TSPR Higher Education Protocols- Chapter 4

Chapter 4
Human Resources Management - Institutional Support

Higher education is a labor-intensive undertaking: human resources costs can consume a significant portion of an institution's budget. The Texas School Performance Review therefore places a major emphasis on human resources management.
Human Resources management includes staffing analysis, recruiting, hiring, salary and benefit administration, and performance evaluation. Effective human resources management requires compliance with equal employment opportunity statutes and other applicable federal and state laws. Establishing fair and workable policies, procedures, and training programs are important to recruiting and retaining competent staff. The Human Resources chapter evaluates institutional staffing and management of human resources. These areas include:
Part 1
4.A. Organization and Staffing of Human Resources Function
4.B. Classification and Salary Administration
4.C. Human Resources Policies and Procedures
4.D. Performance Appraisal System
4.E. Recruitment and Selection Process (non-faculty)
4.F. Hiring Practices (non faculty)
Part 2
4.G. Staff Development and Continuing Education
4.H. Employee Relations and Grievance Process
4.I. Staff Turnover
4.J. Ethnic Distribution of Faculty and Staff
4.K. Review and Evaluation of Contracting Process

PART 1
The governance structure of institutions varies depending on whether the institution is part of a system, is independent or is a community college. To account for these basic differences, this protocol will attempt to highlight those differences and may address certain questions or activities to a specific type of institution.
4.A. Organization and Staffing of Human Resources Function
A well-organized human resources department can help an institution of higher education meet the needs of its employees and the data needs of its administration. By assigning clear responsibilities to staff in the department, an institution can effectively and efficiently deliver the services it needs to ensure the sound management of human resources.
Data Needs

Human Resources organization chart
Staffing of human resources function
Job descriptions of human resources staff
Resumes of human resource staff
Strategic plan
Pertinent internal audit reports

Possible People to Interview
System staff with assigned responsibility or president
Vice-President for Business Affairs (or other appropriate VPs)
Human Resources director and managers
Director of Information Technology
Person or department in charge of EEO function
All employees of the Human Resources department
Payroll, benefits, and staff development employees
Internal auditor
4.A.a. Organization Structure of Human Resources Function
Activities to Perform

4.A.a.1. Examine the organization and staffing charts and job descriptions for Human Resources. Interview staff to determine reporting arrangements, determine whether the organizational structure depicted on the chart reflects the actual organization of the department, and document if it has been changed recently or repeatedly in the recent past or is anticipated to change in the near future. Explain the reasons for changes.

4.A.a.2. Examine the staffing and budgets of human resources and human resources-related functions such as recruiting, payroll and benefits management functions and determine the ratio of total staff to staffing within the human resources function. Compare the budget and staffing levels to comparable institutions.

4.A.a.3. Obtain information on qualifications of key personnel through resumes or interviews to determine qualifications.

Questions to Ask
Is the management of the human resources function centralized or decentralized? What is the role of the system offices and the institutional offices, if applicable, as far as the human resources function is concerned? What is the relationship between the governing board of the institution and the human resources function? Does the institution conduct periodic reviews to minimize administrative layers and processes?
Who heads the human resources division? Are functions that relate to human resources such as payroll and benefits efficiently aligned within the overall organization? What is the staffing pattern of the human resources division? What are the functions supported by the human resources division? How are related functions coordinated within the institution?
What training is provided to human resources division staff so that they will better understand current and emerging developments in the human resources function? How do human resources staff serve as resources to other administrators in personnel matters? Are employees in the division cross-trained? To what extent do human resources staff participate in workshops, conferences, seminars, read professional literature and interact with human resources administrators in both public and private sectors to improve job performance?
4.A.b. Management of the Human Resources Function
Activities to Perform

4.A.b.1. Examine any administrative procedure manuals, departmental budgets, strategic planning documents, mission statements and performance measures to determine their adequacy and how they are tied to the institution's policies and strategic plan.

4.A.b.2. Evaluate the computer system used by the human resources unit as well as the connectivity between this system and related systems such as finance, payroll and other systems used for the institution's operations. Evaluate use of computer systems to analyze staff development patterns.

Questions to Ask
Does the human resources department have a mission statement? Goals? Performance measures? How is the human resources function treated in the institution's strategic plan? Who are the division's customers? What is the relationship between the human resources and other departments and offices of the institution? How does the department know it is meeting its customers' needs? How does the division measure and monitor success?
How are departmental expenditures controlled? How is the departmental budget tied to the institution's strategic plan? What is the process for assuring that departmental funds are budgeted in accordance with the institution's strategic plan?
What computer systems support the human resources functional area? Does the institution's human resources software tie together staffing, payroll and leave data? Is the institution's MIS function capable of providing data on the number of positions and teaching staff?
Is the institution's MIS function capable of providing data on staff characteristics such as race, sex, age, experience and certification?
Does the institution maintain employee records electronically? How does it assure human resources records are safeguarded against loss or damage? How does the institution regulate access to human resources records? How does it coordinate record requests from employees or the public under the Open Records Act?
Is staffing information used to project staffing for budgetary purposes? Does the institution's MIS provide breakdowns by staff-to-student ratios? Does it have a system for position control that is automated and integrated with budgeting, human resources and payroll to ensure effective position control?
B. Classification and Salary Administration
Data Needs

Institution's organizational charts
Staffing patterns in the institution
Salary surveys
Benefit information
Sample job descriptions
Human resources policy manual
Orientation materials
Institutional newsletters
Classification and pay plans
Relevant pay and benefit provisions negotiated with employee organizations
Pertinent internal audit reports
List of all Optional Retirement Plan (ORP) eligible positions

Possible People to Interview
Vice President over Human Resources and other VPs, as appropriate
Budget director and managers
Human Resources director and managers
Human Resources staff specialists and managers
Administrative staff in user departments
Internal auditor
4.B.a. Salaries and Compensation
Activity to Perform

4.B.a.1. Prepare a chart of salary levels for categories of staff for the last three to five years and chart changes. Compare current salary levels with peers and the state average and compare to salaries in peer institutions and to competing positions in the private market.

Questions to Ask
How have salaries changed over the past five years? How do salaries compare with similarly sized college or universities for similar positions? How do salaries compare with similar positions in the market?
What is the institution's compensation philosophy? (Direct this question to the vice-president for Business Affairs.) Who makes the final decisions on salary levels?
How are cost-of-living adjustments handled? How have pay raises been handled for the last five years? Have raises kept pace with inflation and compensation rates in comparable college or universities or the marketplace? What categories of staff have salaries below market rate and how has that impacted turnover rates?
Is the institution's compensation plan based on sound practices with a minimum, midpoint and maximum salary range and a range spread not exceeding 60 percent? Does the midpoint approximate the market?
Are grant funded positions treated any differently than non-grant positions in regard to classification and salary? If so, why?
Does the institution periodically update the compensation scale through a comprehensive salary survey using benchmarking, job matching and collection of high, low and actual salary data? When was the last time the institution performed a comprehensive salary survey? Did the board fund any pay adjustments recommended in the survey? How were any higher than appropriate pay levels brought in line by the institution?
Which classes of the institution's employees have contracts? How are contract renewals handled?
Do any classifications of staff receive a stipend or other additional compensation (e.g., car allowances)? If so, obtain a copy of the stipend schedule. How are stipends or additional compensation determined?
Does the institution uniformly comply with all requirements of the Fair Labor Standards Act regarding overtime and compensatory pay?
What is the board or system offices' role in hiring, firing, promotion, or other salary actions for positions other than the president? Does the board or administration have a compensation strategy to align salaries? Does the institution actively manage payroll costs through balancing the numbers of staff at all experience levels?
4.B.b Benefits
Activities to Perform

4.B.b.1. Prepare a comprehensive list of all employee benefits including such items as insurances, social security, sick and annual leave and special retirement programs. Make note if any benefits apply to only certain classes or types of employees. At what point part-time employees become eligible for benefits? Calculate or obtain a budgetary benefit rate by class of employee, if applicable.

4.B.b.2. Determine if the institution keeps a chart of benefit rates/payments by class of employee/salary level.

Questions to Ask
Are all benefit terms and conditions stipulated in board policy? Does the employee handbook adequately describe the benefits offered by the institution and the eligibility requirements? Does the institution offer a comprehensive benefit program including life, health, optical and dental insurance with other special programs such as capital accumulation plan, long/short term disability, etc.? Is the benefit program competitive with comparable institutions? Are differences between benefit programs for different classes of employees justified?
What criteria are used to qualify positions for Optional Retirement Plan (ORP) eligibility? Do all current ORP eligible positions comply with this criteria? Who approved any exceptions and why?
Can leave balances be accumulated and taken in cash at termination or retirement? Is there a reasonable cap on the amount of accumulated leave that will be paid out at retirement?
How does the institution define part-time employees? How are their benefits different?
4.C. Human Resources Policies and Procedures
Data Needs

Copies of policies, the employee handbook and employee orientation materials
Pertinent internal audit reports

Possible People to Interview
Human Resources director and managers
Human Resources staff specialists
Internal auditor
Activities to Perform

4.C.1. Review all human resources policies, the employee handbook and employee orientation materials and determine the consistency of information presented and dates of last update. Note any inconsistencies or information that is out of date.

4.C.2. Examine board- or system-approved human resources-related policies and determine whether the institution has policies covering: Recruitment of professional, paraprofessional, clerical and auxiliary staff members? Hiring? Promotion? Seniority? Grievance? Probation? Performance appraisal? Staffing? Affirmative Action? Termination? Benefits? Employee assistance? Leave of absence (with or without pay)? Other? For each policy note the topic, policy number, date of update, class of employee affected by the policy if applicable and summarizes the basic issue.

Questions to Ask
Are these policies available on-line? Are policies and employee handbooks regularly updated? Who is responsible for updating policies? How are employees made aware of changes to human resources policy? How is other news communicated regularly to staff?
Who covers for absent employees? Are temporary employees or employment agencies used to temporarily fill vacant positions?
Does the institution maintain a staff directory (either electronically or in hardcopy)? Does the institution conduct orientation on human resources policies for new employees?
4.D. Performance Appraisal System
Data Needs

Human Resources Policy manual
Appraisal policies
Sample employee performance appraisal forms
Job descriptions
Turnover statistics
Employee complaints
Grievance records
Training records
Training opportunity brochures
Training announcements
List of all employees that did not receive a required performance appraisal
Pertinent internal audit reports

Possible People to Interview
Human Resources director
Selected management staff/selected first-line supervisors
Employee liaison
Ombudsman
Staff attorney
Staff development manager and specialists
Employees
Internal auditor
Activities to Perform

4.D.1. Examine a sample of employee performance appraisal forms for teaching staff, administrators and support staff. Evaluate them for timeliness, thoroughness, effectiveness and compliance with state guidelines and local policies and procedures.

Questions to Ask
Are all employees required to have a performance appraisal? Who is excluded? Does the institution have a formal performance evaluation program documented in board policy or administrative procedures? How often are appraisals given to employees (evaluation cycle)? Is performance measured against pre-established standards? What sanctions are available if evaluations are not timely? What reasons are given when employees did not receive a required evaluation?
Do managerial and supervisory appraisals allow for subordinate or self-ratings? How are the ratings of a manager's employees or self-assessments used in the appraisal process? How do appraisals tie weaknesses or strengths to recommended actions for future performance? What is the evaluation hierarchy (What level does which evaluations)? What feedback can the person being evaluated provide?
Does the institution have a performance-based system for compensation? If not, has the institution considered such a system?
4.E. Recruitment and Selection Process (non-faculty)
Data Needs

Application form
Selected job descriptions
Selected job postings
Human Resources Policy manual
Recruiting brochures
Recruitment trip logs
Statistical reports about recruitment efforts
Institutional Website
Pertinent internal audit reports
Brief description of recruiting, selection and hiring process

Possible People to Interview
Human Resources director
Human Resources staff specialists
Human Resources recruiters
Coordinators or managers of recruitment for the institution
Internal auditor
Activities to Perform

4.E.1. Identify and analyze all formal and informal recruiting activities and interview staff responsible for recruitment efforts. Create a chart of recruitment trips and activities showing the success rates of the recruiting effort. Note who was responsible for each activity. If possible, compare recruitment activities with peer institutions or local employers.

4.E.2. Determine the total budget for recruitment in the institution and compare this cost to the costs experienced by peer institutions or regional averages.

4.E.3. Using historic data, chart the typical number of vacancies and of what employee type that must be filled each year before classes begin and the number that typically come vacant during the year that must be filled? List the general type of recruitment activities used to fill vacancies by type of employee.

4.E.4. Diagram the process for recruiting and selecting new employees.

Questions to Ask
How are all jobs posted? Are jobs posted online? Does the institution use any outside entities such as employment firms or the Texas Workforce Commission to assist them in locating candidates? Are advertisements placed in local and trade newspapers? Which newspapers are producing the best results? Are temporary employment agencies used to temporarily or permanently fill some positions?
Do qualifications on job postings correspond to the qualifications required for the job as shown on the institution's formal job description?
Are all requests for data on the application form within the law? Does the application form gather the data required by law? Required for efficient processing of the application?
How does the institution pay for travel for recruitment purposes? How does the institution measure the success of its recruiting efforts? How does the institution maintain professional relationships with placement offices, faculty members and officials of colleges and universities? Does the district have strategies to address shortages in specific areas? Do recruiters have the authority to extend offers to candidates on recruitment trips?
Does the institution provide timely responses to applicants? Does the institution maintain a pool of applicants for future openings? Does the institution have strategies to ensure a diverse workforce?
How does the institution identify staffing needs? Does the institution distribute written information to candidates for employment explaining the system, employment requirements and characteristics of the community?
How does the institution market to prospective employees? Does it have information readily available to prospective employees regarding pay, benefits and community?
4.F. Hiring Practices (non faculty)
Data Needs

Sample of applications of individuals selected for employment
Institution's employment application
Employee's records system
Pertinent internal audit reports

Possible People to Interview
Human Resources director and managers
Human Resources staff specialists
Human Resources recruiters
Coordinators or managers of recruitment for the institution
Internal auditor
Activity to Perform

4.F.1. Diagram the process used to hire an employee, including all staff involved in the process and all intermediate approvals and final decision-makers.

Questions to Ask
Do the qualifications of new hires match those required by the job posting? Who has the final authority to extend a job offer to an applicant? How does this process ensure that only the highest quality candidates are hired? How does this process impede the hiring process?
How does the institution conduct reference checks? How does the institution conduct criminal background checks? If employees work with children (e.g., child care workers), are check completed before new employees are allowed to work with children?
Are psychological questions asked of candidates where appropriate (e.g., commissioned law enforcement officers)?
How does institution notify current staff members of vacancies? Are opportunities for promotion publicized to the staff? Are all promotions based on competency, performance and job qualifications? How does institution use descriptions and essential qualifications as guides in selecting human resources?
Do hiring practices differ for temporary or part-time employees? Are job postings screened for physical requirements or examinations that would unfairly exclude the selection of disabled individuals? Does the institution develop clear job descriptions, legally defensible job qualifications and performance criteria for all vacancies being filled?
How does the institution document hiring process to avoid possible litigation? How does institution provide for existing staff to participate in interviewing activities and hiring decisions?
If the institution has more than one campus, how are campus administrators involved in hiring staff for their campuses? Does the institution have a selection procedure that is uniformly applied to each candidate? Are newly hired employees subject to a probationary period? Does the institution have a system for orientation, mentoring and training during the probationary period? What approval authority does the board or system offices have for the hiring new employees?
Are there many complaints of favored treatment that allege the institution passed over fully certified individuals in filling vacancies?

4.A.a.1.	Examine the organization and staffing charts and job descriptions for Human Resources. Interview staff to determine reporting arrangements, determine whether the organizational structure depicted on the chart reflects the actual organization of the department, and document if it has been changed recently or repeatedly in the recent past or is anticipated to change in the near future. Explain the reasons for changes.
4.A.a.2.	Examine the staffing and budgets of human resources and human resources-related functions such as recruiting, payroll and benefits management functions and determine the ratio of total staff to staffing within the human resources function. Compare the budget and staffing levels to comparable institutions.
4.A.a.3.	Obtain information on qualifications of key personnel through resumes or interviews to determine qualifications.

4.A.b.1.	Examine any administrative procedure manuals, departmental budgets, strategic planning documents, mission statements and performance measures to determine their adequacy and how they are tied to the institution's policies and strategic plan.
4.A.b.2.	Evaluate the computer system used by the human resources unit as well as the connectivity between this system and related systems such as finance, payroll and other systems used for the institution's operations. Evaluate use of computer systems to analyze staff development patterns.

4.B.b.1.	Prepare a comprehensive list of all employee benefits including such items as insurances, social security, sick and annual leave and special retirement programs. Make note if any benefits apply to only certain classes or types of employees. At what point part-time employees become eligible for benefits? Calculate or obtain a budgetary benefit rate by class of employee, if applicable.
4.B.b.2.	Determine if the institution keeps a chart of benefit rates/payments by class of employee/salary level.

4.E.1.	Identify and analyze all formal and informal recruiting activities and interview staff responsible for recruitment efforts. Create a chart of recruitment trips and activities showing the success rates of the recruiting effort. Note who was responsible for each activity. If possible, compare recruitment activities with peer institutions or local employers.
4.E.2.	Determine the total budget for recruitment in the institution and compare this cost to the costs experienced by peer institutions or regional averages.
4.E.3.	Using historic data, chart the typical number of vacancies and of what employee type that must be filled each year before classes begin and the number that typically come vacant during the year that must be filled? List the general type of recruitment activities used to fill vacancies by type of employee.
4.E.4.	Diagram the process for recruiting and selecting new employees.