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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 2

4.G. Staff Development and Continuing Education

Data Needs

  • Institution's staff development and continuing education offerings for the last year
  • A sample of employee's staff development and continuing education records
  • Pertinent internal audit reports

Possible People to Interview

Human Resources director and manager
Human Resources staff specialists
Persons or departments that supervise staff development activities
User department supervisors and staff
Internal auditor

Activities to Perform

4.G.1. Determine how the institution tracks professional development by employee and examine the system to determine whether records are kept for all employees, whether records are current and whether goals and guidelines for professional development are being met.
4.G.2. Prepare a chart of major staff development performed in the last year and show the training audience, number attending and examine a sample of any evaluations of the training to determine staff response.
4.G.3. Diagram the staff development delivery system showing the role of the administration and other support staff in the process. Interview staff on their ease of accessing professional development and its relevance to their jobs.

Questions to Ask

Is the responsibility for coordination of staff development centralized? Does the institution set minimum continuing education or training hours for staff? Does the human resources division collect feedback from trainees on training received? Does the human resources division use this feedback to develop and refine training? Does the institution evaluate the usefulness of training periodically?

Is an in-depth supervisory training program offered? Is attendance mandatory or optional? What are the ramifications of failure to attend?

Is training scheduled to be least disruptive to an employee's job schedule? Does the institution provide incentives for training outside regular hours?

What training opportunities are provided in summer months?

Does the institution have a partnership with a nearby community college or university for training? Does the institution pay any of the costs for the pursuit of additional certification or degrees? Does the pursuit of additional certification or degrees qualify for mandatory staff development hours?

Are staff development goals linked to institutionwide goals? How many days for staff development does the institution allow?

4.H. Employee Relations and Grievance Process

Data Needs

  • Copy of the institution's employee grievance procedures and policies
  • Sample of grievances filed during the last two to three years and the disposition
  • Copies of any negotiated agreements with labor organizations currently in effect
  • Pertinent internal audit reports

Possible People to Interview

Human Resources director and manager
Human Resources staff specialists
Employee organization representatives
Internal auditor

Activities to Perform

4.H.1. Prepare a chart of all labor organizations representing institution employees and stipulate the employee population represented and the number of the institution's employees in each organization. Describe any formal or informal processes used to bring employee concerns to the institution.
4.H.2. Outline any employee grievance, wellness or other employee assistance programs used by the institution and evaluate the effectiveness and efficiency of each.
4.H.3. Create a chart of the number and type of employee grievances that have been filed by employee category. Determine whether there are patterns and how has the institution taken steps to prevent recurrences of situations most prone to employee grievances.

Questions to Ask

How are the labor or employee organizations involved in the day-to-day management of the institution? In what manner does the board or system offices interact with these organizations? In what manner does the administration interact with these organizations?

Is there a separate process for EEO type grievances such as sexual harassment or discrimination? If so, what are the differences and how do they contribute to improved working conditions?

Does the institution have an employee assistance program which:

  • Provides counseling and/or referral for employees with drug or alcohol abuse problems?
  • Provides an employee wellness program encouraging good employee health practices?

Does the institution have policies for voluntary and involuntary transfers? If the institution has more than one campus, is campus staff involved in the decisions for transfers (in and out)? Is there a chain of command or process by which and employee can protest employee actions?

Does the institution have clear policies on grievances, termination for cause and reductions in force? Does the institution provide for termination only after serious efforts (counseling and remedial training) have been made to assist the employee to improve? Do managers monitor the work of the employees during probation and provide assistance and support as needed to attempt to ensure success? When was the last legal review of termination and reduction in force policies? Does the institution have checklists in these areas facilitate compliance and avoid legal costs for violations of policy and due process?

Does the institution base termination on written evaluation reports and written documentation, which have been shared and discussed with the employee? Does the institution have a plan of progressive discipline, such as an oral warning, disciplinary layoff and termination to be used for paraprofessional, clerical and auxiliary personnel?

Are employee organizations involved in remediating poor performing employees? Does the institution provide for immediate suspension and/or termination for serious violations such as assault, theft, drinking or drug use on the job, etc.? Who keeps up with latest state and federal laws on employee issues- to consult with before a final action is taken on an employee?

Who is responsible for disseminating rules, regulations and policies to all employees; ensuring that discipline actions are uniformly applied; investigating accusations; and ensuring that employees are warned before certain employee actions? Do institution rules on employee actions provide for due process? Does the institution require resignations to be submitted in writing to a designated staff member?

Are employees counseled when resigning on the conditions governing reinstatement, re-employment and withdrawal of retirement contributions and termination of insurance coverage?

Does the institution have a written policy for a reduction in staff, which considers factors such as tenure, seniority, affirmative action, qualifications, quality of performance and certification in determining lay-offs? Do criteria for reduction in force demonstrate legal compliance for selection of individuals for reduction in force?

4.I. Staff Turnover

Data Needs

  • Any budget allocation formulas or guidelines
  • Statistical data on employee turnover by department or school
  • Sample of or summary information on employee exit interviews
  • Pertinent internal audit reports

Possible People to Interview

Human Resources director and managers
Human Resources staff specialists
Employee organization representatives
Internal auditor

Activities to Perform

4.I.1. Chart institution staffing by functional area for the last three to five years and calculate the rate of change. Compare staffing changes to changes in student enrollment for the same period and determine if staffing growth rates mirror student enrollment growth. Note any aberrations and explore the reason for the differences.
4.I.2. Obtain a copy of any budget allocation formulas or guidelines and compare the institution's overall staffing patterns to the institution's formulas at each level. In the absence of an institution allocation formula, compare staffing ratios to industry standards. Compare staffing ratios with peers and the state average.
4.I.3. Prepare exhibits of employee turnover rates by functional area for the past three to five years by department or staffing category, as applicable. Analyze the reason for any higher-than-average turnover rates.

Questions to Ask

What are the turnover trends in the institution? Does the institution analyze turnover by employee type? How does the human resources department use turnover data to determine staffing needs? Does the institution track the reasons why employees (voluntary separation, retirement, termination for cause, transfer to a different classification [e.g., teacher to administrator])? Does the institution conduct exit interviews with employees who are leaving to determine the reasons for resignation? Does the institution then systematically analyze these reasons to determine strategies for reducing turnover?

Does the institution keep turnover statistics? If the institution has more than one campus, does it keep turnover by campus? What does the institution consider a manageable level of turnover? How does this compare to peer institutions?

Who tracks absenteeism of instructional staff? Is this the most effective way to track absenteeism? How is this information used?

What reports does the human resources department routinely prepare? Obtain copies of all reports.

Does the institution have written procedures to control the number of budgeted full time equivalent (FTE) positions? Does the institution have an approval process to handle situations where FTEs exceed the number of budgeted positions?

4.J. Ethnic Distribution of Faculty and Staff

Data Needs

  • Employment by ethnicity for the past five years
  • Comparison of ethnic composition of peer institutions
  • Recruitment materials targeting ethnic employees
  • Ethic distribution of the applicant pool by a sample of job postings
  • Recruiting trip history
  • Any strategic plan for increasing participation in employment by minorities
  • 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

Activities to Perform

4.J.1. Compile a table of ethnic composition of the workforce for the past five years. What is the ethnic composition of the institution's staff? How does this compare to the ethnic composition of the student population?
4.J.2. Analyze the trends in the ethnic composition of workforce. Is ethnic employment growing?
4.J.3. Evaluate the institution's recruiting efforts. How does the institution ensure that it meets the goals of an ethnically balanced staff?

Questions to Ask

Who is responsible for monitoring the institution's progress on achieving an ethnically balanced staff? How effective is the institution in attracting ethnically diverse applicants? What activities are being performed to expand the pool of ethnically diverse applicants?

What reports are produced showing the institution's progress in this area?

How are the administration and board or system offices involved in this issue?

4.K. Contracting for Human Resources-related Functions

Human resources services such as staff development, payroll or recruitment could all or in part be purchased or contracted for through private companies or interlocal agreements with peer institutions or other governmental entities. It is important to regularly evaluate whether there are goods or services that can be obtained from the private sector at a lower cost, higher quality or both. It is equally important to continually evaluate existing contracts to determine if the institution is getting the best value possible through the contracting arrangement. This evaluation process is discussed in detail in the Purchasing Chapter.

Data Needs

  • Copies of service contracts, status reports on services performed, feasibility studies, cost benefit analyses, performance data, copies of any memorandum of understanding (MOUs) or interlocal agreements.

Possible People to Interview

Human Resources director and managers
Human Resources staff specialists
Human Resources recruiters
Persons or departments responsible for contract function
Coordinators or managers of recruitment for the institution
Internal auditor

Activity to Perform

4.K.1. If the human resources function or any parts of the human resources function are contracted for, obtain copies of and examine all service contracts, status reports on services performed, feasibility studies, cost benefit analyses, performance data, copies of any memorandum of understanding (MOUs) or interlocal agreements.

Questions to Ask

Does the institution use contracts for any aspect of human resources services (e.g., recordkeeping, microfilming, job searches)? Does it routinely examine options for contracting human resources services? Who is responsible for determining whether a person is an employee or an independent contractor?

If any services are performed or contracted for through private companies or interlocal agreements: Was a cost/benefit analysis and feasibility study performed prior to bidding the service and entering into the contract? What competitive procurement processes was used? Did the bid process comply with state law? Did face-to-face negotiation occur? Were all stakeholders in the service represented in the negotiation and in the evaluation? Did vendor due diligence occur as part of the evaluation process? How were bid proposals evaluated? Were vendor references checked? Were quantitative and qualitative measures used in evaluating each proposal?

Did vendor presentations or interviews take place and how was this information used in the bid process? Did staff document the evaluation process and make written recommendations?

During contract negotiation, was a contract awarded to the lowest viable vendor? Was the contract written by the institution, the vendor or in collaboration? Were the terms and conditions negotiated? Were the purchasing and finance divisions involved in the evaluation? Did an institutionally-employed or institutionally-hired attorney draft or review the final contract before signature? Were all relevant documents referenced in the contract for future reference? Is the contract written?

What are the basic terms and conditions of the contract? Did both the institution and the vendor sign the contract? Does it have a way to shift services back in-house should in-house operations prove the most efficient way to do things? Are escalator clauses tied directly to changes in the market that affects the vendors' costs? Are increases in contract costs tied directly to rising labor or supply costs? Are terms of the contract favorable in comparison to market rates for services? Are cost controls part of the contract and are costs monitored for changes?

Are there options to renew or renegotiate the contract as the result of the period of performance ending? Are there options to renegotiate the contract in response to changes in institutional needs or market conditions?

Are contractors required to report regularly to the board or system offices? To the administration? If so, how do they report? If so, are they reporting as required? Does the contract include a contract change mechanism?

Did the contract include all relevant terms and conditions required by board policy, local, state and federal law and the uniform commercial code? Are specific steps outlined in the contract for dispute resolution? What is the institution's liability and what is the vendor's liability? When does the contract expire?

Has the institution dedicated correct and sufficient contract management resources to manage the contract? Who manages the contract in the institution? Does this person have the authority to enforce or change the contract? Does the contract include the name of the contract manager and who represents the institution as the final authority for contract disputes?

What reports must the vendor provide the institution and when do they have to be provided? What mechanisms are in the contract for providing the vendor with feedback on performance?

Does the vendor have to account for any cost changes to the institution? Does the institution require the vendor to notify the institution in the event the vendor changes suppliers for items included in the service agreement?

Does the contract outline how the institution can terminate the contract for poor performance or failure to perform without liability to the institution? How are risks to the institution managed by the contract?

Is a specific individual responsible for reviewing and documenting vendor performance? Does the contract specifically outline minimum and preferred performance standards? Can the institution measure the standards objectively? Does the contract describe each service to be performed in sufficient detail?

Does the contract describe specific levels of performance the vendor must meet in performing the service? Are these performance measures tracked by the institution or by the vendor? How is performance measured relative to payment?

Does the contract include remedies in the event the vendor fails to perform the contract or fails to perform acceptably? What types of options does the institution have in remedying poor performance or terminating the contract? Is payment tied to performance?

Are performance measures related to quality and quantity of activities performed by the vendor? Does the contract include specific periods in which the service must be performed?