Human Resources

Professional Permanent Appointment Procedures

These procedures have been published to assist employees and supervisors in preparing a permanent appointment file and to achieve a higher measure of uniformity, peer review and comparability in the process of considering professional employees for permanent appointment.

Calendar for Completion of Actions
General Criteria and Standards
Preparation of the Permanent Appointment File
Procedural Issues Relating to Permanent Appointment

CALENDAR FOR COMPLETION OF ACTIONS

The Office of Human Resources Management is responsible for ensuring that professional employees who are approaching the completion of the service requirements for consideration for permanent appointment are notified in a timely manner to satisfy the requirements of the Policies of the Board of Trustees and the Agreement with UUP. The notice requirements for permanent appointment will vary according to what type of appointment the employee approaching permanent appointment may have. Those employees on term appointments require the normal one year notice. Employees on probationary or temporary appointments would be due notice appropriate to their appointment type.

Similar to the term renewal notices, permanent appointment notices are generated by information maintained on the computerized Personnel Data System. A "permanent appointment notification date" is maintained for each eligible professional employee based upon the employment history for that person. At appropriate times throughout the year, reports are generated listing those persons who are due for review for permanent appointment during the next six months. Based upon these reports, a permanent appointment notice (see Exhibit A-I) and a "Change of Status Request," Form HRM-3 -- Exhibit A-II, (download this form) are prepared identifying the affected employee's name, title, department and when the employee's current appointment ends. The name of the employee's immediate supervisor and when the employee must be notified of the permanent appointment decision are also included in the notice which is sent to the immediate supervisor six months before the employee is to be notified of the decision to grant or deny permanent appointment. The recommendation either to grant or deny permanent appointment is recorded on Form HRM-3. The recommendation is due in the Office of Human Resources Management two months before the employee is due to be notified. This two-month period is required to allow the President and the appropriate vice president sufficient time to carefully review the request for permanent appointment. A suggested "Calendar for Completion of Actions" for the four-month period between when the permanent appointment notice is distributed and when it is due in the Office of Human Resources Management is included as Exhibit A-III.

GENERAL CRITERIA AND STANDARDS

Before preparing a request for permanent appointment, the employee and the immediate supervisor should have a clear understanding of the general criteria and campus-wide standards applied to each request. Recommendations shall be based primarily upon a careful deliberation concerning the effectiveness of the candidate within each of the five following categories as are appropriate to the duties, responsibilities and objectives of the candidate's position within the University:

Effectiveness In Performance--as demonstrated, for example, by success in carrying out assigned duties and responsibilities, attitude, efficiency, productivity, and relationship with colleagues.
Mastery of Specialization--as demonstrated, for example, by degrees, licenses, honors, awards, and reputation in professional field.
Professional Ability--as demonstrated, for example, by invention or innovation in professional, scientific, administrative, or technical areas; i.e., development or refinement of programs, methods, procedures, computer software or apparatus.
Effectiveness in University Service--as demonstrated, for example, by such things as successful committee work, participation in local campus and University governance, and involvement in campus-related or University—related student or community activities.
Continuing Growth--as demonstrated, for example, by continuing education, participation in professional organizations, enrollment in training programs, research, improved job performance and increased duties and responsibilities.

PREPARATION OF THE PERMANENT APPOINTMENT FILE

Informing the Candidate: It is of primary importance that the candidate be informed of the procedures and criteria for permanent appointment and of the status of the non-confidential material in the file. Accordingly, each candidate should be provided with a copy of this statement. The candidate should also be advised that he/she is in his/her mandatory year for permanent appointment and should be given the opportunity to either request or decline consideration for permanent appointment. A sample letter of agreement is included as Exhibit A-IV. If an employee indicates that he/she does not wish to be considered for permanent appointment, his/her declination is tantamount to a resignation at the end of his/her current appointment.
Organization of the File and Preparation of File Documents: The required uniform arrangement for permanent appointment request files is listed below with an explanation where required. It is the responsibility of the immediate supervisor or the file manager, as selected by the candidate in consultation with the immediate supervisor, to assure that all relevant data and statements are included and presented in an organized and clear fashion in the following order:
1. Cover Sheet
2. Document Register
3. Resume or Curriculum Vitae
4. Candidate's University Employment History
  The immediate supervisor, or designee, will prepare, with assistance from the Office of Human Resources Management, a brief University employment history. The employment history should include such things as the dates of promotions or title changes, discretionary salary increases received and the dates of previously awarded term or permanent appointments.
5. Candidate's Statement of Professional Objectives
  The candidate should provide a statement summarizing the professional objectives with which he/she is concerned as they relate to the evaluative criteria of effectiveness in performance, mastery of specialization, professional ability, effectiveness in University service and continuing growth. A statement of the employing unit's mission may also be included in this section.
6. Confidential Letters of Recommendation
  
  A statement of the method used to select persons providing confidential letters of recommendation (see details to follow).
  
  Data on authors (preferably attached to each letter of recommendation). Data should include the author's title and employer and his/her professional relationship to the candidate.
  
  A sample letter of solicitation (see Exhibit A-VII for a suggested format).
  
  Letters of recommendation.
  
  Solicited letters of recommendation: A solicited letter of recommendation is any letter, memorandum, statement or report of recommendation solicited by an authorized University official from another individual (referred to as an evaluator) in connection with the appointment, renewal of term appointment, promotion, or continuing or permanent appointment of any faculty or professional staff member. Solicited documents are confidential within the provisions of Article 31 (Personnel Files) of the UUP Agreement. Solicited letters are an essential element in the review process. Individuals responsible for soliciting such letters should pay serious attention to the following:
  
  Number of Evaluators: Each file should contain at least four letters from qualified objective reviewers, so as to provide a full and fair basis for judgment.
  
  Selection of Evaluators: After consultation with the candidate, who may suggest names of suitable evaluators, the immediate supervisor or designee will prepare a list of persons from whom confidential evaluations will be solicited. For research staff (Research Assistants, Research Associates and Directors of Research Centers and Institutes), comments about the candidate's research should be obtained from leading researchers in the candidate's research field. For staff from service organizations, comments regarding the candidate's service should be obtained from appropriate clients and/or customers.
  
  Solicitation of Letters: Under Article 31 of the Agreement between the State of New York and the United University Professions, when official solicitations for recommendation are made and included in the personnel file, the response may be made available to the employee according to the respondent's preference. Evaluators must be instructed to include one of the statements shown below, appropriately marked, at the conclusion of their response or a sample release statement (see Exhibit A-VIII) may be included with each solicitation for completion by the evaluator.\
  
  The candidate may/may not read this letter.
  
  Or
  
  The candidate may/may not read the letter if all identification as to its source is deleted.
  
  If the evaluator does not reply to the above, or if the reply is negative, the material will be considered confidential and shall not be available to the employee or his/her representative.
  
  A complete set of solicited letters should be available at the time of the initial level of review. All letters solicited and received must be included in the file with clear notation documenting when they were solicited and received. Solicitation from evaluators should be undertaken at the earliest possible time. Transcripts of telephone conversations with evaluators are not satisfactory substitutes for letters.
  
  Solicited letters should be current and should be solicited for the specific action under consideration.
7. Non-Confidential Letters of Recommendation
  Letters in this category may include the following: (a) unsolicited letters or statements received in the past commenting on the candidate's performance; or (b) letters or statements obtained by persons other than an authorized University official including the candidate. A sample letter of solicitation for the latter is included as Exhibit A-IX. Letters meeting either of these criteria do not have confidential status and are available to the candidate. Before placing such letters in the file, a letter should be sent to persons who have submitted unsolicited letters of recommendation advising the writer that the recommendation is not confidential and will be made available to the candidate as well as administrative officials. The sender should then be given the opportunity to withdraw the letter or affirm his/her intention that the letter not be confidential. A sample release form is included as Exhibit A-X. Anonymous statements or letters should not be placed in the file.
8. Listing of Publications or Unpublished Materials
  
  If the candidate has any publications, appropriate samples should be provided. Other materials such as editorial commentary, speeches, forewords, unpublished reports or monographs should also be referenced with appropriate examples.
9. Other Evidence of Performance, Achievement or Recognition
  
  Artistic exhibitions or performances should be cited in this section as well as any other evidence of achievement or recognition.
10. Supervisor's Narrative Evaluation
  
  After the materials listed above have been assembled, the immediate supervisor should prepare a written recommendation and evaluation of the candidate. The recommendation should include references to the criteria of effectiveness in performance, mastery of specialization, professional ability, effectiveness in University service and continuing growth as they relate to the duties, responsibilities and objectives of the position in which the employee is being considered for permanent appointment. Previous performance programs and evaluations prepared by the immediate supervisor may be included to support the supervisor's recommendation. A copy of any written recommendations prepared by the supervisor should be given to the employee before the recommendation is sent forward. The supervisor should check the appropriate box on the Form HRM-3 indicating his or her recommendation and have the employee sign the form. After the immediate supervisor has also signed the form, the entire permanent appointment file should be forwarded to the next administrative level.
11. Action by Intermediate Officers
  
  Intermediate officers should review the recommendation, make comments if appropriate and forward the recommendation to the next higher level for review and signature. Any written recommendation prepared by a person serving in a supervisory capacity in a direct line is subject to the provisions of Section 31.1 of Article 31 of the UUP Agreement and should be sent to the employee at the time it is prepared. This is especially important when a person serving in a supervisory capacity modifies the recommendation originally recorded on the Form HRM-3.
12. Final Activities by the President
  
  After all intermediate officers, including the Vice President, have signed the Form HRM-3, the entire file should be forwarded to the Office of Human Resources Management for the file review procedure required by Section 31.6 of Article 31 of the UUP Agreement. The file review procedure allows the employee to examine the permanent appointment file, except for confidential letters of recommendation, before the file is forwarded to the President. After this review procedure has taken place, the entire file will be forwarded to the President for final action.

PROCEDURAL ISSUES RELATING TO PERMANENT APPOINTMENT

Access of File to the Candidate

The basic tenet to be observed is that the candidate may have access to the non—confidential material in the file upon proper request. To provide consistency, the following rules and procedures should be followed:
1. Upon specific request to the university officer having temporary custody of the file, the candidate shall be permitted to examine the document register.
2. The candidate may be permitted to examine non-confidential material in the temporary file only by making written application to the appropriate university officer having temporary custody of the file. That officer will secure the material and schedule an appointment for examination of the temporary file as soon as possible, but not later than five (5) working days from the date of the request.
3. The candidate must be informed of the availability of the temporary file and of the procedure for reviewing the contents of the file.
4. The current UUP Agreement states that the candidate shall have access to the file after all recommendations have been prepared for the President's review. As noted previously, the Office of Human Resources Management will make arrangements with the candidate to review the file before it is forwarded to the President for final action.
Adding Materials to the File

The candidate should be allowed to respond to each recommendation during the review process. In addition, the candidate should be allowed to add materials to the file during the course of the process, e.g., additional evidence of effectiveness in performance, mastery of specialization, professional ability, effectiveness in University service and continuing growth.
Denial of Permanent Appointment

Candidates who are denied permanent appointment and who wish to appeal the decision, should contact the Office of Human Resources Management within ten (10) working days of receiving the denial, to be apprised of the provisions of Article 33, Job Security Review Procedures, of the Agreement between the State and UUP. Article 33 provides for a review procedure in those cases where a professional employee receives a positive recommendation for permanent appointment from his/her immediate supervisor but is denied permanent appointment at a subsequent administrative level or received a negative recommendation from his/her immediate supervisor but had always received "satisfactory" annual performance evaluations prior to being considered for permanent appointment. This review procedure requires that the employee be apprised of the reasons for the denial of permanent appointment and that upon request of the employee, the Chancellor, or designee, will appoint a three—member "Chancellor's Advisory Committee" to review the reasons for denial of permanent appointment. Following receipt of the recommendations of the Committee, the Chancellor shall take such action as may, in the Chancellor's judgment, be appropriate and shall notify, in writing, the employee, the Committee and the President.