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Checklist to Assure Fairness: Submission of Additional Information

UCSC-APO: 9/08

Also use for response to Preliminary Assessment for Promotion to Professor and for Reconsideration of Senate Faculty Personnel Reviews

ATTACH TO ANY ADDITIONAL MATERIAL TO BE INCLUDED IN REVIEW FILE

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.

Name of the Candidate:

Reason for Addition: (Attach letter of request)
This box has a limit of 3 lines
Description of Additional Material: (e.g., title of new publications, department letter, evidence of factual error, etc.)
This box has a limit of 3 lines

The Candidate's initials and date requirements met:

  Candidate Initials Date  
1. _______ _______ The Candidate was provided the opportunity to inspect all NON-CONFIDENTIAL documents added to the file
2. _______ _______ The Candidate was provided a redacted copy of the confidential documents which are added to the file. Include a copy of the redaction with the original file.
3. _______ _______ 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 material. Response due by__________ (date).
3a. _______ _______ The Candidate declines to submit a written statement. CAPM 410.220.4.i
4. _______. _______ The Candidate's written comment, if any, must be included in the file.

AFTER THE DEPARTMENT RECOMMENDATION OR COMMENT ON ADDED MATERIAL IS DETERMINED:

5. _______ _______ The Candidate has been given a copy of the Department letter.
6. _______ _______ The Candidate was given the opportunity to submit a written comment on the Department response. The Candidate has ten (10) working days from receipt of copy in which to respond. Response due by__________ (date).
6a. _______ _______ The Candidate declines to submit a written statement. CAPM 410.220.4.m
7. _______ _______ 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 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 apo.ucsc.edu (under the Forms and Data Section).

____________________________________ _____________ ____________________________________ ______________
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.