HUMAN RESOURCES ASSESSMENT
For
ELIZABETH CITY STATE UNIVERSITY
Prepared by Laurie Charest
February, 2008
EXECUTIVE SUMMARY
At the request of General Administration of The University of North Carolina, a
review of the Elizabeth City State University human resources function was conducted.
The review concentrated on compliance issues and included human resources functions
for faculty, EPA non-faculty and staff.
Major Findings:
1. The human resources function at Elizabeth City State University is in substantial
compliance with most human resources requirements. Additional detail about
compliance findings is included below.
2. The Human Resources staff has been stable with very low turnover. Staff
members conduct their duties in a professional, confidential, service-oriented
manner. Human Resources staff are valued for their expertise and
responsiveness. They are relied upon for advice and assistance.
3. Recent changes have been made in structure and responsibility of Human
Resources. These changes are not fully implemented but are progressing well.
Recently, the Human Resources offices were moved from a separate building at
the periphery of campus to the main administrative building. The new location
makes the human resources function more visible and accessible.
4. Human Resources has a robust web presence and a comprehensive set of policies
accessible on the web. This is particularly noteworthy since this work has
apparently all been accomplished within the last two years. Additional policies
are in development and web enhancements are planned.
5. The one area where particular attention is needed is in the EEO/ADA area.
Appropriate policies and complaint procedures are in place; however, additional
communication or web presence is needed to ensure that employees know who to
contact. In addition, an Equal Employment Opportunity Action plan that meets
all Federal requirements needs to be prepared annually.
Overall, the Human Resources function is performing well and providing
excellent service to the campus community. This is especially noteworthy because of the
difficulty of having expertise in all areas of human resources in a small institution.
This report provides a summary of the compliance findings for each area of
human resources as well as recommendations for improvement.
1
STAFFING AND STRUCTURE
The Human Resources division is headed by Vice Chancellor Jean Sims and is
responsible for EPA and SPA recruitment and selection, classification and compensation,
benefits, employee relations, employee development and training, human resources
information systems and payroll. The human resources leadership position was recently
elevated to the Vice Chancellor level, reflecting the importance that the Chancellor and
the University place on human resources functions. Responsibility for EPA human
resource functions with the exception of promotion and tenure has been delegated to
Human Resources and is currently in transition. In addition, payroll responsibility has
recently been moved to Human Resources. Human Resources is responsible for student
hiring and will be assuming responsibility for student payroll. EEO/ADA responsibility
has been moved out of Human Resources. Mr. Brutus Jackson, Director of Career
Services, has been appointed as EEO/ADA Officer.
There are nine permanent staff positions in the Human Resources office. An
additional position has been approved but is not yet funded. The staff has been very
stable with a low level of turnover. Human Resources has a clear set of goals and
objectives. Technology related objectives are prominent demonstrating that the staff
embrace the use of technology.
Of particular note is the careful manner in which Human Resources staff have
been assigned responsibility as “backup” to other staff members. With a small staff,
cross training is imperative. ECSU Human Resources has not only insured cross training,
but has assigned responsibility for back up of each area to particular staff members.
ECSU strongly supports the professional development of its Human Resources staff and
has memberships in human resources professional organizations.
Human Resources staff were also praised for their strong work ethic and their
timely response to requests for information and assistance.
Recommendations
1. When funding is identified, move quickly to fill new Human Resources position
that is designed to work primarily with EPA human resources issues. This
position is key to the smooth transition of EPA responsibilities.
2. As payroll staff are integrated into the Human Resources organization, use the
opportunity to examine processes to ensure that they are as streamlined as
possible.
EEO/ADA
The university has a designated EEO/ADA officer. This responsibility was
recently removed from Human Resources because of concerns about potential conflicts.
2
These duties were added to those of the Director of Career Services. This individual is
working to learn all aspects of these responsibilities.
Appropriate policy statements and complaint procedures are in place. There is
currently no information on the ECSU website about the EEO/Affirmative Action office,
making it difficult for a faculty or staff member with a concern to know who to contact.
Campus announcements were made at the time these responsibilities transitioned;
however, there is need for more visibility for this function on a continuing basis.
The EEO Officer has an active role in searches and hiring decisions. He is
responsible for ensuring that all search committee members have received hiring training
offered by Human Resources. He signs off on all hiring actions indicating compliance
with hiring and selection procedures. Currently, there does not appear to be any review
of salary equity issues within the EEO function.
ECSU has an approved State EEO/Affirmative Action plan. There is need to
ensure that a plan that meets all Federal requirements is developed and updated on an
annual basis.
The EEO Officer is also responsible for ADA compliance. There does not appear
to be any existing process for employees with disabilities to “self-identify” or any formal
process for employees to request accommodation.
There is some awkwardness and uncertainty in the division of responsibility
between Human Resources and the EEO/ADA Officer. For example, the EEO/ADA
Officer is designated to receive and handle Sexual Harassment and Workplace
Harassment complaints; however, training and policy development in these two areas is
provided by Human Resources. In addition, at the time the EEO Officer “signs off” on
prospective hires, he does not necessarily have proposed salary information or
information about salary comparisons.
Recommendations
1. Ensure that an EEO/Affirmative Action plan that meets all Federal requirements
is developed and updated on an annual basis.
2. Ensure that the EEO Office has visibility on the ECSU website so that faculty and
staff with concerns can locate the office. Provide links to key policies and forms
from the EEO website.
3. Formalize procedures for employees with disabilities to “self-identify” and
procedures for disabled employees to request accommodation.
4. Insure that salary equity is being adequately monitored for both EPA and SPA.
Currently, Human Resources provides guidance on individual salary decisions.
3
Insure that salary equity is monitored on an overall basis (see Classification and
Compensation section).
5. Place EEO/ADA responsibility for faculty and staff in Human Resources. While
it is probably not reasonable to have a full-time EEO/ADA Officer at an
institution the size of ECSU, it is imperative that the function be adequately
staffed, including the provision for backup in the absence of the EEO Officer. It
is difficult to ensure backup when this function is assigned as additional duties in
another area. In addition, it seems appropriate to combine the plan development,
complaint handling and training responsibilities. Consider assigning EEO Officer
responsibilities to the newly approved position, if funded. By placing these
responsibilities in Human Resources, adequate backup for the EEO Officer can be
identified. In addition, a comprehensive approach to handling EEO/ADA
responsibilities can be followed.
6. Develop strategies for multiple avenues of “intake” in order to alleviate any
concerns about conflict. For example, complaint procedures might identify
several individuals to receive complaints. It would not be necessary for all of
these individuals to report directly to the EEO Officer; however, all would need to
be thoroughly trained in handling these complaints.
RECRUITMENT AND SELECTION
Human Resources is responsible for recruitment and selection of all permanent
and temporary faculty and staff at ECSU, including student employees. Human
Resources is currently implementing PeopleAdmin for online application and
employment processes. The effective date of the implementation is February 1, 2008.
Currently, PeopleAdmin is live and applicants may apply through the online application
process. Effective February 1, 2008, applicants may only apply through the online
process. ECSU has made provision to accommodate applicants who do not have internet
access through work stations in the Human Resources office or by advising applicants to
use work stations available at the public library. This implementation is an important
step as online application and selection processes represent best practice in human
resources.
ECSU Human Resources meets all State posting requirements using both the
PeopleAdmin posting on the ECSU website and posting through the Office of State
Personnel’s posting. Additional advertising is done for EPA and some SPA positions.
Under both the current process and the new PeopleAdmin process, Human
Resources staff are responsible for screening applicants for SPA positions to ensure that
they meet the minimum qualifications. ECSU will use the screening capabilities that
exist within PeopleAdmin to assist in the process. Applicants who meet the minimum
requirements for SPA positions will be referred to the hiring department. If any
applicants have preference priorities, these will be communicated to the hiring
department via email. Once the hiring department has determined which candidates will
4
be interviewed, the hiring department notifies Human Resources. Human Resources
schedules interviews for SPA employees. All applicants for EPA positions are forwarded
to the hiring department. For EPA positions, the hiring departments are responsible for
scheduling interviews.
ECSU uses search committees for all permanent EPA and SPA positions unless a
special waiver is received. ECSU requires that all members of search committees have
participated in hiring training. Human Resources offers hiring training on a regular basis.
The EEO Officer is responsible for monitoring the composition of search committees.
When the hiring department has selected the candidate, the hiring department
completes an online “hiring proposal” which includes non-selection reasons for all
interviewed candidates. The “hiring proposal” is forwarded to the EEO Officer for
review and approval. Once the hire is approved, Human Resources sends a written job
offer to the candidate and a written acceptance is required.
Human Resources is responsible for conducting pre-employment background
checks. ECSU conducts background checks on all prospective employees including
students and temporary employees. Currently, ECSU uses Castlebranch to conduct these
checks. In addition, Human Resources is responsible for completing the I-9 and E-verify
process for all employees. All employees are required to report to Human Resources
within three days of hire to complete these processes. Human Resources also conducts
credentials verification for all permanent employees by requiring submission of official
transcripts. Human Resources also monitors any nepotism issues that arise for SPA
employees and is responsible for annual reporting to the Board of Trustees.
ECSU has adopted an eleven-month limit for employment of temporaries. This
limit is monitored by Human Resources and Payroll.
Recommendations:
1. Proceed with implementation of PeopleAdmin. This is an important step forward
that represents “best practice” in human resources.
2. Consider the possibility of using the Office of State Personnel’s “continuous job
posting” provision for classifications in which there are regular openings and
sufficient difficulty in attracting qualified applicants such as information
technology and public safety.
3. As the EPA position is filled and responsibilities transition, review EPA hiring
process to ensure that it is as streamlined as possible. Consider offering optional
services to departments such as screening of candidates and/or scheduling of
interviews.
5
CLASSIFICATION AND COMPENSATION
Human Resources is responsible for classification and compensation issues for
EPA and SPA employees. For SPA employees, ECSU is in the process of converting
from a job classification system to a “career banding” system developed by the Office of
State Personnel. Approximately two-thirds of the SPA employees have been converted
to the new “career banded” system. For the remaining positions, ECSU has done
preliminary work and planning and is prepared to move forward to convert these
positions as soon as the Office of State Personnel allows. ECSU seems well-positioned
to meet the Spring, 2008 deadline for conversion to career banding.
ECSU has provided training in career banding to supervisors and employees.
Supervisors are being asked to attend a second round of training concentrating on the
career development aspects of the new system. Although ECSU has only one staff
member dedicated to classification and compensation, another staff member is assigned
as backup and is prepared to step in if needed. The Office of State Personnel has given
ECSU “delegated authority” to manage career banded positions in the job families that
have already been implemented. ECSU recently received a substantial allocation from
the State’s Salary Adjustment Fund which was used to bring salaries of certain career
banded employees to more appropriate salary levels.
Human Resources is responsible for calculating “qualifying salaries” for newly
hired employees and communicating this information and any salary equity concerns to
hiring departments. Hiring departments make final salary decisions. ECSU complies
with Office of State Personnel policies for salary administration and pay increases.
ECSU utilizes on call and shift premium pay for certain employees. ECSU
complies with State policy by preparing an annual list of affected classifications and
submitting the list to the Office of State Personnel.
As responsibilities for EPA employees transition to Human Resources, staff are
preparing to take on additional responsibilities. The Vice Chancellor serves on the
Human Resources Advisory Board at General Administration and is knowledgeable
about classification of EPA non-faculty positions. Staff are aware of EPA non-faculty
salary ranges and familiar with College and University Professional Association for
Human Resources surveys as sources for salary comparisons. Human Resources staff are
aware of Board of Governors policies governing salary increases for EPA employees and
will be assuming responsibility for complying with these policies. ECSU needs to
complete a policy on Non-salary and Deferred Compensation for EPA employees.
A key goal of Human Resources is to obtain “Management Flexibility” to EPA
personnel issues. The process to obtain this authority requires that key policies and
procedures are in place.
ECSU Human Resources is preparing to undertake its first faculty salary equity
study. A faculty committee will be appointed to work with Vice Chancellor Sims. The
6
committee is expected to complete its review and issue recommendations by the end of
the calendar year.
Human Resources is also responsible for ensuring compliance with the Fair Labor
Standards Act (FLSA) including proper designation of positions as subject to or exempt
from FLSA. Human Resources conducted a review of all non-faculty positions to ensure
compliance with new FLSA definitions. Employees that are not exempt from the Fair
Labor Standards Act are notified at orientation that the university may, at its discretion,
choose to compensate overtime by the use of compensatory time.
Recommendations
1. Complete policy on Non-salary and Deferred Compensation for EPA employees.
2. Proceed with faculty salary equity study. As SPA positions are career banded and
more salary flexibility exists, develop a plan for regular monitoring of overall
salary equity for SPA employees (see EEO recommendations).
3. Proceed with effort to obtain Management Flexibility. This effort should be
integrated with the transition of EPA personnel responsibilities to ensure that
Human Resources staff are all adequately trained and prepared to assume these
responsibilities.
BENEFITS
Human Resources is responsible for benefits for all faculty and staff. ECSU uses
on-line orientation for all faculty and staff. The Benefits Administrator is responsible for
sending new faculty and staff a letter about the need to complete the online orientation.
Additional information such as health insurance comparison charts and program
descriptions are provided in this mailing. Staff report no complaints about the online
orientation. New SPA employees are returning orientation forms in a timely manner, but
Human Resources staff are spending time tracking down late forms from new faculty and
EPA non-faculty. Human Resources staff does a good job of monitoring and following
up on forms that are not returned in a timely manner. New faculty and staff are also
required to sign an acknowledgement form that indicates they have completed the
orientation and have read certain key policies.
The Benefits Administrator regularly attends the UNC Benefits Network meetings to
stay abreast of benefit changes and issues.
ECSU has an Insurance Committee that makes decisions regarding employee paid
insurance plans. Recently, the scope of the committee has been expanded to include
wellness. The most recent issue being considered by the committee is the possibility of
payroll deducted automobile insurance. Because ECSU is on Central Payroll, they may
not be able to get an additional “payroll slot” for auto insurance.
7
Human Resources monitors contribution limits for tax-deferred savings plans on
an individual basis. Human Resources also provides counseling to employees moving
from SPA to EPA using the comparison matrix developed by General Administration.
Human Resources works with Academic Affairs to implement the Phased
Retirement program. Human Resources conducts annual information sessions about the
program and is responsible for producing lists of eligible faculty. Academic Affairs is
responsible for communication to eligible faculty.
Recommendations
1. When providing counseling to employees whose positions are moving from SPA
to EPA, in addition to using the comparison matrix provided by General
Administration, use the “waiver” form provided by General Administration to
document the employee’s decision.
2. Add Improper Relationships with Students Policy to the list of policies that
faculty and staff “acknowledge” reviewing as part of the orientation process.
EMPLOYEE RELATIONS
Human Resources is responsible for employee relations issues for all faculty and
staff including discipline and dismissal, grievance and complaint procedures, mediation,
performance management, and the Employee Assistance Program. Disciplinary and
grievance procedures are in place and are readily available as part of the ECSU Policy
Manual. Human Resources provides counseling and advice to faculty and staff and
supervisors regarding the use of these policies. Mediation is used as a part of the SPA
Grievance process and one HR staff member is a certified mediator. Few formal
grievances are filed and most are resolved at the campus level.
Human Resources is responsible for the performance management process. The
SPA performance management process is documented in the ECSU Policy Manual.
Human Resources collects and review performance appraisals on an annual basis. In
addition, training in the SPA performance management process is provided regularly.
SPA performance pay disputes are handled through the SPA grievance process; however,
no disputes have yet been filed. ECSU has recently implemented an annual performance
review requirement for EPA non-faculty positions. Although not required, this represents
“best practice.” ECSU has also implemented a procedure to evaluate the work of
temporary employees.
While most grievances are resolved on campus, faculty and staff may choose to
file complaints with outside agencies such as the Equal Employment Opportunity
Commission. Legal Counsel reports that there has been a recent increase in the number
of EEOC complaints filed; however, the numbers are still quite low and there does not
appear to be any particular trend.
8
ECSU also participates in the Office of State Personnel Employee Assistance
Program which provides an important resource for faculty and staff dealing with nonwork-related problems. Human Resources staff report that utilization is relatively low,
but that important services are being provided and used by those in need.
ECSU has had a Staff Senate for a number of years; however, until this year, the
Senate represented only SPA employees. The Senate has recently been “reconstituted” to
represent SPA and EPA employees. The Senate is in the process of reviewing and
amending its bylaws to incorporate these changes.
Recommendations
1. Insure that faculty and staff have easy access to internal complaint procedures by
making the procedures/forms more visible on the web site.
TRAINING AND DEVELOPMENT
Human Resources is responsible for providing training and development
opportunities for ECSU faculty and staff. In addition, Human Resources provides
institutionally mandated training in diversity and customer service for faculty and staff.
Human Resources uses online web-based registration for it course offerings. Human
Resources offers a robust set of training opportunities including customer service,
workplace violence, PeopleAdmin, career banding, performance management, sexual
harassment, and retirement planning. A special supervisory training program has been
offered in the past but has been temporarily halted. A Leadership Development Institute
was offered under the sponsorship of the previous Chancellor. An ECSU staff member is
a certified instructor and offers the Office of State Personnel’s Equal Employment
Opportunity Institute on site. ECSU uses the Office of State Personnel’s online AIDS
training to meet the State’s requirement.
Currently, Human Resources is working with the Graduate School and
Institutional Research to conduct an online needs assessment that will be useful in future
program planning.
Human Resources is also responsible for the Tuition Waiver and Academic
Assistance programs through which faculty and staff can attend classes at UNC system
universities or accredited educational institutions. Staff report strong utilization of these
programs.
Human Resources also offers specialized training on request by departments on
campus. Human Resources is investigating the potential use of BlackBoard or similar
technology to make courses available as a refresher option.
9
Recommendations:
1. Place priority on insuring that adequate supervisory training is available. If
funding can be identified, consider joining the Office of State Personnel contract
for DDI training materials. DDI is a highly developed, effective supervisory
training curriculum. ECSU has used this curriculum in the past, but has
discontinued its participation in the group contract because of funding.
2. Use needs assessment results to guide curriculum development efforts to ensure
that “optional” training is responsive to both institutional and employee needs.
3. Consider implementing a leadership development program. Evaluate the previous
Leadership Development Institute to determine whether it should be reinstated or
modified. It is important that any such program be fully supported by the
university administration and reflect the leadership values of the administration.
INFORMATION SYSTEMS
ECSU implemented Banner HR in 2004. Staff indicate that the system is stable
and that they are confident in the accuracy of the data. Currently, ECSU is working on
implementing Banner leave. Human Resources is currently inputting leave data into the
system, and employees are able to view their individual leave balances. Human
Resources is testing web-based entry for employees, and the Human Resources
department will begin piloting this phase shortly. In addition, ECSU is inputting benefits
deduction data so that employees can view information about their coverage and
deductions. Human Resources plans to implement budget management and position
control modules of Banner next. A Human Resources staff member is learning Web
Focus and developing standard reports needed by the department. Staff report that the
Personnel Data File (PDF) is still difficult to produce from Banner.
As noted earlier, ECSU is implementing PeopleAdmin for recruitment and
selection. In addition, ECSU plans to use PeopleAdmin for performance management.
Currently, there is no automated interface between PeopleAdmin and Banner.
Like other institutions on Central Payroll, Human Resources staff must “double
enter” human resources data into both Banner and the State’s Personnel Management
Information System (PMIS) since PMIS feeds Central Payroll. Hopefully, with the
advent of the State’s new personnel and payroll system, an automated feed from Banner
can be developed to eliminate this duplication of effort.
Recommendations:
1. Investigate the possibility of interfacing PeopleAdmin directly with Banner in
order to reduce data entry and opportunity for error.
10
2. Consider other possible uses of the web self-service portion of Banner including
address changes, viewing of beneficiary designations, etc.
11
POLICIES AND PROCEDURES
ECSU has a comprehensive policy manual available online. The manual includes
a large number of personnel policies, all of which appear to be up to date. This is
especially impressive since most of this policy development and organization occurred
within the last two years. In addition, ECSU has a documented policy development and
approval process which is used consistently as new policies are brought online. Policies
are consistent with Office of State Personnel and Board of Governors policies. In almost
all cases, ECSU has approved policies where institution specific policies are required. A
few policies are under development or need to be added to complete the manual.
In addition to the policy manual being readily accessible on the web, the Vice
Chancellor for Human Resources reports that she regularly “spotlights” a particular
policy with additional explanation or communication to the campus community. Campus
emails are sent to remind the campus community of key policies and deadlines.
The Human Resources website also contains a very comprehensive “forms”
listing that allows faculty and staff to print any of the human resource related forms.
Also, the Human Resources office maintains a bulletin board of mandated
postings and information of use to employees. The bulletin board is in an accessible
location, up to date, and appears to include all required postings.
Recommendations:
1. Complete the work that is underway on the Conflict of Interest Policy. A draft
policy exists but needs to be completed, formalized and communicated.
2. Develop a Non-salary and Deferred Compensation policy consistent with the
Board of Governors policy.
3. Develop a policy on illegal drug use for faculty and staff. The current policy on
illegal drug use applies only to students.
FACILITIES
As noted earlier, the Human Resources staff was recently moved to a new
location. The facilities are located in the main Administrative Building. The offices are
spacious and provide adequate confidentiality for dealing with personnel issues. There is
an adequate and welcoming reception area. The transition of two payroll staff members
to the Human Resources office will require additional space. Space has been allocated
for this purpose in the suite next to the Human Resources office.
12
Individuals Interviewed
Paula Bowe, Personnel Technician
Bernette Brown, Attorney
Lynn Cooper, Personnel Technician
Paula Gasaway, Personnel Technician
Brutus Jackson, EEO/ADA Officer
Donna James-Whidbee, Staff Development Specialist
Jean Moore Sims, Vice Chancellor for Human Resources
Anitra Snowden, Payroll Clerk
Queenie Turner, Personnel Technician
Mavis Ward, Personnel Analyst
13