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Checklist to Assure Fairness

UCSC-APO: 12/03
Name:
 Division:
 Dept/Unit:
Type of Action:
 Review Period:
 Effective Date:

The Candidate's initials indicate that these obligations have been fulfilled in her/his current academic personnel review. Make annotations as necessary. Signatures of both the Candidate and the Unit Head are required.

BEFORE THE PERSONNEL REVIEW FILE IS ASSEMBLED:

  Candidate Initials Date  
1. _______ _______ The Candidate was notified of the impending action, informed about the entire review process, and made aware of APM 210, CAPM 400.220 and CAPM 200.160 and other appropriate policies relevant to this review
2. _______ _______ The Candidate was made aware that past personnel actions may be viewed during the current review process.
3. _______ _______ The Candidate was made aware that copies of publications (evidence of research and creative work) submitted to the department may be forwarded for review by all review agencies with any action.
4. _______ _______ The Candidate was asked to provide the following information as appropriate. Check those items the Candidate actually provided and include in file. Submit to Department no later than first day of fall quarter. (Departments may set an earlier deadline.)
  a. _______ Updated Cumulative Biobibliography
  b. _______ Copies of publications/evidence of research and creative work
  c. _______ Copies of manuscripts in progress which the Candidate wishes to submit for review
  d. _______ The Candidate's Optional Statement
  e. _______ Sabbatical Leave Report (if leave was taken during review period)
  f. _______ Unsolicited material (other information which the Candidate wishes to have included in the review file)
  g. _______ Names of persons (external and internal) suggested by the Candidate to be solicited for letters of evaluation. Include brief comments on the academic standing of each proposed reviewer and relationship, if any, to the Candidate.
  h. _______ Names of persons (external or internal) who, for reasons set forth in writing by the Candidate, might not objectively evaluate the Candidate's qualifications and performance (include in file).

BEFORE THE DEPARTMENT RECOMMENDATION IS DETERMINED:

5. _______ _______ The Candidate was provided the opportunity to inspect all NON-CONFIDENTIAL documents to be included in the file.
6. _______ _______ The Candidate was provided a redacted copy of the confidential documents which are included in the file. Include a copy of the redaction with the original file.
7. _______ _______ The Candidate was given the opportunity to submit a written statement in response to or commenting upon material in the file within ten (10) working days from receipt of the material. Response due by _____________ (date).
7a. _______ _______ The Candidate declines to submit a written statement. APM 220-80d.
8. _______ _______ The Candidate's written statement, if any, must be included in the file.

AFTER THE DEPARTMENT RECOMMENDATION IS DETERMINED:

9. _______ _______ The Candidate was given a copy of the Department letter.
10. _______ _______ The Candidate was given the opportunity to submit a written comment on the Department recommendation. The Candidate has ten (10) working days from receipt of copy in which to respond. Response due by ____________ (date).
10a. _______ _______ The Candidate declines to submit a written statement. APM 220-80e
11. _______ _______ The Candidate's written comment, if any, must be included in the file, and may be submitted to the Department or directly to the Dean. If submitted directly to the Dean, it shall remain confidential from the Department.

Note to the Candidate:
After the final decision is issued, you may request access to the documents in the review file as specified in CAPM 200.160. Please contact your divisional Academic Personnel Coordinator to request access for dean's authority actions. For actions approved by the EVC or Chancellor, submit the Access Request Form to the Academic Personnel Office. The form is located on the Academic Personnel Office web site at apo.ucsc.edu (under the Forms and Data Section).

X____________________________________ _____________ X____________________________________ _____________
Signature of the Candidate Date Signature of the Unit Head Date

RIGHTS OF ALL ACADEMIC APPOINTEES IN THE UNIVERSITY
The Checklists to Assure Fairness have been designed to ensure the following rights are protected:

  1. The right that the University maintain records containing information pertaining to individuals only to the extent necessary and relevant for official University purposes.
  2. The right to privacy with respect to such records maintained by the University.
  3. The right to have access to non-confidential documents in such records, and the right to obtain a redacted copy of confidential academic review records.
  4. The right to request corrections of fact or deletions of errors in such records and to make additions to such records.
  5. The right of individuals to contribute meaningfully to the review process in academic personnel actions affecting them.
  6. The right that final administrative decisions concerning appointment, promotion, merit increase, appraisal, reappointment, non-reappointment, and terminal appointment be based solely upon relevant materials contained in individuals' personnel review files
  7. The right to have safeguards in the academic personnel process, including an effective grievance mechanism, which will provide opportunity for inquiry into alleged procedural improprieties in that process.