SUNY University-Wide Human Resources Manual
Appointment - UP-3 Form Guidelines

last updated: Thursday, July 8, 2004

Guidelines for Processing Form UP-3 (Request for Approval of Professional Appointment)
by Phyllis Price, SUNY System Administration

1. Name of Campus -- must be noted on form. (If the form is mixed in with hundreds of other UP-3's, it's difficult to tell where it came from!)
2. Name of Employee -- the employee's name must be spelled correctly on the typed or handwritten form and it must match the spelling of the name on the oath card or it creates a problem. Also the salutation must be included so that it can be correctly included in the appointment letter.
3. Oath Card -- must be attached. An appointment transaction letter will not be generated until a copy of an oath card is received.
4. Prior Service Credit -- must be filled in to verify eligibility for tenure. All prior titles, leaves with pay or without pay should be documented.

5. Distinguished Appointments -- do not use the UP-3 form for distinguished appointments. Letters to employees who receive "Distinguished" titles (approved by the Board of Trustees) are not processed in this office. These letters are generated in the Provost's office.
6. Concurrent Academic Appointments for M/Cs -- If an M/C employee is to receive a concurrent appointment in a faculty title, that should be explained under "remarks". Otherwise, UP-3's should not be submitted for Management Confidential employees since they are not eligible for tenure.
7. Signature -- UP-3 Forms must be signed by the campus's Chief Administrative Officer (usually President) since authority for recommendations requiring the UP-3 Form cannot be delegated to anyone else.
8. Effective Date -- Only one effective date can be entered on an UP-3 Form. It should be entered in the space provided for "salary and effective date". If another appointment transactions with a different effective date needs approval, another UP-3 Form must be processed.
9. Copies -- If your campus uses the computer generated form, submit only one copy. The Chancellor will sign one copy -- the Office of University-Wide Human Resources will then produce copies of the signed form required for distribution.
10. Title F. Leaves -- Do not submit the UP-3 Form seeking approval for Title "F" leaves or extensions of sick leave with pay formerly requiring the Chancellor's approval. They no longer require the Chancellor's approval. But, do prepare the UP-3 Form for the signature of the campus's chief administrative officer and ensure that a copy is filed in the employee's personnel file and a second approved copy is forwarded to the SUNY Office of University-Wide Human Resources. A link to a copy of the letter outlining that change can be found in the references at the end of the Appointment section in this manual.