Human Resources

THE RENEWAL PROCESS

The renewal procedures applicable to positions in the Professional Services Negotiating Unit are covered in  Article XI of the Policies of the Board of Trustees and are described on this page.

• • Temporary Appointments
• • Term Appointments
• • Renewal Procedures for Temp and Term Appointments
• • Part Time Term Appointments
• • Five Year Term Appointments
• • Probationary Appointments
• • Procedures for Probationary Appointments

TEMPORARY APPOINTMENTS 

Pursuant to Article XI, Title F of the Policies of the Board of Trustees, a temporary appointment is one that can be terminated at will by the appointing authority. Temporary appointments are ordinarily given only when service is to be part-time, voluntary, or anticipated to be for one year or less, or when an employee is appointed to a position which has been vacated by an employee on approved leave. The funding source should not be the sole reason for giving an employee a temporary appointment. Although there are no notice requirements for employees regarding renewal of their temporary appointments, as a courtesy, the University generally gives such employees one month's notice. The specific procedures regarding renewal are described below under "Renewal Procedures for Temporary or Term Appointments."

TERM APPOINTMENT 

As defined in Article XI, Title D of the Policies of the Board of Trustees, a term appointment shall be an appointment for a specified period of not more than three years which shall automatically expire at the end of that period, unless terminated earlier because of resignation, retirement or termination.

Renewal of Term

Term appointments may be renewed for successive periods of not more than three years each. The specific procedures regarding renewal are described under "Renewal Procedures."

Notice Requirements

The Policies of the Board of Trustees and the Agreement with UUP provide the following notice requirements in the event a term appointment is not to be renewed upon expiration:

1. Forty-five calendar days prior to the end of a part-time service term appointment;

2. Three months prior to the end of a term expiring at the end of an appointee's first year of uninterrupted service within the University, but not later than March 31 for academic year appointments;

3. Six months prior to the end of a term expiring after the completion of one, but not more than two years of an appointee's uninterrupted service within the University, but not later than December 15 for academic year appointments;

4. Twelve months prior to the expiration of a term after two or more years of uninterrupted service within the University.

RENEWAL PROCEDURES FOR TEMPORARY OR TERM APPOINTMENTS 

As noted previously, both the Policies of the Board of Trustees and the Agreement with UUP require that specific notice be provided to employees on term appointments regarding renewal or non- renewal of their term appointments. Although there are no notice requirements for employees regarding renewal or non-renewal of their temporary appointments, as a courtesy, the University generally gives such employees one month's notice.

The Office of Human Resources Management is responsible for ensuring that the notice requirements of the Policies and the Agreement are met for persons on term appointments and also that the campus notice procedures are satisfied for persons on temporary appointments. At appropriate times throughout the year, reports are generated listing those persons who are due for review of their appointments during the next two to three months. Based upon these reports, either a "Term Appointment Notice" or a "Temporary Appointment Notice" is prepared by OHRM listing the affected employee's supervisor, department, account, name, title, term (or temporary) ending date, renewal notification date and maximum (or minimum) period of renewal. Accompanying the notice is a "Change of Status Request," Form HRM-3 on which the renewal/non-renewal decision is to be recorded.

Procedure for Completion of Form HRM-3:

1. The initiating department should complete all applicable unshaded areas on the form including the department, account number, line number, employee's name and employee ID number and the recommendation regarding renewal or non-renewal. The form should be signed by the department head under "approvals."

2. In arriving at a recommendation, the immediate supervisor should consider the appropriate policies on fiscal, organizational and personnel resource allocations, as they may apply to his/her area of responsibility.

3. Written evaluations and/or recommendations pertaining to reappointment which are prepared by an immediate supervisor, Department Chairperson, Dean, Vice President, or other persons serving in a supervisory capacity in a direct line must be sent to the employee at the time they are prepared to satisfy the requirements of Article 31, Section 31.1 of the UUP Agreement. If there are no narrative materials accompanying the Form HRM-3, this requirement may be satisfied by providing the employee with a copy of the HRM-3. If there are additional narrative materials, the employee should be provided a copy of them with their copy of the HRM-3 at the time the recommendation is sent forward to the next administrative level. Copies of written evaluations and/or recommendations prepared at subsequent administrative levels should also be provided to the employee at the time they are prepared to satisfy the requirements of the UUP Agreement cited previously.

4. Article 31, Section 31.6 of the UUP Agreement requires that where a file of evaluative materials is developed by a committee of academic or professional employees which may exist to evaluate and make recommendations with respect to reappointment of an academic or professional employee, and where such file is submitted to the President for consideration, the employee to whom the file pertains shall have the right to examine the file and file a statement in response to any item contained in the file. If such a file is generated as part of the reappointment process, and the file is sent forward with the recommendation for renewal/non-renewal, the Office of Human Resources Management will afford the employee the opportunity to review the evaluative file prior to submittal to the President. However, statements solicited in connection with an employee's reappointment and any documents which would identify the source of the statements shall not be made available to the employee unless the respondent has provided a waiver of confidentiality as provided in Section 31.2 of Article 31 of the UUP Agreement.  In order to ensure that the necessary review process takes place, the entire file should be forwarded to the Office of Human Resources Management prior to submission to the President. This latter evaluative material is distinct from the evaluation and/or recommendation prepared by a person serving in a supervisory capacity in a direct line as outlined under Item #3 (above) which is subject to the review procedure contained in Section 31.1 of Article 31 of the UUP Agreement.

5. Once all the necessary file reviews have taken place and all the appropriate approvals have been obtained, the Office of Human Resources Management will confirm each final action by letter through the department to the affected employee.

PART TIME SERVICE TERM APPOINTMENT 

Part-time service term appointments are appointments which are granted to persons who have served on a part-time basis for six consecutive semesters. Part-time service term appointments are subject to a non-renewal notice requirement of forty-five calendar days. However, part-time service term appointments do have an "escape clause" permitting the withholding of salary and benefits when classroom enrollment is inadequate.

FIVE YEAR SERVICE TERM APPOINTMENT 

Five-year term appointments are appointments which may be granted only to persons who serve in a professional title listed in Appendix A of Article XI of the Policies of the Board of Trustees. The first three years of a person's initial University employment in a title listed in Appendix A must be in a regular term appointment. Upon completion of a total three years of consecutive service on a regular term appointment basis, further appointment in such title shall be for a five-year term appointment. Five-year term appointments are subject to the same notice requirements as regular term appointments.

PROBATIONARY APPOINTMENT 

Pursuant to Article XI, Title E of the Policies of the Board of Trustees, a probationary appointment is a one-year appointment granted to a professional employee who changes from one professional title to a different professional title. The employee retains all rights to his/her former professional title pending successful completion of the one-year probationary appointment in the new title.

PROCEDURES FOR PROBATIONARY APPOINTMENTS 

As stated previously, a probationary appointment is a one-year appointment granted to a professional employee who changes from one professional title to a different professional title. There are two circumstances which necessitate a probationary appointment. The first circumstance is when an employee's position is reclassified from one professional title to another professional title. In this circumstance, the Office of Human Resources Management will automatically confirm a probationary appointment once the final reclassification action receives all necessary approvals.

The second circumstance requiring a probationary appointment occurs when a professional employee is transferred or promoted from their current professional position to another professional position with a different title. This circumstance generally would be governed by the same procedures as those applying to a new hire and thus would be subject to the requirements stated in the section on "Professional Service Employment Procedures." This would include the requirements to file a recruitment plan, an "Announcement of Professional Vacancy" and whatever other advertising may be appropriate. Once these requirements are completed and the selection procedure has resulted in a current employee being offered the job, the actual appointment is initiated on a Change of Status Request Form (HRM-3). The appointment type on the form should be checked as "probationary." After all the necessary approvals have been obtained, a probationary appointment letter for the affected employee will be prepared and forwarded through the appointing department. The appointment letter will also confirm the employee's probationary leave from their current position during the term of the probationary appointment.

Although there are no specific notice requirements in the Policies or the UUP Agreement relative to the completion of a probationary appointment, our local campus procedure is to notify an employee of the successful/unsuccessful completion of their probationary appointment one month before its completion. The Office of Human Resources Management will send the appropriate notice to the employing department approximately three months before the one-month notice date. Depending upon what the employee's appointment status was prior to accepting the probationary appointment, completion of the probationary appointment may result in the employee receiving a term or, if the employee previously held a permanent appointment, a permanent appointment assuming the title is eligible for permanent appointment. The notice from the Office of Human Resources Management will provide instructions regarding the appropriate appointment options concerning an employee who has successfully completed a probationary appointment. 

THE PERMANENT APPOINTMENT PROCESS

A permanent appointment is defined in Article XI, Title C as "an appointment of a professional employee in a professional title, which shall continue until a change in such title, resignation, retirement, or termination." Employees in titles listed in Appendix A, B, or C of the article are not eligible. The specific eligibility requirements for permanent appointment are described in Section 4 of Title C. Generally, permanent appointment is only available to a professional employee who has completed seven consecutive years of full—time service as a professional employee, the last two years of which have been in the professional title in which permanent appointment is being granted. Further employment of such an employee must be on the basis of permanent appointment.

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
• • Cover Sheet
• • Document Register
• • Resume or Curriculum Vitae
• • Candidate's University Employment History
• • Candidate's Statement of Professional Objectives
• • Oath of Office
• • Confidential Letters of Recommendation
• • Non-Confidential Letters of Recommendation
• • Listing of Publications or Unpublished Materials
• • Other Evidence of Performance, Achievement or Recognition
• • Supervisor's Narrative Evaluation
• • Action by Intermediate Officers
• • Final Activities by the President
• • Procedural Issues Relating to Permanent Appointment
• • Access of File to the Candidate
• • Adding Materials to the File
• • Denial of 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.

At appropriate times throughout the year, reports are generated listing those persons who are due for review for permanent appointment during the upcoming months. Based upon these reports, a permanent appointment notice and a Change of Status Request Form (HRM-3) 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 approximately four 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 period between when the permanent appointment notice is distributed and when it is due in the Office of Human Resources Management is included here.

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:

1. Effectiveness In Performance--as demonstrated, for example, by success in carrying out assigned duties and responsibilities, attitude, efficiency, productivity, and relationship with colleagues.

2. Mastery of Specialization--as demonstrated, for example, by degrees, licenses, honors, awards, and reputation in professional field.

3. 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.

4. 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.

5. 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:

Cover Sheet 

(Form HRM-3): The "Change of Status Request" is the document where the supervisor indicates his/her recommendation to grant or not grant permanent appointment and where all the necessary signatures in the process are recorded. Form HRM-3 should therefore be the first document in the permanent appointment file. An optional cover sheet containing the candidate's name, proposed action, supervisor's name and a brief statement of support may be inserted after the HRM-3 and the document register.

Document Register 

To avoid controversy and contradictions concerning contents of the permanent appointment file, a Document Register must be used. Each document should be recorded on the register as the document is received and placed in the dossier.

1. The Document Register is started at the initial level of consideration.

2. Each subsequent University officer having custody of the file is responsible for maintaining the register on a current basis.

3. Confidential letters of recommendation will be listed on the document register only by a number, date and type of document. For example, #1 Letter of Recommendation dated 7/1/90. Each such confidential document should be numbered in the upper right-hand corner to agree with the number reported on the document register.

Resume or Curriculum Vitae 

The candidate must be given an opportunity to update his/her resume or vitae before being considered at the initial level of review. The completed resume or vita must be dated and signed by the candidate. The exact form and content of the resume or vita may vary; however, categories should be clear and should allow for recording relevant information describing the candidate's effectiveness in performance, mastery of specialization, professional ability, effectiveness in University service and continuing growth. A sample format for the resume or vita is included here.

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.

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.

Oath of Office

The candidate should review the Civil Service Law §62 and Public Officers Law §78, and complete the Oath of Office form DS-1690.

Confidential Letters of Recommendation   

1. 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).

2. Data should include the author's title and employer and his/her professional relationship to the candidate.

3. Sample letter of solicitation.

4. 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 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.

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 here. 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 here. Anonymous statements or letters should not be placed in the file.

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.

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.

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.

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.

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. 

THE CONTINUING APPOINTMENT PROCESS

A continuing appointment is defined in Article XI, Title B of the Policies of the Board of Trustees as "an appointment to a position of academic rank which shall not be affected by changes in such rank and shall continue until resignation, retirement, or termination. "The eligibility requirements for continuing appointment for the various levels of academic rank are described in Section 3 of Title B. 

Procedures for Continuing Appointments

The Office of Human Resources Management is responsible for ensuring that academic employees who are approaching the completion of the service requirements for consideration for continuing appointment are notified in a timely manner to satisfy the requirements of the Policies of the Board of Trustees and the Agreement with UUP.  Eligible employees are generally considered for continuing appointment during the academic year preceding the last year for which they are eligible for a term appointment. The specific eligibility requirements for continuing appointment are contained in Article XI, Title B, Section 3 of the Policies of the Board of Trustees.

Guidelines Concerning Continuing Appointments

The guidelines concerning the consideration of academic employees for continuing appointment and the required format for recommendations for continuing appointment are prepared by the Office of Academic Affairs and published by the Provost's Office: Administrative Procedures for the Preparation of Recommendations for Promotions and Continuing Appointment.

Renewals and Permanent/Continuing Appointment Forms
 

HRM-3 Change of Status Form
Calendar for Completion of Actions
Document Register
Sample Resume/Vitae
NYS Civil Service Law §62
Public Officers Law
Oath of Office
Letter of Agreement - Request for Permanent Appointment
Sample Letter of Solicitation - Confidential
Sample Letter of Solicitation - Non-confidential
Sample Release Statement - Confidential
Sample Release Statement - Non-confidential

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