Personnel Management Review Criteria

I. Human Resources Department Policy and Organization

A.	Does the Human Resource department maintain and update personnel practices and procedures in accordance with current collective bargaining agreement language, Board of Trustees policies, and federal/state regulations?
B.	Is the staffing in Human Resources sufficient to support the required functions of the program? Is there clear delineation of responsibilities within Human Resources?
C.	How are Human Resource staff notified of changes, new developments, etc. (i.e. is information communicated to staff after meetings? Are e-mails and correspondence routed to appropriate staff)?
D.	Are Delegation of Authority forms completed and on file? Are they updated as presidential or Chief Human Resource Office turnover occurs?
E.	What is the working relationship of Human Resources with the payroll section? With the college/university president and other managers?
F.	Are administrative lines of authority clearly defined to support human resources decision making?
G.	Does the Human Resources Office have a clear understanding of the college/university mission, vision, and President’s expectations (authorities, control issues, priorities, strategic directions)?

II. Records Management

A.	Are required data elements for SCUPPS screens completed and updated? Is SCUPPS information properly coded? Are the reconciliation queries used to improve data integrity?
B.	Is the new employee forms packet appropriate for the respective employee groups?
C.	Is SCUPPS being used as the primary data entry system?  Are SEMA4 on-line entries in accordance with the established bona fide exceptions?
D.	Are SCUPPS HR and/or Payroll reconciling reports being properly used and maintained?
E.	Are there adequate systems established for the approval, use, and reporting of vacation and sick leave, personal leave, and other types of leave? Are accurate records kept of these balances?
F.	If campuses utilize Exception Time Reporting, are local procedures consistent with guidelines in #PER0001?
G.	Is medical documentation available to support long-term usage of sick leave?
H.	Are insurance, medical, and worker's compensation records and documents filed separately from other personal information?
I.	Are appropriate file logs being maintained for faculty in accordance with language in the IFO Agreement? (Universities Only)
J.	Are I-9 forms completed correctly, filed on a timely basis, and readily accessible? Are appropriate retention periods followed? (Are there adequate tracking systems in place for end dates of work permits, Visas, etc.?)
K.	Are occupational medical records (audiograms, pulmonary function tests, etc.) filed so that they are available, and retained for the length of employment plus 30 years?
L.	Are all required posters (OSHA, Worker's Compensation, Minimum Wage, Nurseline, etc.) displayed?
M.	Is the OSHA Occupational Safety and Health Log (Form 200300) properly maintained and posted? Has the OSHA 300A log been properly posted?
N.	Are the OSHA logs for the previous five years available for review?
O.	Are the training recprds for all mandatory training (Right to Know, Personal Protective Equipment, Bloodborne Pathogens, etc.) available for review?
P.	Is access limited to personnel records so that confidentiality is maintained?
Q.	Is overall personnel file maintenance adequate?

III. Staffing

A.	Are official transcripts of faculty/unclassified employees on file prior to placement on payroll? Are licensure records up-to-date for technical college faculty?
B.	Is the Position Approval process well documented and followed?
C.	Is the Appointment Request process well documented and followed?
D.	For unclassified additional/overload assignments and release time, is there adequate rationale for the payment? For non-teaching assignments of administrators or unclassified professionals, are additional duties reasonably outside the scope of the primary assignment?
E.	Are contracts for customized training work properly documented?  Are customized training faculty hired and tracked in accordance with Article 28?  What is the employee vs. independent contractor ratio?  Are there sufficient work differences to support the use of independent contractors?
F.	Have employees who have received Early Separation Incentives been rehired? If so, under what documented circumstances?
G.	Is proper documentation on file regarding position audits? Are delegated audits consistent with DOER Standards?
H.	When submitting audit requests, does the campus adequately describe or highlight the changes in the position and supply adequate supportive rationale for the change?
I.	Have layoffs/staff reductions been implemented consistent with contractual agreements?
J.	Are copies of DOER and MnSCU reference materials related to classified staffing processes available and accessible for human resource staff use (i.e. DOER Job Audit Manual, E & T Scoring Guides, Delegation Manual, DOER Administrative Procedures, etc.)?
K.	Are minimum and position qualifications assessed appropriately and processed consistently?
L.	Are classified vacancies filled in accordance with contractual and DOER procedures or requirements?
M.	Does the staff use Resumix/Vacancy builder effectively?

IV. Benefits Administration

A.	Do tuition waivers meet contractual/plan eligibility parameters? Are there adequate measures established to track tuition waivers?
B.	Are insurance decisions managed and processed on a timely basis? Are there systems in place for monitoring insurance eligibility changes?
C.	Are billing procedures for employer paid insurance for technical college retirees followed?
D.	Are FMLA leaves granted in compliance with the law and are records kept and properly maintained?
E.	Are leaves of absence granted in accordance with their collective bargaining agreement and System policies? Are benefits during leaves in compliance with contracts/plans?  Do seniority rosters correctly reflect bargaining agreement language regarding the treatment of leaves of absence?
F.	Are workers compensation and unemployment compensation claims actively managed?
G.	Have appropriate leave and phased retirement forms been filed with TRA on a timely basis?
H.	Are there adequate processes in place to track eligibility for DCR elections and to provide timely notices?
I.	Is there a process in place to solicit retirement fund coverage information from all new hires?
J.	Are there adequate processes in place to track eligibility for the Supplemental Retirement Program and to verify that appropriate deductions are taken?
K.	Are administrator positions properly coded in SEMA4 for unemployment compensation reporting?

V. Training and Development

A.	What is the approval ratio for promotion, sabbatical and professional improvement applicants? (Universities Only)
B.	What type of documentation is required for sabbatical leaves/applications?
C.	Are completed reports on file regarding what occurred during the sabbatical leave or how the professional improvement funds were spent?
D.	Do the completed reports on sabbaticals and improvement funds match the proposal request? If not, is there documentation to support why they don't match?
E.	What is the average amount of time faculty spend in rank prior to promotion? (Universities Only)
F.	Has the Human Resources Office developed and implemented training and development programs in response to campus needs? (New Employee Orientation; Supplemental Supervisory Training [periodic meetings, workshops on specific topics, listserv]; Leadership Development [formal and informal programs]; Mandatory General Training: Sexual Harassment/Non-discrimination, Data Privacy, field specific training; Mandatory Safety Training [Bloodborne pathogens/Respiratory protection, Right to Know; Lockout/Tagout; Confined Spaces]; other staff development.)
G.	Is there a tracking system in place to track completion of the following: New Employee Orientation, Supervisory Training (for supervisors who are required to complete training), mandatory general training, mandatory safety training)?
H.	Is employee development linked to individual development plans? How is this tracked?
I.	How is funding allocated for staff development in the college/university? Are there identified priorities for funding staff development activities in the college/university?
J.	Are training and development plans sufficient to meet the needs of Human Resources staff?

VI. Performance Appraisal

A.	Are performance appraisals completed and on file in accordance with language in appropriate collective bargaining agreement/plan?
B.	Are there systems/procedures in place to ensure timely review of faculty for non-renewal and tenure/ non-probationary status; classified employees for permanent status certification?

VII. Compensation

A.	Are unclassified appointments (non-faculty and faculty adjunct) made within parameters outlined in the contract or plan? Is there adequate documentation for appointments made outside the parameters?
B.	Are classified Achievement Awards and satisfactory performance increases for eligible employees based on documented appraisal of performance?
C.	Are Exceptional Achievement Incentive programs for MSUAASF employees approved in accordance with the intent of the bargaining agreement language? (Universities Only)
D.	Have equity adjustments, step increases, above minimum appointments, discretionary promotional increases, etc. been properly documented and processed in compliance with contract/plans? If step increases have been withheld, is there appropriate supporting documentation and a corrective action plan available?
E.	Have severance payments been processed in accordance with appropriate collective bargaining/plan language?
F.	Do appointments above midpoint for Administrators have the necessary Office of the Chancellor staff approval? Do appointments above midpoint for MSUAASF (Universities) have the necessary Office of the Chancellor staff approval?
G.	Has the campus complied with salary increase parameters as established in the  Administrators Plan?
H.	Are Customized Training Representative progression adjustments and incentive bonuses processed in accordance with procedures and contract language? (Colleges Only)
I.	Is relevant work experience evaluated accurately for step placement for MSCF faculty?  Has the college appropriately exercised their delegated authority to place MSCF on column II?  (Colleges Only)

VIII. Employee and Labor Relations

A.	Is there evidence of satisfactory orientation for new employees?
B.	Has a campus-wide safety committee been established and does it meet on a regular basis?
C.	Is there evidence of grievance activity? If not, why not?
D.	Is there evidence that deans/managers consult with Human Resource staff regarding grievance matters?
E.	Are grievances responded to in a timely manner?
F.	Are grievance settlements at the campus level settled in accordance with campus levels of authority?
G.	What do supervisors and managers believe to be the strengths and weaknesses of the personnel office regarding labor relations matters?
H.	Are seniority rosters in compliance with contracts?
I.	Does the Human Resource Office have a satisfactory means of communicating information to employees?
J.	Is there evidence of Labor/Management Committees at the local level and documentation of agenda items?

IX. Assessment of Human Resource Office performance, (based on interviews with administrators, managers, faculty, and staff)

A.	What are the overall strengths and weakness of the Human Resource Office?
B.	When approached for advice, do Human Resource staff understand the issues and concerns? Are managers confident with the advice that is given?
C.	Do you feel the Human Resource staff has sufficient technical and managerial competencies?
D.	What relationship does the Human Resource staff have with Office of the Chancellor Personnel and Labor Relations staff? How can that relationship be improved?
E.	How do Human Resource staff assist supervisors and managers with problem resolution? For example, when appropriate, do staff help resolve problems by presenting alternative solutions to problems, or is the staff more prescriptive in its approach?