Checklist to Assure Fairness: Response to Preliminary Assessment for an Assistant Professor

UCSC-APO: 01/11

For Non-Reappointment or Denial of Tenure


Name of the Candidate:

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 Unit Head are required.

Response to Preliminary Assessment: (identify materials, e.g., candidate responses; department response; documentation such as title of new publication, date of confidential letter, etc.)

  Candidate Initials Date  
1. _______ _______ The Candidate was given the opportunity to respond in writing to the documents provided through preliminary assessment within ten (10) days of receipt. Written response due by____________(date). The Candidate may submit written response to department or directly to the dean.
1a. _______ _______ The Candidate declines to submit a written response.
2. _______ _______ The Candidate was provided the opportunity to inspect all NON-CONFIDENTIAL documents to be included in the file.
3. _______ _______ The Candidate was provided a redacted copy of the confidential documents which are included in the file. Include a copy of the redaction in the original file.
4. _______ _______ The Candidate was given the opportunity to submit a written comment or response to the file material within ten (10) working days from receipt of the material. Response due by __________ (date).
4a. _______ _______ The Candidate declines to submit a written statement.
5. _______ _______ The Candidate's written comment, if any, must be included in the file.


Note: The department has ten (10) days to comment after receipt of the Candidate's response to the preliminary assessment (20 days after the department receives the preliminary assessment materials).
6. _______ _______ The Candidate has been given a copy of the department response.
7. _______ _______ The Candidate was given the opportunity to submit a written comment on the department response. The Candidate has five (5) days from receipt of copy in which to respond. Response due by _________ (date).
7a. _______ _______ The Candidate declines to submit a written statement.
8. _______ _______ The Candidate's written statement, if any, must be included in the file, and may be submitted to the department or directly to the dean. If submitted directly to Dean, it shall remain confidential from the Department.
Note to 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 (under the Forms and Data Section).

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

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.