APS – Learn-at-Lunch Fall 2018

1. CERTIFICATIONS 101 APS – Learn-at-Lunch Fall 2018

2. Session Goals • Provide overview of Review File Certifications Process • Know how to administer the process for two Types of Files: • Electronic PDF • Interfolio

3. Assumptions • Academic Reviews #1 & #2 • Some academic review file preparation experience • Basic knowledge of academic personnel policy

4. Policy Review APM vs. PPM – what is the difference?

5. Quick Policy Review APM = Academic Personnel Manual PPM = Policy and Procedure Manual • PPM 230-220 – Appointment & Promotion, Professor Series • APM 210 – Appointment & Promotion, Review and Appraisal Committees • APM 220 – Appointment & Promotion, Professor Series • APM 160 – Academic Personnel Records

6. The Academic Review Process EVC and/or Chancellor Candidate’s Materials Department Recommendation Dean’s e l Recommendation i F Reviewers’ Recommendation Final Approval/ Disapproval You are here Overview 

7. Requirement to respect all rights owed to a person/academic. Know, understand, and follow the policy and established processes. What is a Due Process?

8. Fairness Process – Department Chairs APM 220-80 c. The chair has an obligation to consider the interests of both the candidate and the University, and to see to it that the departmental review is fair to the candidate and rigorous in maintaining University standards.

9. What is a Certification? • Definition • Paper Files – Certifications A, B, C • Interfolio Files – Certifications 1A, 1B, 2

10. Why do we use Certifications? • Protect candidate’s due process rights. • Allow for nearly full transparency • Provide opportunity for response/feedback.

11. ELECTRONIC PDF FILES

12. Step 1 – Before File is Assembled • The chair notifies the candidate of impending review/action. • In one or more conferences, the chair makes certain the candidate: • is adequately informed about the entire review process • is made aware of pertinent policies (APM 160, 210, 220, and other appropriate policies relevant to the review/pertinent to series, ex: APM XXX – relevant series)

13. Department chair also ensures that the candidate is given an opportunity, within reasonable deadlines, to: Step 1 (continued)

14. Candidate Rights • Ask questions. • Supply pertinent information and evidence, including an updated Biography/Bibliography Form, personal statement, evidence of research/creative productivity, teaching effectiveness (if applicable), including course syllabi, reading lists, tests, instructional handouts, service contributions, contributions to diversity, and any other information the candidate wishes to have included in the review file.

15. Candidate Rights (cont’d) • Suggest, where relevant, names of persons to be solicited for letters of evaluation, • Provide in writing to the chair names of persons who, for reasons set forth by the candidate, might not objectively evaluate the candidate's qualifications and performance. Advise the candidate that this statement will be included in the academic review file.

16. Candidate Rights (cont’d) • To make any desired additions to the personnel review file. • Candidates have a right to add anything they wish to the academic review file. 

17. Step 2 – Solicitation of External Referees • In accordance with established policy applicable to the personnel action under consideration, the chair shall solicit letters of evaluation of the candidate from qualified persons, including a reasonable number of persons nominated by the candidate. Include any supporting materials (candidate CV, personal statement, links to articles, etc.)

18. Assemble File • After all external letters (or declinations) are received, the file is assembled pending departmental review.

19. Step 3 – Department Ad Hoc Committee • If the department is using an ad hoc committee, the committee will meet, following instructions in APM 210, review the file, render a recommendation to the department via signed report. The Ad Hoc Committee Report is a confidential document and is redacted prior to sharing with the candidate in accordance with APM 160. • Ad Hoc Committee Report added to the file

20. Before File is Shown to Department Faculty After the file is assembled, including outside letters and ad hoc committee report, if any, but ….. Before Departmental Recommendation is Determined: Three very important Candidate Rights MUST be followed.

21. The Right to Inspect the FIle • The chair shall provide the candidate the opportunity to inspect all documents in the personnel review file other than confidential academic review records (as defined in APM -160-20-b(1)).

22. The Right to Receive Redacted Copies • The chair provides to the candidate, upon request, a redacted copy (as defined in APM - 160-20-c(4)) of the confidential academic review records (external referee letters, Ad Hoc Committee Report) in the file.

23. The Right to Respond • Within seven (7) days of receiving redacted copies, the candidate may submit for inclusion in the Personnel Review File a written statement in response to or commenting upon material in the File.

24. Certification A Certification A should be signed at this point “The candidate's signature on Certification A certifies that these procedures have been followed.”

25. Step 4 – Departmental Review • The candidate's response must be made available to the faculty prior to the meeting at which the departmental recommendation is determined. • The chair makes the complete Review File available for inspection by the voting members of the department before the departmental vote is taken. •  The departmental recommendation is made in accordance with the procedural regulations of the Academic Senate and established governance practices of the department.

26. Step 5 – After Departmental Recommendation • Before or at the time of forwarding the departmental recommendation letter and the Personnel Review File, the candidate is informed of the following: •  The departmental recommendation • Upon request, the chair shall provide to the candidate a copy of the letter setting forth the departmental recommendation. • The right to respond.

27. The Right to Respond • The candidate has the right to make a written comment on the departmental recommendation. If the candidate makes a written comment, it shall, at the option of the candidate, be submitted either to the chair or dean within seven (7) days of the candidate being informed of the departmental recommendation and shall become a part of the Personnel Review File, as the review proceeds.

28. Candidate’s Response to Dept Rec Question: Are departmental faculty entitled to see the candidate’s response to the departmental recommendation letter?

29. Certification B Certification B should be signed at this point “The candidate's signature on Certification B certifies that these procedures have been followed.”

30. Step 6a – Request for Additional Information If, during Academic Senate or administrative review of a departmentalrecommendation, the personnel review file is found to be incomplete orinadequate, additional information shall be solicited via the appropriate office. Such new material shall be added to the personnel review file, and the department shall be invited to comment on the new material.

31. Candidate Rights • The candidate shall be informed by the chair of the new material which has been added to the personnel review file (without disclosing the identities of sources of confidential academic review records), and may be provided access to the new material in accord with APM - 220-80-d.

32. The Right to Respond • The candidate shall be provided the opportunity to make a written statement for inclusion in the personnel review file within seven (7) days of the candidate being informed and provided acces to the new material. This statement shall become a part of the Personnel Review File, as the review proceeds.

33. Certification C Certification C should be signed at this point “The candidate's signature on Certification B certifies that these procedures have been followed.”

34. Step 6b – Preliminary Assessment If the administrator with the final approval authority for the proposed action renders a preliminary assessment that is contrary to the recommendation of the department, the administrator with the final approval authority shall notify the department chair, indicating the reasons and asking for any further information which might support a different decision

35. Candidate Rights • The candidate shall be informed by the chair of the preliminary assessment. The preliminary assessment and any additional new material which has been added to the personnel review file (without disclosing the identities of sources of confidential academic review records), and may be provided access to the new material in accord with APM - 220-80-d.

36. The Right to Respond • The candidate shall be provided the opportunity to make a written statement for inclusion in the personnel review file within seven (7) days of the candidate being informed and provided acces to the new material. This statement shall become a part of the Personnel Review File, as the review proceeds.

37. Certification C Certification C should be signed at this point “The candidate's signature on Certification B certifies that these procedures have been followed.”

38. INTERFOLIOFILES

39. Certifications in Interfolio • Same as APOL; there is an extra certification if there is a departmental ad hoc committee reviewing the file • The system will not tell you when to complete the certification– You must know when to do it! • Can add in a step in the workflow of files as a reminder to you for the certifications • Candidate can login and complete certifications electronically

40. Certification 1-A • Completed after the file is assembled, but before it is sent to Departmental Ad Hoc Committee (if applicable) or before Departmental Recommendation is determined (if no ad hoc) • Documents that should be shared with candidate at this point: • Course load and student direction form • Teaching evals • Redacted copies of external referee letters • Candidate’s personal statement • Biobib • Any other document(s) that the staff included in the file on behalf of candidate

41. Certification 1-B • Only completed if there was a departmental ad hoc committee that reviewed the file and provided a report • Documents that should be shared with candidate at this point: • Redacted departmental ad hoc committee report

42. Certification 2 • Completed after the departmental recommendation has been determined • Documents that should be shared with candidate at this point: • Department recommendation letter

43. Certification 3 • Only completed in cases where additional materials are added to the file after the department review (preliminary assessments, requests for additional information) • Documents that should be shared with candidate at this point: • Prelim: initial Dean letter, CAP letter, EVC or Chancellor letter, department’s response materials if submitting a rebuttal • Addl info: CAP letter, EVC or Chancellor letter, additional materials that have been added to the file

44. Brain Teasers • What if the file is an appointment file? Will certs be needed? • What if the candidate is changing series? • What if the candidate is coming from another UC? • What if you are up against a dean’s office deadline? • What if the dean’s office returns the file to me for corrections? Does the candidate need to re-certify? • What if a candidate does not participate in their review and refuses to sign the certs?

45. Process Mis-Step • What happens if the process is not followed?

46. Course Summary • Policies governing fairness in the UC Academic Review System. • Candidate Rights & Timelines • Step-by-step overview of Certifications Process • Reminder to plan ahead!