Office of Human Resources
Violations of Human Resources Non-compliance
Type of Violation
Risk of Non-Compliance
System Policy, System Regulation, University Rule
or University Adminsitrative Procedure Violated
Correspondence Related to Violation
STAFF HIRING PROCESS
Job Posting Requirements
Failure to post vacant positions with System Regulation 33.99.01 Employment
the Texas Workforce Commision
Practices
through the Office of Human
UAP 33.99.01.P0.01 Employment Practices
Resources will constitute a breach
in federal and state laws and may
subject the University to fines and
penalties
The Office of Human Resources (OHR) will provide the
Senior Vice President of Business Affairs (SVPBA) a report
of college/departmental posting violations for review
and action. The SVPBA will then notify the President and
his executive council of these non-compliant issues.
When officially notified of an HR violation, the area vice
president will be responsible for imposing disciplinary
action to all relevant parties associated with the
violation, ranging from a verbal reprimand to removal
from position dependent upon the frequency and/or
severity of the violation. All documentation relative to
the personnel actions taken against employees wiil be
placed in the employee's personnel file.
Submission of completed
search documentation to
include interview
questionnaires and hiring
evaluation matrix prior to the
hiring proposal being
submitted to the Office of
Equal Employment
Opportunity (EEO)*
Hiring selection process documents
not submitted to Office of EEO prior
to submission of hiring proposal
creates an unfair selection process
and risk of possible legal action
taken against the University
The EEO Office will provide the SVPBA a report of
college/departmental recruitment violations for review
and action. The SVPBA will then notify the President and
his executive council of these non-compliant issues.
When officially notified of an HR violation, the area vice
president will be responsible for imposing disciplinary
action to all relevant parties associated with the
violation, ranging from a verbal reprimand to removal
from position dependent upon the frequency and/or
severity of the violation. All documentation relative to
the personnel actions taken against employees wiil be
placed in the employee's personnel file.
System Policy 08.01 Civil Rights Protection and
Compliance
System Regulation 08.01.01 Civil Rights
Compliance
System Regulation 33.99.01 Employment
Practices
UAP 33.99.01.P0.01 Employment Practices
Executive Order 11.246 Office of Federal
Contract Compliance Programs
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Office of Human Resources
Violations of Human Resources Non-compliance
System Policy, System Regulation, University Rule
or University Adminsitrative Procedure Violated
Type of Violation
Risk of Non-Compliance
Confidential Release Form
being received in the Office
of Human Resources prior to
the hiring proposal being
extended
Failure to submit a Confidential
Release Form (Criminal History
Background Check) prior to the hire
date would constitute a violation of
federal and state laws, System
Policies and Regulaions and
University Rules and Administrative
Procedures
System Regulation 33.99.01 Employment
Practices
System Regulation 33.99.14 Criminal History
Record Information – Employees and Applicants
Rule 33.99.14.P1 Criminal History Record
Information – Employees and Applicants
UAP 33.99.14.P0.01 Criminal History Investigation
UAP 33.99.99.P0.16 Employment in Security
Sensitive Positions
UAP 33.99.01.P0.01 Employment Practices
The OHR will provide the SVPBA a report of
college/departmental background check violations for
review and action. The SVPBA will then notify the
President and his executive council of these noncompliant issues. When officially notified of an HR
violation, the area vice president will be responsible for
imposing disciplinary action to all relevant parties
associated with the violation, ranging from a verbal
reprimand to removal from position dependent upon
the frequency of the violation. All documentation
relative to the personnel actions taken against
employees wiil be placed in the employee's personnel
file.
Employment offer being
extended to candidates
Salary offers in excess of 10%
Rule 31.01.01.P1 Compensation Administration
above the minimum of the assigned UAP 31.01.01.P0.01 Compensation Administration
salary grade that are not approved UAP 33.99.01.P0.01 Employment Practices
by the Associate Vice President for
Human Resources prior to the offer
of employment being extended
would be in violation of University
Rules and Administrative
Procedures
The OHR will provide the SVPBA a report of
college/departmental violations regarding
unauthorized non-faculty offers in excess of 10% above
the position's assigned salary grade for review and
action. The SVPBA will then notify the President and his
executive council of these non-compliant issues.
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Correspondence Related to Violation
Office of Human Resources
Violations of Human Resources Non-compliance
Type of Violation
Risk of Non-Compliance
System Policy, System Regulation, University Rule
or University Adminsitrative Procedure Violated
Correspondence Related to Violation
Proper work reference
checks being conducted
prior to an offer of
employment being
extended
Work reference checks and success System Regulation 33.99.01 Employment
in previous employment not being Practices
verified and documented in the
UAP 33.99.01.P0.01 Employment Practices
hiring proposal to show that the
candidate being hired has the
experience required to perform in
the position is in violation of System
Regulations and University
Administrative Procedures
The OHR will provide the SVPBA a report of
college/departmental violations regarding not
conducting work reference checks and documenting
same in hiring proposal for review and action. The
SVPBA will then notify the President and his executive
council of these non-compliant issues. When officially
notified of an HR violation, the area vice president will
be responsible for imposing disciplinary action to all
relevant parties associated with the violation, ranging
from a verbal reprimand to removal from position
dependent upon the frequency and/or severity of the
violation. All documentation relative to the personnel
actions taken against employees wiil be placed in the
employee's personnel file.
Hiring proposal being
submitted by the hiring
department so that it is
received in the OHR five (5)
working days prior to the
effective hire date*
Hiring proposals not received in the UAP 33.99.01.P0.01 Employment Practices
OHR five (5) working days prior to
the effective hire date constitutes a
violation of University Administrative
Procedure
The OHR will provide the SVPBA with a report of
college/departmental hiring proposal violations for
review and action. The SVPBA will then notify the
President and his executive council of these noncompliant issues. When officially notified of an HR
violation, the area vice president will be responsible for
imposing disciplinary action to all relevant parties
associated with the violation, ranging from a verbal
reprimand to removal from position dependent upon
the frequency and/or severity of the violation. All
documentation relative to the personnel actions taken
against employees will be placed in the employee's
personnel file.
Page 3 of 9
Office of Human Resources
Violations of Human Resources Non-compliance
Type of Violation
Risk of Non-Compliance
System Policy, System Regulation, University Rule
or University Adminsitrative Procedure Violated
Correspondence Related to Violation
EPAs being submitted by the
hiring department so that it is
received in the OHR three (3)
working days prior to the
effective hire date
EPAs not received in the OHR three UAP 33.99.01.P0.01 Employment Practices
(3) working days prior to the
effective hire date of a new
employee delays the on-boarding
process
The OHR will provide the SVPBA a report of
college/departmentas late EPA submissions causing
delays in on-boarding and payment for new hires. The
SVPBA will then notify the President and his executive
council of these non-compliant issues. When officially
notified of an HR violation, the area vice president will
be responsible for imposing disciplinary action to all
relevant parties associated with the violation, ranging
from a verbal reprimand to removal from position
dependent upon the frequency and/or severity of the
violation. All documentation relative to the personnel
actions taken against employees wiil be placed in the
employee's personnel file.
Employees attending New
Employee Orientation on
their first day of work and
completing mandatory
federal employment forms
and providing necessary
original documentation to
ensure eligibility for
employment
Employees not reporting to New
System Regulation 33.99.12 New Employee
Employee Orientation on the first
Processing
day of work will violate federal and UAP 33.99.01.P0.01 Employment Practices
state laws, System Policies and
Regulations and University Rules
and Administrative Procedures that
could place the University at risk
and could result in fines and
penalties
The OHR will provide the SVPBA a report of
college/departments failure to advise and inform the
new hires to attend New Employee Orientation on their
first day of work. The SVPBA will then notify the President
and his executive council of these non-compliant issues.
When officially notified of an HR violation, the area vice
president will be responsible for imposing disciplinary
action to all relevant parties associated with the
violation, ranging from a verbal reprimand to removal
from position dependent upon the frequency and/or
severity of the violation. All documentation relative to
the personnel actions taken against employees wiil be
placed in the employee's personnel file.
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Office of Human Resources
Violations of Human Resources Non-compliance
Type of Violation
Risk of Non-Compliance
System Policy, System Regulation, University Rule
or University Adminsitrative Procedure Violated
Correspondence Related to Violation
EMPLOYEE TERMINATION AND CLEARANCE PROCESS
Employee Termination
If EPA is not initiated and
UAP 33.99.99.P0.01 Employee Clearance from
completed immediately upon
the University
receipt of employee seperation
notice, clearance of employee
after departure date could pose a
financial risk to the department and
the University
A clearance violation email will be sent to the
employee's supervisor and dean within 48 hours of the
initial clerance email sent by the OHR. A second
escalation via email will be sent to the appropriate vice
president and the Director of University Compliance.
The SVPBA will be provided a monthly report of
clearance related violations for review and action. The
SVPBA will then notify the President and his executive
council of these non-compliant issues. When officially
notified of an HR violation, the area vice president will
be responsible for imposing disciplinary action to all
relevant parties associated with the violation, ranging
from a verbal reprimand to removal from position
dependent upon the frequency and/or severity of the
violation. All documentation relative to the personnel
actions taken against employees wiil be placed in the
employee's personnel file.
Employee Termination
If response to clearance email is
UAP 33.99.99.P0.01 Employee Clearance from
not received by HR within a 24-hour the University
period after the initial clearance
email is sent, financial risks and
information security risks could be
compromised
A clearance violation email will be sent to the
employee's supervisor and dean within 48 hours of the
initial clerance email sent by the OHR. A second
escalation via email will be sent to the appropriate vice
president and the Director of University Compliance.
The SVPBA will be provided a monthly report of
clearance related violations for review and action. The
SVPBA will then notify the President and his executive
council of these non-compliant issues.
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Office of Human Resources
Violations of Human Resources Non-compliance
Type of Violation
Risk of Non-Compliance
System Policy, System Regulation, University Rule
or University Adminsitrative Procedure Violated
Correspondence Related to Violation
PERFORMANCE EVALUATIONS AND POSTION DESCRIPTIONS
Annual Performance
Evaluations
Non-receipt of annual performance System Regulation 33.99.03 Performance
evaluations from
Evaluations for Nonfaculty Employees
colleges/departments within the
University's established deadline
The OHR will provide the SVPBA a report of delinquent
annual performance evaluations related violations for
review and action. The SVPBA will then notify the
President and his executive council of these noncompliant issues. When officially notified of an HR
violation, the area vice president will be responsible for
imposing disciplinary action to all relevant parties
associated with the violation, ranging from a verbal
reprimand to removal from position dependent upon
the frequency and/or severity of the violation. All
documentation relative to the personnel actions taken
against employees wiil be placed in the employee's
personnel file.
EMPLOYEE GRIEVANCE PROCESS
Grievance Process
Non-receipt of written decision by
Vice Presidents within the
timeframe(s) established in Rule
32.01.02.P1 Complaint and Appeal
Process for Non-Faculty Employees
will result in inconsistent treatment
of employees and possible legal
action
System Policy 32.01 Employee Complaint and
Appeal Procedures
System Regulation 32.01.02 Complaint and
Appeal Process for Non-Faculty Employees
System Policy 08.01 Civil Rights Protection and
Compliance
System Regulation 08.01.01 Civil Rights
Compliance
Rule 32.01.02.P1 Complaint and Appeal Process
for Non-Faculty Employees
Page 6 of 9
The OHR will provide the SVPBA a report of grievance
related violations for review and action. The SVPBA will
then notify the President and his executive council of
these non-compliant issues. When officially notified of
an HR violation, the president will be responsible for
imposing disciplinary action to all relevant parties
associated with the violation, ranging from a verbal
reprimand to removal from position dependent upon
the frequency and/or severity of the violation. All
documentation relative to the personnel actions taken
against employees wiil be placed in the employee's
personnel file.
Office of Human Resources
Violations of Human Resources Non-compliance
Type of Violation
Risk of Non-Compliance
System Policy, System Regulation, University Rule
or University Adminsitrative Procedure Violated
Correspondence Related to Violation
EMPLOYEE REQUIRED TRAININGS
Orientation to the System
Employees will not have a good
overview of the System structure
and governance and key System
policies and regulations
System Policy 33.05 Employee Training
System Regulation 33.05.02 Required Employee
Training
UAP 33.05.02.P0.01 Employee Training
The OHR will provide the SVPBA a report of employees
who are delinquent in their required training. The SVPBA
will then notify the President and his executive council
of the employees who are delinquent in their required
training. When officially notified of an HR violation, the
area vice president will be responsible for imposing
disciplinary action to all relevant parties associated with
the violation, ranging from a verbal reprimand to
removal from position dependent upon the frequency
and/or severity of the violation. All documentation
relative to the personnel actions taken against
employees wiil be placed in the employee's personnel
file.
Employment Discrimination
and Sexual Harassment
Lack of overview of federal and
state laws and System policies and
regulations related to employment
discrimination, including prevention
of sexual harassment will increase
legal and financial risks
System Policy 33.05 Employee Training
System Regulation 33.05.02 Required Employee
Training
UAP 33.05.02.P0.01 Employee Training
The OHR will provide the SVPBA a report of employees
who are delinquent in their required training. The SVPBA
will then notify the President and his executive council
of the employees who are delinquent in their required
training. When officially notified of an HR violation, the
area vice president will be responsible for imposing
disciplinary action to all relevant parties associated with
the violation, ranging from a verbal reprimand to
removal from position dependent upon the frequency
and/or severity of the violation. All documentation
relative to the personnel actions taken against
employees wiil be placed in the employee's personnel
file.
Page 7 of 9
Office of Human Resources
Violations of Human Resources Non-compliance
Type of Violation
Risk of Non-Compliance
System Policy, System Regulation, University Rule
or University Adminsitrative Procedure Violated
Correspondence Related to Violation
Ethics
Lack of overview of System Ethics
Policy increases risks associated
with non-adherence, and
associated legal and/or financial
implication
System Policy 33.05 Employee Training
System Regulation 33.05.02 Required Employee
Training
UAP 33.05.02.P0.01 Employee Training
The OHR will provide the SVPBA a report of employees
who are delinquent in their required training. The SVPBA
will then notify the President and his executive council
of the employees who are delinquent in their required
training. When officially notified of an HR violation, the
area vice president will be responsible for imposing
disciplinary action to all relevant parties associated with
the violation, ranging from a verbal reprimand to
removal from position dependent upon the frequency
and/or severity of the violation. All documentation
relative to the personnel actions taken against
employees wiil be placed in the employee's personnel
file.
Information Security
Awareness
Violates safe computing and
information security practices;
related policies and laws; and,
potential wronful exposure of
data/information
System Policy 33.05 Employee Training
System Regulation 33.05.02 Required Employee
Training
UAP 33.05.02.P0.01 Employee Training
The OHR will provide the SVPBA a report of employees
who are delinquent in their required training. The SVPBA
will then notify the President and his executive council
of the employees who are delinquent in their required
training. When officially notified of an HR violation, the
area vice president will be responsible for imposing
disciplinary action to all relevant parties associated with
the violation, ranging from a verbal reprimand to
removal from position dependent upon the frequency
and/or severity of the violation. All documentation
relative to the personnel actions taken against
employees wiil be placed in the employee's personnel
file.
Page 8 of 9
Office of Human Resources
Violations of Human Resources Non-compliance
Type of Violation
Reporting Fraud, Waste &
Abuse
Risk of Non-Compliance
Employee cannot identify and
report instances of fraud, waste
and abuse
System Policy, System Regulation, University Rule
or University Adminsitrative Procedure Violated
System Policy 33.05 Employee Training
System Regulation 33.05.02 Required Employee
Training
UAP 33.05.02.P0.01 Employee Training
*Processes may change once the new HR Platform has been implemented
Page 9 of 9
Correspondence Related to Violation
The OHR will provide the SVPBA a report of employees
who are delinquent in their required training. The SVPBA
will then notify the President and his executive council
of the employees who are delinquent in their required
training. When officially notified of an HR violation, the
area vice president will be responsible for imposing
disciplinary action to all relevant parties associated with
the violation, ranging from a verbal reprimand to
removal from position dependent upon the frequency
and/or severity of the violation. All documentation
relative to the personnel actions taken against
employees wiil be placed in the employee's personnel
file.