent make recommendations to senior management on the selection of the individuals to be hired into his or her | | |
|work unit? | | |
|Does the incumbent have full authority to carry out all aspects of performance evaluation for two or more employees? This would | | |
|include advising his or her subordinates as to the level of performance and conduct expected of them and to counsel his or her | | |
|subordinates about performance and conduct problems as necessary in his or her judgment. The incumbent may evaluate employees | | |
|more frequently in the exercise of his or her own judgment. The supervisor writes, signs, and delivers or communicates the | | |
|performance evaluation to the evaluated employee without prior approval. | | |
|-OR- Does the incumbent communicate the performance evaluation of his or her subordinates to senior management? | | |
|Does the incumbent have full authority to carry out all aspects of work assignments for two or more employees? This would include| | |
|establishment of work assignments by the incumbent for his or her subordinates according to his or her own judgment. | | |
|-OR- Are the recommendations of the incumbent routinely followed in establishing the work assignments of his or her subordinates? | | |
|Does the incumbent have full authority to carry out all aspects of discipline and discharge for two or more employees? This would| | |
|include investigation and a final determination that corrective action be taken involving one of his or her subordinates based on | | |
|that investigation. | | |
|-OR- Does the incumbent investigate and recommend to senior management that a subordinate be disciplined or discharged based on | | |
|that investigation? | | |
|Does the incumbent have full authority to carry out all aspects of merit, upward reclassification or promotion for two or more | | |
|employees? This would include determining which of his or her subordinates are to be awarded merit, upward reclassification or | | |
|promotion salary increases. | | |
|-OR- Does the incumbent make recommendations to senior management regarding his or her subordinates’ merit, upward | | |
|reclassification or promotion? | | |
|Does the incumbent have full authority to carry out all aspects of complaint and grievance process for two or more employees? | | |
|This would involve taking action in response to the complaints and/or to resolve the grievances of his or her subordinates | | |
|according to his or her own judgment. The supervisor would also formulate or participate in formulating management positions for | | |
|processing and/or resolving grievances. | | |
|-OR- Are the recommendations by the incumbent routinely followed in taking action in response to the complaints and/or to resolve | | |
|the grievances of his or her subordinates according to his or her own judgment? Does the incumbent present data important to the | | |
|formulation of management positions in collective bargaining to those individuals responsible for formulating such positions? | | |
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