SUNY University-Wide Human Resources Manual
Appointment

last updated: Friday, October 28, 2005

Appointment is the process of creating a formal employer-employee relationship between an individual and a SUNY campus. Paid appointments, except for contractors/consultants paid on vouchers through purchasing procedures, must be to an officially budgeted title currently listed in the SUNY University Title File (see Classification in this manual for more detail if necessary). For compensated employees "appointment" also includes the creation of a payroll record for the appointees and their enrollment in appropriate mandatory or voluntary benefit programs as well as the initiation of appropriate payroll deductions/reductions. For appointees not scheduled to receive compensation (volunteers), the official appointment ensures that such appointees are extended the protections of Indemnification and Workers' Compensation benefits. SUNY campuses have authority to develop their own internal procedures for handling of appointments as long as they are in accordance with State and SUNY policies and procedures. The information on this page is intended to guide campus personnel as well as to provide general information about the categories of State appointments available in SUNY and information about some special concerns and responsibilities relating to appointments. Additional supporting information describing the categories of employees, as opposed to the categories of appointments, can be found under SUNY's Employers and Employees in the table of contents of this manual.

Considerations Responsibilities Appointment Types
Non-Citizens Appointee Administrative
Prior Service
  • Application
    		•  Contingent Permanent
  • Academic
    		•
  • I-9 Form
    		•  Continuing
  • Classified
    		•
  • Dual Appointment
    		•  Permanent
  • Professional
    		•
  • Oath of Office
    		•
  • Classified*
    		•
    Non-Renewal of Term
  • Withholding Statements
    		•
  • Professional Employee
    		•
    Nepotism
  • Resume/Vitae
    		•  Probationary  
    Retirees
  • Transcript(s)
    		•  Provisional
    State Employees Employer Temporary
     
  • Appointment Letter
    		•  Term
       
    *All appointees to permanent appointments in the classified service must serve a probationary period.

    Important Considerations

    Appointee Responsibilities

    I-9 (Proof of right to employment - Immigration and Naturalization Law)
    This form is required of all appointees within three days of the effective date of their appointments to verify their identify and U.S. citizenship, or if they are aliens, their identity and their eligibility for employment in accordance with the Immigration and Naturalization Act of 1986. Failure to provide documentation that satisfies the requirements of this act within three days will result in the termination of employment until the satisfactory documentation and completed form are provided. Generally, SUNY campuses do not place appointees on the payroll until the I-9 form, with appropriate documentation (usually driver's license with photograph and social security card), has been provided.
    (See: Handbook for Employers-Immigration under references, and I-9 Form under forms at the end of this section.)

    "Frequently Asked Question About Employment Eligibility
    Do citizens and nationals of the U. S. need to prove, to their employers, they are eligible to work?
    Yes. While citizens and nationals of the U.S. are automatically eligible for employment, they too must present proof of employment eligibility and identity and complete an Employment Eligibility Verification form (Form I-9). Citizens of the U.S. include persons born in Puerto Rico, Guam, the U.S. Virgin Islands, and the Northern Mariana Islands. Nationals of the U.S. include persons born in American Samoa, including Swains Island."

    Dual or Extra Service Appointment Approval
    Selected appointees already appointed to other State payrolls, including other SUNY units, must secure the approval of the other State employer(s) on the appropriate dual appointment or extra service approval form before their appointment may be effected.

    Classified service employees always use the Dual Appointment Form (AC1588) to obtain approval to work for another payroll agency even if the work is for another SUNY campus.

    SUNY professional staff -- academic, professional, and managerial employees -- must use the Dual Appointment Form for employment with other non-SUNY agencies. However, if the other employment is with another SUNY campus, including the SUNY Research Foundation,
    (1) employees in the SUNY professional services bargaining unit must seek approval on the UP-8 form, and
    (2) managerial employees must seek approval on the UP-6 form.

    Within State and SUNY guidelines, approval processes, including the development of forms, for employees appointed to extra service at their home campus are the responsibility of individual campuses.

    Responsibility for approving dual appointment or extra service compensation has been delegated to the campus chief administrative officers or their designees.
    (See Dual Appointment Form, Extra Service Approval Form-UUP and Extra Service Approval Form-M/C under forms at the end of this section. Also see Dual Appointment and Extra Service under the Orientation section of this manual.)

    Oath of Office (Code of Ethics - Public Officers Law)
    In accordance with the New York State Public Employment Law, appointees must complete required oath(s) of office before their employment is finalized. The Oath of Office is provided to appointees by the campus Human Resources Department. Oaths completed by classified service appointees are placed in the appointee's official personal history file. For SUNY professional staff (academic, professional, and managerial employees), a copy of the oath of office must be filed in the appointee's official personnel file and the original must be sent to the New York State Department of State.

    Withholding Statements Forms
    Appointees must complete federal Form W-4 (Federal Tax Withholding) and form IT-2104 (NYS Employee's Withholding Allowance Certificate) before they can be added to the payroll. Forms are available in the campus's payroll office or from the Internet. (See Federal Withholding Form W-4 and State Withholding Form IT-2104 in the list of forms at the end of this section for the Internet links for these forms.) Exceptions may be made for alien employees who do not yet have social security numbers upon presentation of documentation that they have submitted an application for their numbers.

    Resumes and Official Transcripts (required for professional staff appointments)
    Professional Staff appointees usually must provide a resume or curriculum vitae and official copies of their transcripts before their appointments can be finalized. Specific requirements will be stated in vacancy announcements for professional staff positions and these requirements must be adhered to before an appointment can be finalized.

    Applications (required for classified service appointments)
    Classified service appointees must complete the campus's application form that becomes the initial document placed in their "Official Personnel File" if they are hired.

    Employee's Copy of Appointment Letter
    All appointees should maintain their copy of their appointment letter for reference at a later time if needed.


    Employer Responsibilities (SUNY campus)

    Appointment Letter
    SUNY campuses are obligated to provide appointees an official appointment letter.

    SUNY Professional Staff
    For professional staff in the SUNY Professional Services Bargaining Unit (SUNY academic and professional employees), the current bargaining unit agreement with UUP requires certain information to be included in the appointment letter. This information includes the:
    (1) academic rank or professional title ( the official state budget title for the line item number to which appointed as classified and identified in the position file of the Human Resources Management System (HRMS). When the Chancellor is the appointing authority, only the official budget title will be included in appointment letters (e.g. continuing and permanent appointments will only be made to official budget titles). However, some campuses also include local descriptive titles in both appointment letters and in the performance programs for SUNY Professional Employees and SUNY M/C Employees. Campuses that use local descriptive titles should ensure that such titles do not exist in the University Title File. If they do and the title fits, then the position should be reclassified to the correct title because the official budget title, not local titles, determines the employee's terms and conditions of appointment. Similarly, care should be taken to ensure that any local titles used would not suggest a higher or lower level of duties and responsibilities than would otherwise be expected from appointees to the official budget title held by the incumbent.
    (2) type of appointment;
    (3) duration of the appointment;
    (4) appointee's initial basic annual salary (or other rate if it is hourly, biweekly, etc.)
    (5) and effective date of appointment.

    It is also suggested that the professional obligation, if different than the appointment duration be included for professional employees. Additionally, for part-time appointees, the current agreement requires the letter to include information about the nature of their duties and obligations and about their benefits eligibility, including leave accruals. Care must be taken when preparing appointment letters for part-time employees where eligibility is dependent upon amount to be earned and/or the number of courses to be taught and the anticipated duration of the appointment, depending on the category of employment and type of appointment. (See Article 30, Appointment, Evaluation and Promotion and Article , under references at the end of this section.)

    Classified Service Staff
    The same type of information required to be included in SUNY professional staff appointment letters should also be included in the appointment letters for classified service appointees. Appointees should be provided a letter signed by the appointing authority, or designee, that confirms important appointment information such as the title of the position, base salary, date of appointment, type of appointment, duration of appointment, if applicable, and the maximum length of the probationary period for permanent appointments.

    Where higher authority is required to effect an appointment (e.g., the Department of Civil Service for all classified service appointments, the Chancellor of SUNY for the continuing or permanent appointments of SUNY professional staff (SUNY UP3 Form), and the SUNY Board of Trustees for appointments to distinguished academic rank), such authority must be referenced in the appointment letter with a statement that the appointment will not be final until such approval is received.

    [Note: No notice regarding recommendations for Distinguished rank should be sent employees until the appointment has been approved by the Board of Trustees.]

    If the appointee is a retiree from a public retirement system in New York State, including the SUNY Optional Retirement Program, and will be compensated at a rate that exceeds the current 212 limit (subject to change and available from the Human Resources Office or from a links to State retirement programs), the campus must submit CSC-1 (classified service), or Form UP-211 (unclassified service), to secure the approval of the Department of Civil Service or SUNY Chancellor, respectively.
    (See Approval to Appoint Classified Service Retired State Employees, Form CSC-1 and Approval to Appoint Unclassified Service Retired State Employees, Form UP-211 under forms at the end of this section.)

    Appointment Types:

    Administrative (M/C employees and Graduate/Teaching Assistants)
    An administrative appointment is an appointment in which the appointee serves at the pleasure of the appointing authority, and except for graduate/teaching assistants, an appointment to a title excluded from being represented by a union for collective bargaining.

    M/C employees
    "There shall be such college administrative officers for each college as may be determined by the chief administrative officer of the college with the approval of the Chancellor. Administrative Officers in this category are not in a bargaining unit established pursuant to Article 14 of the Civil Service Law. Appointments of Administrative Officers shall be made by the chief administrative officer and reported to the Chancellor. Such appointees serve at the pleasure of the appointing authority. Reporting such appointments to the Chancellor is accomplished when appointments are processed for addition to the State payroll.

    Graduate/Teaching Assistants
    Although Graduate/Teaching Assistants are in a bargaining unit established pursuant to Article 14 of the Civil Service Law, they do receive "Administrative - serve at the pleasure" appointments.

    Contingent Permanent (classified service appointees only)
    A contingent permanent appointment is an appointment, transfer, or reinstatement to a competitive, non-competitive, or labor class temporarily vacant position (usually while the permanent incumbent of the position is serving a probationary period as a result of a promotion) of a person otherwise meeting all merit and fitness requirements for such appointment. Except in the case of the return of a prior incumbent that would result in their termination or their return to a previously held position, contingent permanent appointees have all rights and benefits of permanent appointees.

    Continuing (SUNY Academic Rank employees)
    A continuing appointment (tenure) shall be an appointment to a position of academic rank that shall not be affected by changes in such rank and shall continue until resignation, retirement, termination, or death.

    A continuing appointment may be given immediately to Professor/Librarian and Associate Professor/Associate Librarian appointees. It must be given for reappointment to these ranks following three consecutive years of full-time service in any of them. Generally most SUNY campuses do not grant tenure upon initial appointment.

    Reappointment to Instructor/Assistant Librarian and Assistant Professor/Senior Assistant Librarian must be on the basis of a continuing appointment after seven consecutive years of full-time service in a position of academic rank within SUNY and the completion of three years in academic rank at the current college. Prior full-time academic rank service credit from either other accredited institutions of higher education or other SUNY campuses may/will also alter these conditions for junior rank appointees.

    Prior Service
    In determining eligibility for continuing appointment, satisfactory full-time prior service in academic rank at any other accredited academic institution of higher education may, at the request of the appointee and in the discretion of the Chancellor, or designee (usually campus president, campus academic VP, or, in some cases deans), be credited as service, up to a maximum of three years, at the time of appointment at a college. Once the requested prior service credit has been approved, waiver of all or part of this service credit shall be granted upon written request of the employee to the chief administrative officer not later than six months after the date of initial appointment.

    Prior full-time consecutive service in academic rank within SUNY must be counted, but, the Policies of the Board of Trustees enable SUNY campuses to offer a term appointment, not to exceed three years, to employees previously holding a continuing or term appointment at a different SUNY campus.

    Prior service is not an issue for appointees to senior academic rank (Associate Librarian, Librarian, Associate Professor, or Professor) since they may be granted tenure at any time and must be granted tenure if they are reappointed to academic rank after three years of such service at senior rank.

    Permanent (Classified Service and SUNY Professional employees)

    Classified Service
    A permanent appointment is an appointment to an unencumbered classified service position of a candidate who has met all of the merit and fitness requirements for such appointment, including passing the necessary competitive examination and being reachable for appointment from an eligible list, if applicable. It is an appointment other than a Contingent Permanent, Temporary, or Provisional appointment. After completion of a probationary term, a permanent appointment continues until retirement, layoff, termination for incompetence or misconduct, resignation, or death.

    Probationary Period (for classified service permanent appointees)
    Initial appointment to permanent titles in the classified service requires the satisfactory completion of a "probationary period" of variable duration - usually a minimum of 8 weeks and a maximum of 26 weeks, depending upon the title, class, and nature of the appointment. This probationary period only applies to permanent appointments in the classified service.

    After the completion of the minimum required probationary period employees may be terminated at the pleasure of the appointing authority. During probation, supervisors of probationers are required to closely evaluate their performance and apprise them of their strengths and weaknesses and their "fit" to the job.

    Prior Service (classified service)
    As long as there is no break in service, the original date of permanent appointment to State classified service stays with employees throughout their careers even when they change titles or transfer between State agencies. This first date of permanent appointment becomes an employee's seniority date for layoffs and some other purposes. Under certain circumstances classified service employees may be re-employed after a break in service without diminution of prior benefits, including salary, except that an adjustment in their seniority date may be required.

    [Note: When a campus appoints a classified service transfer from another agency it may result in a reordering of the campus's classified service seniority roster used for layoffs if the transferee has an earlier date of permanent State service (seniority date) than other classified service employees at that campus.]

    SUNY Professional employee
    A permanent appointment shall be an appointment of a professional employee in a professional title that is eligible for a permanent appointment, which shall continue until a change in such title, resignation, retirement, termination, or death. It should be noted however, that, unlike continuing appointments for academic employees that are unaffected by a change in rank, a professional employee holding permanent appointment in a professional title who completes a probationary appointment in a different professional title shall be granted a permanent appointment in the different professional title only and shall not retain the permanent appointment in the former professional title.

    Important note: For professional employees holding permanent appointment who receive permanent appointment in a new title, the effective date of their new permanent appointment becomes their seniority date in the event of retrenchment. Unlike academic employees whose original continuing appointment effective date follows them as they are promoted through the academic ranks, professional employees relinquish any earlier permanent appointment date upon a change in professional title.

    There are a lot of special rules about permanent appointments for SUNY professional employees. Some titles at the entry level (interns), at the director level, or involved in intercollegiate athletics are ineligible for permanent appointment. Refer to the Policies of the Board of Trustees for details. These Policies also include provisions for professional employees to apply for early consideration for permanent appointment. However, at many SUNY campuses, permanent appointments are generally withheld until required in accordance with the Policies which state: "…at any college, further employment, in a professional title in which permanent appointment may be granted, of a professional employee who has completed seven consecutive years of full-time service as a professional employee at that college, the last two of which have been in that professional title, must be on the basis of permanent appointment."

    [Note(s): For a number of reasons campuses may prefer to delay the permanent appointment decision as long as they can unless they have a "star" that they are trying to keep. There are potential negative consequences on both sides of the early permanent appointment issue:

    1. In probably rare circumstances a professional employee might resign if her/his request for an early permanent appointment is denied.
    2. If the campus makes a "non-reappointment" decision after waiting until the time when any re-appointment must be on the basis of a permanent appointment, it might make it necessary for the campus to defend its decision. (See Job Security Review Procedures in the references at the end of this section.)
    3. The potentially negative consequence for the early granting of permanent appointment is its potential impact on other employees. Such decision could reorder the campuses seniority roster for the title to which the person is appointed, or for related titles, if the campus were to have to implement a retrenchment plan. The date of permanent appointment becomes the professional employee's "seniority" date for the purposes of retrenchment once the permanent appointment has been granted, and permanent appointees are the last to go after appointees serving on term appointments and temporary appointees.

    It is recommended that campuses review the Retrenchment article in the current UUP Agreement (See Retrenchment in the references at the end of this section) and then review their employment roster to make sure that they are not creating an undesired consequence by granting one appointee's request for early consideration while others in the "retrenchment chain" for the appointee's title are "serving their full seven years". Although this is the only potentially negative consequence related to retrenchment at the present time, who can predict what other benefits might also be negotiated on the basis of this seniority definition in the future.

    It is also recommended that campuses review the Job Security Procedures in the current UUP Agreement (See references below) and, in cases where it is obvious that a professional employee does not have the "right fit" to his/her position, such that s/he will be non-renewed, make the decision before the decision must be either a permanent appointment or a non-renewal.]

    Prior Service (professional employee)
    In determining eligibility for permanent appointment, satisfactory full-time prior service in a professional title at any one college of the University may, at the request of the professional employee and in the discretion of the Chancellor, or designee, be credited as service, up to a maximum of three years, at the time of appointment at another college. Once the requested prior service credit has been approved, waiver of all or part of this service credit shall be granted upon written request of the employee to the chief administrative officer not later than six months after the date of initial appointment.

    As a past practice, prior service for a professional employee must have been at a different SUNY campus from the one where employed when requesting it. While prior service at a different campus may be credited upon the employee's request, even after a break in SUNY service, prior service at a campus may not be granted following a break in service and reemployment at the same campus.

    Probationary Appointment (SUNY Professional Employees)
    "A probationary appointment shall be an appointment for a period of one year which must be granted to a professional employee holding a professional title in which permanent appointment may be granted at a college of the University when the employee is appointed to a different professional title in which permanent appointment may be granted at the same college, or when the employee is appointed to a professional title listed in Appendix A of the Polices of the Board of Trustees of the State University of York."

    Provisional (Classified Service Competitive Class employees)
    A provisional appointment is an appointment that can be made to an unencumbered competitive class position that may be made when no preferred list, and no appropriate eligible list of at least three persons willing to accept appointment is available to fill a vacancy. Provisional appointees have no seniority rights and their appointment certification will be revoked and the Department of Civil Service will terminate their employment whenever candidates become available on an appropriate eligible list for the title of the vacancy.

    Temporary (all categories of employees)
    A temporary appointment is an appointment that may be terminated at any time. Temporary appointments are usually given to SUNY professional staff and to classified service employees when an appointment is part-time, anticipated to be of short duration, or is made to a position vacated by an employee on leave. Temporary appointments are also authorized for SUNY professional staff when necessary to cover essential services until an appointment can be made following a recruitment search.

    Term (SUNY Academic and Professional employees)
    A term appointment, (except for certain SUNY professional staff employees serving in titles specifically listed in Appendix A or Appendix B of the Policies of the Board of Trustees of the State University of New York who are ineligible for permanent appointment and who may receive from three to five year term appointments), shall be an appointment for a specified period of not more than three years which shall automatically expire at the end of the period unless terminated earlier because of resignation, retirement, termination or death. Term appointments may be given to academic rank, qualified academic rank, and professional employees and must be given to part-time employees in the professional services bargaining unit following their completion of six consecutive semesters of service.

    Term Renewals:
    Term appointments may be renewed by the president in accordance with provisions of the SUNY Policies of the Board of Trustees which limit term duration to three years except for appointments to Appendix A or Appendix B titles. An employee's term in academic rank or professional title cannot be renewed beyond the date upon which the employee, if reappointed, must be granted a continuing or permanent appointment. It is important to note that, "No term appointment, of itself, shall be deemed to create any manner of legal right, interest or expectancy in any other appointment or renewal."

    Notice Requirements (term appointments):
    In the event a term appointment is not to be renewed upon expiration, or a term appointee will not be granted permanent appointment at the end of the current term appointment, the president, or the president's representative who has clearly been given this specific authority in writing, must notify the appointee in writing that s/he will not be reappointed not less than:

    (a) Forty-five calendar days prior to the end of a part-time service term appointment;
    (b) 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 terms ending in June, July or August;
    (c) 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 terms ending in June, July or August;
    (d) Twelve months prior to the expiration of a term after two or more years of uninterrupted service within the University; and
    (e) Six months prior to the expiration of a term for titles listed in Appendix B (1) or Appendix B (2) of the Policies.

    [Note: By practice, the "uninterrupted service within the University" in the language of these notice requirements has been determined to mean "the campus"]

    References:

    Article 30, Appointment, Evaluation and Promotion (UUP)
    http://www.goer.state.ny.us/CNA/1999to2003/uup/article_30.html (old)
    http://www.goer.state.ny.us/cna/1999to2003/uuppsnu/08art30.html (new)

    Distinguished Professorships (SUNY Guidelines)
    http://www.sysadm.suny.edu/Provost/facultyawards.htm

    Dual Appointment Guidelines

    Extra Service Guidelines

    Handbook for Employers-Immigration
    http://uscis.gov/graphics/services/employerinfo/index.htm

    Immigration
    http://uscis.gov/graphics/index.htm

    Job Security Review Procedures (Article 33 UUP Agreement)
    http://www.goer.state.ny.us/cna/current/uuppsnu/08art33.html (new)
    http://www.goer.state.ny.us/cna/1999to2003/uuppsnu/08art33.html (old)
    http://www.goer.state.ny.us/CNA/1999to2003/uup/article_33.html (older yet)

    Oath of Office (Article 4, Title B, section 62 NYS Civil Service Law
    http://assembly.state.ny.us/leg/?cl=18&a=11

    Reemployment of Retirees from NYS retirement programs

    Retrenchment (Article 35 UUP Agreement)
    http://www.goer.state.ny.us/cna/current/uuppsnu/08art35.html (new)
    http://www.goer.state.ny.us/cna/1999to2003/uuppsnu/08art35.html (old)
    http://www.goer.state.ny.us/CNA/1999to2003/uup/article_35.html (older yet)

    State Personnel Management Manual
    http://www.cs.state.ny.us/SSD-online/Manuals/SPMM/SPMMTitlePage2.htm

    SUNY Immigration Policies

    SUNY Policies of the Board of Trustees
    http://www.suny.edu/Board_of_Trustees/PDF/Policies.pdf

    SUNY Title F. Leaves (Trustees Polices, Article XIII) (Delegation of Authority to campuses memorandum)

    SUNY UP-3 Form (Request for Approval of Professional Appointment) (Guidelines for completion of the form)

    Forms:

    Approval to Appoint Classified Service Retired State Employees -- Form (CSC-1) (PDF non fill-in) or (PDF fill-in)
    also: http://www.cs.state.ny.us/forms/csc-1.pdf (non fill-in)

    Approval to Appoint Unclassified Service Retired State Employees (UP-211) (MSWord fill-in) or (PDF non fill-in) or (PDF fill-in)

    Appointment Form (a template that might work for some campuses) (MSWord fill-in) or (PDF non fill-in) or (PDF fill-in)

    Distinguished Professorships (SUNY Forms)
    http://www.sysadm.suny.edu/Provost/facultyawards.htm

    Dual Appointment Form (MSWord template)

    Extra Service Approval Form (SUNY-UUP) (MSWord template)

    Extra Service Approval Form (SUNY-Managerial) (MS Word template)

    Federal Withholding Form W-4 for 2003
    http://www.irs.gov/pub/irs-fill/fw4_03.pdf

    HRMS Personal Information Collection Form (MSWord fill-in) or (PDF non fill-in) or (PDF fill-in)

    I-9 Form (On-line fillable form)
    http://uscis.gov/graphics/formsfee/forms/files/i-9.pdf

    Prior Service Request Form for Academic Appointees (MSWord template)

    Prior Service Request Form for Professional Employee Appointees (MSWord template)

    State Withholding Form IT-2104
    http://www.tax.state.ny.us/pdf/2004/wt/it2104_2004.pdf

    SUNY UP-3 Form for Appointments Requiring Approval of the Chancellor or the Board of Trustees
    (P    rimarily used for Continuing Appointments (Academic Employees) and Permanent Appointment (Professional Employees) (MSWord template)