Permanent Appointment for Professional State Employees

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 employees' perception of how much importance is being placed on the performance evaluation and perhaps on them. Further, regular and thorough feedback 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

Essentially, the service prior to permanent appointment is a probationary period by which employees shall be assessed for consideration or suitability for permanent appointment.  This consideration becomes increasingly more important the higher the employee's grade.

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.

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 the University 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.

A professional employee must:

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

A professional employee must:

• Hold permanent appointment at the University at Buffalo
• Serve a one-year probationary appointment in a new professional title. During the probationary period, supervisors may:

a. Recommend that the employee be returned to the former title to resume permanent appointment status in such former title; or

b. Recommend that permanent appointment be granted in the new title effective on the day following the end of the probationary appointment

A professional employee must, at the time of such request:

1. Have an appointment in an SL-1 through SL-4 ranked position
2. Have completed three (3) or four (4) consecutive years of full-time service as a professional employee at the University at Buffalo
3. Have been in the professional title in which permanent appointment is requested for the last year
4. Make such 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 position

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 as follows:

Initial Permanent Appointment:
Follow the Recommended Timeline for initial permanent appointment.

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 prior to the end of the first year.

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

1. An up-to-date vitae or resume prepared by the employee
2. An (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
3. A 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 may 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 and likelihood of continuing professional growth

Note: Performance programs and appraisals for the current appointment period, as well as previous appointment periods, must be completed and on file in Human Resources.

The immediate supervisor shall:

1. Verify that performance programs and appraisals have been completed. All performance programs and appraisals should be part of the employee’s Official Personnel File (OPF) located in university Human Resources.
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 an optional statement in support of his or her candidacy.
3. Write a recommendation regarding their support or opposition to the permanent appointment of the employee. According to Article 31.1 (a) of the Agreement between UUP and the State of New York (“The Agreement”), a copy of this recommendation should be given to the employee at the time it is written.
4. Simultaneously, transmit the written recommendation, as well as the resume, employee statement if provided, and any written performance appraisals, to his or her supervisor (the intermediate supervisor) for review.  Should the recommendation of the immediate or subsequent supervisor not support permanent appointment, the employee may indicate his or her intent to present his or her case at that level.
   

The intermediate supervisor(s) shall:

1. Make his or her recommendation and refers their recommendation to the employee to the immediate supervisor, and to the next level intermediate supervisor (if applicable). If this recommendation is written, pursuant to 31.1 (a) of the CBA, a copy must be provided to the employee at the time it is written. This is applicable at every step in the supervisory chain.
2. The highest level intermediate supervisor shall, in addition to (1) above, simultaneously transmit his or her recommendation and the balance of the recommendation package to the Dean, the appropriate Vice President or Provost (as applicable).  Should the recommendation of the intermediate supervisor not support permanent appointment, the employee may indicate his or her intent to the Dean, Vice President or Provost (as applicable) to present his or her case at that level. 

Dean, Vice President, Provost shall:

1. Make his or her recommendation and transmit a copy of their written recommendation to the employee and to all supervisors.
2. Simultaneously, transmit the recommendation and the balance of the recommendation package to the President.
3. If the decision of the Dean, VP or Provost as applicable does not support permanent appointment, it is recommended that Employee Relations be called.

President:

1. The President/Provost’s office, upon receipt of the file will notify the originating Dean’s or VP’s office that they must provide notice to the employee of their 31.6 (b) right to review their evaluative file prior to his or her consideration by the President (please see section 31.6 b of the CBA for more information about this process). This should be coordinated through the person designated in the Dean or VPs office as having responsibility for internal HR matters.
2. After consideration of the application for permanency, the President will notify the employee, all supervisors and the Dean, Vice President or Provost of his or her 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.

Information to the Employee during the Review Process:

At each level of the review process, the employee is to be given a copy of written correspondence related to an appointment recommendation which is being forwarded to the next higher level of review at the time it is written. A recommendation pursuant to this process can be written or verbal (except at the level of the President). 

If the President declines to support the application, he or she will notify the employee of their final day of service and any additional rights.

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.

1. The employee must complete the Request for Consideration Application 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, Dean 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, Dean 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.
4.  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.
5. A negative permanent appointment decision will result in the employee's termination from service after appropriate notice of non-renewal.
6. If the President denies a Request for 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.