Procedures for Consideration of

Permanent Appointment for Professional State Employees

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Permanent appointment can  be offered as positive encouragement to qualified professional employees so that UB will be enriched by their continued contributions and service. Find out how to be considered for permanent appointment.

Philosophy and Criteria For Permanent Appointment

The university is not a static organizational entity, but one which must be flexible, receptive to change and an initiator of change if it is to continue to evolve and pursue its missions successfully. Consequently, consideration for permanent  appointment — the identification of those employees to whom the university entrusts its future — must encompass a thorough examination of the employee's potential to contribute to the future goals and excellence of the department, division and university. Permanent appointment, then, should be offered as positive encouragement to qualified professional employees so that the university will be enriched by their continued contributions and service.

Examination of the employee's potential should be accomplished through a formal evaluation, a process which should begin at  the time of appointment and be ongoing. Since the evaluation is a major opportunity to review a person's performance in a long-range perspective, thorough preparation is absolutely critical. The degree of preparation is important not only to the process, but to employee's perception of how much importance is being placed on the performance evaluation and perhaps on them. Further, regular and thorough preparation promotes communication and understanding between the supervisor and employee, a factor critical to the permanent appointment decision.

The Policies of the Board of Trustees (Article XI, Title C, Section 2) refer to the granting of permanent appointment to those "best qualified". The concept  of "best qualified" goes beyond satisfactory job performance as demonstrated through satisfactory appraisals. It must also include:

  1. Critical assessment of the employee's ability to contribute to the attainment of departmental objectives, adaptability to change, potential for growth, benefits to be derived by the university if permanent appointment is granted
  2. Assessment of the employee's interpersonal skills, creativity, judgment, initiative, decision-making ability, sense of responsibility, technical competence and other relevant considerations

Such considerations become increasingly important the higher the employee's rank.

What follows are the procedures through which consideration of permanent appointment for professional employees will take place at the State University of New York at Buffalo.

Definition

Permanent appointment is defined in the Policies of the Board of Trustees as "...an appointment of a professional employee in a professional title which is eligible for a permanent appointment, which shall continue until a change in such title, resignation, retirement or termination." (Article XI, Title C, Section 1(a)).

The Policies also state that further employment of a professional employee at SUNY at Buffalo, following seven (7) consecutive years of full-time professional service the last two of which have been in that professional title, must be on the basis of permanent appointment and that permanent appointment shall not be effective until made so by the Chancellor.

Additionally, the Policies provide for "early consideration" of permanent appointment after the completion of "three (3) or four  (4)" consecutive years of full-time professional service for employees in SL-1 to SL-4 ranked positions.

Eligibility

Initial Permanent Appointment Requirements

A professional employee must:

  • Have completed seven (7) consecutive years of full-time professional service by the time permanent appointment is made effective
  • Have been in the professional title in which permanent appointment is proposed during the last two (2) years of that appointment

Second and Subsequent Permanent Appointments Requirements

A professional employee must:

  • Hold permanent appointment at SUNY at Buffalo
  • Serve a one-year probationary appointment in a new professional title. During the probationary period, supervisors may recommend one of two options:
    • That the employee be returned to the former title to resume permanent appointment status in such former title
    • That permanent appointment be granted in the new title effective on the day following the end of the probationary appointment

Early Permanent Appointment Requirements

A professional employee must, at the time of this request, meet all these requirements:

  • Have an appointment in an SL-1 through SL-4 ranked position
  • Have completed three (3) or four (4) consecutive years of full-time service as a professional employee at SUNY at Buffalo
  • For the last year, have been in the professional title in which permanent appointment is requested
  • Make this request in writing (i.e., Request for Consideration Application) to the President no later than nine (9) months prior to the notice date for the current appointment

Application Procedure

Timeliness

The consideration for permanent appointment is accomplished through the process of consultation by the employee and his or her immediate supervisor several months before the non-renewal notice date.

Consultation Timing

Request Type Review Timing
Initial Permanent Appointment Review is conducted in the sixth year of full-time service. Decision is due by the end of the sixth year.
Second and Subsequent Permanent Appointment Review is conducted no less than three (3) months prior to the end of the employee's first year in a probationary appointment. The decision is due by the end of the first year.
Early Permanent Appointment

Review, if approved by the president, is conducted in years four (4) or five (5) of consecutive full-time service and no less than nine (9) months prior to the date upon which such employee would otherwise receive notice that a term appointment is not to be renewed upon expiration. Decision is due by the end of the fourth or fifth year, as appropriate.

A positive decision will result in the granting of permanent appointment upon the completion of five (5) or six (6) consecutive years of full-time service.

Human Resources will notify the employee's immediate supervisor of this information and the appropriate schedule for the completion of the several levels of review.

Human Resources will notify the employee's immediate supervisor of this information and the appropriate schedule for the completion of the several levels of review.

Documents

Regardless of the type of permanent appointment sought, the application process requires the following documents:

Item Description
Up-to-date vitae Prepared by the employee
Recommendation from the immediate supervisor Regarding merits of the employee's candidacy for permanent appointment. Signed by the immediate supervisor, such a statement should give the employee's name, official title and university unit, and should comment on any aspects of the employee's past performance and future potential which the supervisor believes bear upon the permanent appointment decision. For example, in his or her statement, the supervisor may wish to discuss such matters as the employee's most significant contribution(s) while in university service, technical and professional competence, skills and strengths, weaknesses, motivation, interpersonal skills, adaptability to change, efforts to achieve, likelihood of continuing professional growth.
Employee Statement (optional) Statement from the employee regarding his or her candidacy for permanent appointment. Signed by the employee, such a statement should give the employee's name, official title and university unit, and should comment upon aspects of his or her performance and potential which the employee believes bear upon the permanent appointment decision. The employee may comment on the same items on which the supervisor comments.
Performance Programs and Appraisals Programs and appraisals for current appointment period, as well as previous appointment periods,  must be complete and on file in the Department of Personnel Services or the recommendation cannot proceed to the intermediate supervisor level.

Responsibilities In the Application Process

Information to the Employee During the Review Process

At each level of the review process, the employee is to be informed in writing of the appointment recommendation which is being forwarded to the next higher level of review. Reasons for the supervisor's recommendation, at any level, will not be available to the candidate or to his or her advocate.

Under certain conditions, as specified in Article 33 of the Agreement, an employee may ask the president to provide reasons for the president's refusal to recommend permanent appointment.

Immediate Supervisor

The immediate supervisor shall:

  1. Verify that performance programs and appraisals are on file in Personnel Services.
  2. Notify the employee of the process including appropriate dates, request a current resume and alert the employee to his or her option of providing a statement in support of his or her candidacy (optional).
  3. Write a recommendation regarding the permanent appointment of the employee including reasons for his or her decision. Also write a separate memorandum to the employee informing him or her of the recommendation, but excluding reasons. This memorandum should be copied to the Manager, State Appointment Processing (102 Crofts Hall, North Campus) for inclusion in the employee's file.
  4. Simultaneously, transmit the written recommendation with reasons, as well as the resume, employee statement, if provided, to his or her supervisor (the intermediate supervisor) for review. Should the recommendation of the immediate supervisor not support permanent appointment, the employee may indicate his or her intent to the intermediate supervisor to present his or her case at that level, personally or through an advocate.

Intermediate Supervisor(s)

The intermediate supervisor(s) shall:

  1. Make his or her recommendation and transmit a copy of the written recommendation (not including reasons) to the employee, to the immediate supervisor, to the next level intermediate supervisor (if applicable) and to the Manager, State Appointment Processing (102 Crofts Hall, North Campus) for inclusion in the employee's file.
  2. The highest level intermediate supervisor shall, in addition to step 1 above, simultaneously transmit his or her recommendation and the balance of the recommendation package to the Provost or the appropriate Vice President. Should the recommendation of the intermediate supervisor not support permanent appointment, the employee may indicate his or her intent to the Provost or appropriate Vice President to present his or her case at that level, personally or through an advocate.

Provost or Vice President

The provost or vice president shall:

  1. Make his or her recommendation and transmit a copy of the written recommendation (not including reasons) to the employee, to all supervisors and to the Manager, State Appointment Processing (102 Crofts Hall, North Campus).
  2. Simultaneously, transmit the recommendation and the balance of the recommendation package to the president.

President

  1. After reviewing the recommendation package and supporting reasons, but prior to making his determination, the president may take one or both of these steps:
    1. Hold a meeting with the employee and/or his or her advocate to discuss the issue
    2. Appoint an ad hoc committee consisting of five (5) professional employees to review the case and provide him with their recommendation
  2. The president will notify the employee, all supervisors and the provost or vice president of his determination in writing. Additionally, if the determination is affirmative, the president will recommend permanent appointment to the chancellor. A copy will also be forwarded to Human Resources (102 Crofts Hall, North Campus).

Right of Advocacy

Should the recommendation of the immediate supervisor or intermediate supervisor (if other than the provost or vice president) not support permanent appointment, the employee, or an advocate of the employee's choosing, shall have the right to present the employee's position to the next higher level (either to the intermediate supervisor or the provost, vice president or to both).

Application For Early Permanent Appointment

As  provided in the Policies of the Board of Trustees, eligible professional employees in SL-1 to SL-4 ranked positions who meet the requirements for Early Permanent Appointment may apply for early consideration for permanent appointment in accordance with the following procedures:

  1. The employee must complete the Early Permanent Appointment — Request for Consideration and submit it directly to the campus president no later than nine (9) months prior to the notice date of the employee's current term or probationary appointment.
  2. The president, upon receipt of the employee's application, will consult with the provost or vice president, who, in turn will ensure the employee's immediate and intermediate supervisors are also consulted.
  3. The president will notify the employee and the provost or vice president of his or her decision to grant or to deny consideration for early permanent appointment within ninety (90) days of receipt of the employee's application. The president's decision may not be appealed.
    1. A positive permanent appointment decision will result in the granting of permanent appointment upon the completion of five (5) or six (6) consecutive years of full-time service, the last two (2) of which have been in that professional title.
    2. A negative permanent appointment decision will result in the employee's termination from service after appropriate notice of non-renewal.
  4. If the president denies early consideration, the employee may apply for early permanent appointment consideration after four (4) consecutive years of full-time service (only if the original  request was denied after three (3) years of service), or the employee may apply in the sixth year for consideration in the usual permanent appointment review cycle.

Contact an Expert

Dana Moore

Manager

State Appointment Processing

Phone: 716-645-8157

Email: dlmoore@buffalo.edu

Angela Kuc

State Appointment Processing

Phone: 716-645-4427

Email: akuc@buffalo.edu

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