UP3 Guidelines

Guidelines for Processing UP-3 Forms

(Request for Approval of Professional Appointment)


1. Name of Campus - Note the name of your Campus on the form.

2. Employee Salutation - Indicate how you would like the employee addressed in the letter (Mr., Mrs., Ms. or Dr.) in the "Employee" section of the form.

3. Employee Name - Please make sure to spell the employee's name correctly on the typed form. The name needs to be spelled the same on both the UP3 form and the Oath Card, unless information is provided in the name change field.

4. SUNY ID– Provide the SUNY ID of the employee in the SUNY ID field (located in the "Employee" section of the UP3 form).

5. Name Change- If employee has had a name change, please provide the change in the “Name Change Verification” field located in the “Employee” section of the UP3 form.

6. Prior Service Credit - The "Prior Service Credit" section must be filled in to verify eligibility for permanent or continuing appointment. All prior titles, leaves with pay or without pay and any part-time status should be documented. If you require more room to do this, please use the "Remarks" section or attach a separate sheet of paper if necessary.

7. Granted Prior Service - Please indicate whether the employee had been granted prior SUNY Service or Non SUNY Prior Service located in the “Prior Service Credit” Section of the UP3 form.

8. Title - Campuses should use the "budget" title, not the campus title in the appointment letter.

9. Effective Date - Please put only ONE effective date on the form in the "salary and effective date” field that is within the "Appointment" section of the form. The SUNY Board of Trustees policies provides the Chancellor the ability to grant permanent or continuing appointment after considering the recommendation of the Chief administrative officer of the college concerned. Such appointment is not effective until made so by the Chancellor.

10. Previously Granted Continuing or Permanent- indicate whether or not the employee had been previously granted continuing or permanent appointment under the Appointment section of the UP3 form.

11. Early Consideration - If an employee has requested "early consideration" for his/her appointment, please provide details in the "Remarks" section or attach a separate sheet of paper if necessary. The letter from the employee MUST be attached to the UP3 form before it can be evaluated for approval.

12. Oath Card - The Oath Card is required to be attached to the UP3 form. A letter will not be generated until a copy of the Oath Card is received.

13. Retro Effective Date- Any UP-3 forms with retroactive effective dates of permanent or continuing appointment prior to the effective date of the President’s signature are required to have a justification/explanation for the retroactivity. These comments will be reviewed and evaluated on an individual basis. Please provide justification in the “Retro Date” section of the UP3 form or attach a separate sheet of paper if necessary.

14. President Approval - The Campus President must sign and date the form since this cannot be delegated to anyone else.

15. Copies – Submit only one copy. After the Chancellor signs, a copy will be returned to the Campus. Forms must be typed. Any handwritten forms will be returned to the campus.

16. Concurrent Academic Appointments for M/Cs- UP3 forms should not be submitted for Management Confidential employees since they are not eligible for permanent or continuing appointment. If an M/C employee is to receive a Concurrent appointment in a faculty title, that should be explained under the "Remarks" section.

17. Distinguished Appointments - Letters to employees who receive "Distinguished" titles (approved by the Board of Trustees) are not processed in this office. Those letters are generated in the Provost's office.

18. Title F Leaves –Title “F” Leaves do not require Chancellor approval. Please still prepare the UP3 form for signature by the Campus’ Chief Administrative Officer and ensure that a copy is filed in the employee’s personnel file. Also, please send a second copy to the SUNY Office of University-wide Human Resources.

Eligibility for permanent or continuing appointment is outlined in detail in the Policies of the Board of Trustees, Article XI.

Human Resources