SHRA Employees

602.2 SPA Employees

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Policy and Procedure Statements

602.2.1 HIRING

When a staff (SPA) position becomes vacant, the supervisor must follow established organizational lines to the appropriate Vice Chancellor or Chancellor for approval. Once the approval has been obtained and communicated to Human Resource Services, the position may be posted. The following policies pertain to the hiring process:

• Acting Promotion 4-17 http://www.osp.state.nc.us/manuals/2002/Promotion.pdf
• Employment of Relatives (Nepotism) http://www.osp.state.nc.us/manuals/manual99/selectio.pdf
• Priority Reemployment Consideration for RIF Employees 2-19 http://www.osp.state.nc.us/manuals/manual99/rifprior.doc
• Priority Reemployment for Employees Removed for Violation of G.S. 126-14.2 2-16 http://www.osp.state.nc.us/manuals/manual99/exem14-2.doc
• Priority Reemployment for Policy-Making/Confidential & Exempt Managerial Employees 2-12 http://www.osp.state.nc.us/manuals/manual99/polmkgpr.doc
• Priority Referral System 2-33 http://www.osp.state.nc.us/manuals/manual99/prrefsys.doc
• Promotional Priority 2-27 http://www.osp.state.nc.us/manuals/manual99/promprio.doc
• Recruitment and Posting of Vacancies 2-1 http://www.osp.state.nc.us/manuals/manual99/recruit.doc
• Selection of Applicants 2-6 http://www.osp.state.nc.us/manuals/manual99/selectio.doc
• Veteran's Preference 2-29 http://www.osp.state.nc.us/manuals/manual99/vet.doc

602.2.2 Merit-Based Recruitment and Selection Plan

Background and Purpose - The purpose of this merit-based recruitment and selection plan is to fill positions subject to the State Personnel Act from among the most qualified individuals. This plan is a reiteration of a long-standing practice, which prevents any political influence in the hiring process and is being written at the direction of the Office of State Personnel to more fully effectuate SB886.

In the recruiting and selection process, Appalachian State University will give equal employment opportunity to all applicants, without regard to race, religion, color, creed, national origin, sex, age, disability, sexual orientation, or political affiliation/influence; and will be based solely on job related criteria. The recruitment and selection facilitates the staffing needs of employment departments, and will be based on fairness, integrity and the advancement of diversity in the workforce. The recruitment and selection process will comply with all Federal and State laws, regulations, and policies.

Commitment from Management - The officers of the University accept responsibility for ensuring that all hiring practices are applied consistently and equitably, thereby demonstrating commitment and support of the merit-based recruitment and selection plan. Positive efforts will be made to recruit qualified individuals including minorities, women and persons with disabilities for applicant pools using contemporary human resource practices.

Political Affiliation and Patronage - Preferential treatment will not be given to any private organization or individual based on political affiliation or influence.

Communication and Training - After receiving approval from the State Personnel Commission, employees will be informed of the merit-based recruitment and selection plan and processes by an advertisement in the Appalachian Scene, on the Human Resource Services website , and by e-mail to all University subscribers. Additional information, such as a copy of the plan, will be available in Human Resource Services. Employees with questions may contact Human Resource Services at 262-3186. In addition, Appalachian State University will include the plan in ASU's Policy and Procedures Manual. Role Definitions/Expectations

Administrative Cabinet is responsible for leadership in developing and implementing merit-based procedures and demonstrating commitment and support for merit-based recruitment and selection.

Department managers and supervisors are responsible for evaluating the need for filling vacant positions; maintaining accurate and current position descriptions for subordinate jobs; understanding the concepts of the merit-based system and communicating the process to employees and applicants; making every effort to achieve and maintain a diverse workforce; demonstrating commitment and support for merit-based recruitment and selection; making all hiring decisions based on merit principles; and documenting selection decisions.

Human Resource and Equal Employment Opportunity (EEO) staff are responsible for demonstrating commitment and support for merit-based recruitment and selection in daily operations; providing technical advice and assistance to managers and supervisors; developing specific policies and procedures for merit-based actions; offering training to managers and supervisors on a variety of issues relating to merit-based recruitment and selection; recruitment and selection activities for providing data and analysis to University officers on merit-based policies and procedures; and maintaining recruitment and selection data in order to conduct employment trend analysis.

Employees and applicants are responsible for obtaining vacancy information in order to submit the required materials; providing full and complete information as to their qualifications; and submitting materials for the vacancy by the established deadline.

Recruitment Activities - Appalachian State University will strive to actively recruit from a variety of sources to achieve a diverse workforce that successfully meets the needs and demands of the University.

The hiring manager, with assistance from Human Resource Services staff, will:

• Assess the need for the position to ensure it contributes to meeting the goals, objectives, and mission of the work unit
• Conduct a job analysis including a review of the duties, responsibilities, and qualifications of the position
• Revise the position description if necessary

The hiring manager and Human Resource Services staff should assure that the critical tasks, knowledge, skills, and abilities (KSAs), and training and experience requirements necessary to successfully perform the duties of the position have been identified. In order to assure a timely and efficient process, generic KSAs (included on class specifications) may be utilized.

Information from the job analysis and position description will guide the hiring manager in drafting the vacancy announcement. Human Resource Services staff will help ensure that the vacancy announcement meets the requirements of State policy.

A position may be posted internal to the University, State government, or for the general public. In addition, Human Resource Services may assist the hiring manager to determine additional recruitment sources to target specific audiences, including professional journals, newspapers, and technical colleges/universities in order to attract a diverse pool of applicants.

In consultation with Human Resource Services hiring managers will use selection tool(s) that are objective, based upon job-related KSAs, and are consistently applied to all applicants.

Selection Process

Definitions:

• Knowledge, skills, and abilities (KSAs) knowledge - information which makes satisfactory performance on the job possible; skill - a proficiency that is observable, quantifiable, and measurable (examples include skill in typing; skill in operating a vehicle); ability - capacity to perform or learn the duties of the position,
• Preferences - specific types of experiences, degrees, licenses, KSAs, or other selection factors above those minimally required to perform the duties and responsibilities of a position,
• Essential qualifications (minimum qualifications) - minimum education, training and experience requirements including knowledge, skills, and abilities necessary to perform the essential duties of the position,
• Qualified - those applicants whose credentials indicate the possession of education, training, experience and KSAs included in the vacancy announcement,
• Most qualified - the group of applicants who possess qualifications which exceed the essential requirements described in the vacancy announcement and are selected for an interview by the hiring department,

Differentiating Qualified and Most Qualified Applicants:

• Determining Qualified Applicants - Applications are to be submitted to Human Resource Services. A designated Human Resource Services staff member will screen all applications to determine which applicants meet or exceed essential/minimum qualifications requirements. This group, when referred, becomes the pool of "qualified applicants".
• Determining Most Qualified Applicants - Applications are evaluated by the hiring manager or designee to determine which candidates appear to have the best job qualifications for the specific needs of the department. Those whom the department selects to interview are designated as the "most qualified" pool.

Employment/Re-employment Priorities - Human Resource Services staff (or an individual with responsibilities which include human resource functions) will review the initial applicant pool to identify applicants with priority status. All employment/re-employment priorities are to be afforded in accordance with State policy. This will require, in some instances, which applications of individuals with certain priorities be included among those referred to the hiring manager.

Consideration must be given to applicants that have the following priorities:

• Priority Re-employment - Employees scheduled to be separated or separated through reduction-in-force (RIF) have priority consideration over non-State applicants. RIF candidates must only meet essential qualifications to receive priority.
• Exempt Policy-Making/Confidential and Exempt Managerial - Employees separated from exempt policy-making/confidential and exempt managerial positions for reasons other than just cause have priority consideration over non-State applicants and must only meet essential qualifications to receive priority.
• Promotion Priority - Career State employees are eligible for priority consideration over non-State applicants when the individuals possess substantially equal qualifications.
• Veterans Preference - Preference is to be given in initial employment opportunities to qualified veteran applicants.* Injured-On-The-Job/Workers' Compensation - Employees injured-on-the-job, placed on workers' Compensation leave, and who have been released to return to work by their physician have re-employment considerations based upon maximum medical improvement.

Making the Final Selection Recommendation/Decision - The final selection recommendation/decision will be made from among the "most qualified" applicants. Applicants with priority re-employment must also be given appropriate consideration. The hiring manager will also be responsible for documenting the selection process and justifying the hiring decision. Human Resource Services staff will be available for guidance and assistance to the hiring manager at any time during the selection process. Applicants from most qualified pool not selected for the position will receive timely notice of the selection decision.

Approval Process - Appalachian State University is currently reviewing the recruitment and selection process and approval procedures. Until modified, the current process will remain in effect. This includes a certification from the hiring supervisor that the selection process and proposal offer are in compliance with ASU's EEO Plan and applicable State regulations. The certification is reviewed and endorsed by the Compliance Officer or his or her designee before an offer is extended.

Documentation of Process - Appalachian State University will maintain documentation of the merit-based recruitment and selection process in order to support the decisions and to provide fact-based information for monitoring and evaluating recruitment and selection practices and procedures. A file will be maintained for each hiring event for a minimum of three years. Each file will contain:

• Vacancy announcement
• Recruitment sources
• Selection tools and criteria
• Applications received
• Priority re-employment register
• Selection decision log
• Inventory of applicants as unqualified, qualified, and most qualified
• Job analysis

Appeals Process - If an applicant has reason to believe he or she was denied employment due to political affiliation or influence, the applicant may appeal the hiring decision directly to the Office of Administrative Hearings within 30 days of notification that the position has been filled if all the following conditions apply:

• Applicant applied for the position by advertised deadline.
• Applicant was among the "most qualified" persons applying for the position.
• Successful applicant for the position was not among the most qualified persons applying for the position.
• Hiring decision was based upon political affiliation or political influence.
• Applicant was not hired into position.

Monitoring/Evaluation and Process - Human Resource Services staff will provide program data and analysis with regard to relevant recruitment and selection activities, and provide an annual summary of selection activity for the Chancellor. Human Resource Services staff also will comply with the reporting and plan update requirements from the Office of State Personnel.

Human Resource Services Procedure One Procedure 1 - Requesting Position Actions

Causes - Changes in the workload required of an office or department may make it necessary to establish additional positions. Changes in an employee's duties, responsibilities, or supervision may mean that the employee's position classification should be changed.

Allocation and Reallocation - New and additional permanent, full-time or part-time positions are established by defining the assigned duties and assigning those duties to an official classification in the pay plan. This is referred to as the allocation of a position to a classification. Reallocation is the assignment of a position from one class to another as the result of a change in assigned duties and responsibilities.

The establishment of a new and additional position is normally initiated by the supervisor of a department or office. However, either the supervisor or the affected employee may initiate action to have a position reallocated.

602.2.3 Requesting Position Actions

REQUESTING POSITION REALLOCATION

Procedure Steps:

• The supervisor must obtain from Human Resource Services a form entitled Request for SPA Job Study. The form must be completed and returned with the appropriate signatures.
• Human Resource Services will issue the appropriate job description form to be completed by the employee.
• The form should be submitted to Human Resource Services where an analyst studies the description and in some cases conducts a desk audit. Once a decision has been made by Human Resource Services, the necessary forms are submitted to the Office of State Personnel for final approval.
• The immediate supervisor will be notified in writing of the action taken on any position which has been evaluated. A copy will also be sent to the employee.

COMPLETING THE POSITION DESCRIPTION

Procedure Steps - The supervisor should complete the position description, and any interviews needed will be conducted by the analyst.

State Personnel Form PD-102R, INSTRUCTIONS FOR COMPLETING POSITION DESCRIPTION, gives detailed information on the completion of the POSITION DESCRIPTION. These instructions should be followed closely to insure accurate completion of the POSITION DESCRIPTION form. Copies of the instructions may be obtained from Human Resource Services.

Further Information - See Also:

Human Resource Services, Policy Statement 3, Position Management

Resource Services, Instructions for Requesting an SPA Job Study

Human Resource Services, Position Description PD-102R

602.2.4 Human Resource Services Procedure Two

Procedure 2 - Hiring New Staff Employees

PERMANENT STAFF POSITIONS

Approval - Vacant staff (SPA) positions must have the approval of the appropriate Vice Chancellor or Chancellor before the position can be filled. This information must be communicated to Human Resource Services in the form of a letter, E-mail or telephone.

Procedure Steps - Supervisors having a vacancy in a permanent position, full-time or part-time, should use the following procedure outline in filling the vacancy:

Internal Posting - Inform every employee under your supervision of the vacancy either through letter or by posting the vacancy on the employees' bulletin board. Allow five (5) working days for employees to apply.

Internal postings are completed in Human Resource Services and posted there as well as within the department where the vacancy occurs.

Recruiting - If the position cannot be filled internally, complete a Staff Employee Requisition form. Accurate completion of the form is necessary to assist Human Resource Services and the supervisor in the filling of the vacancy. The form is self-explanatory and requires specific information about the vacant position. If there are any questions regarding the form, please contact Human Resource Services.

The requisitions must be received by Human Resource Services no later than 12:00 noon on Thursday for the position to be posted the following Monday. All staff (SPA) job vacancies must be posted for seven (7) work days. Normally the posting period will extend from Monday through Tuesday of the following week.

Request applications from Human Resource Services. Human Resource Services thoroughly screens the applications and forwards the applications of qualified applicants to the supervisor. All internal applicants who meet the minimum requirements are also referred for consideration.

Interviewing - Select a minimum of three (3) applicants for interviews. (If not satisfied with the applications provided, the supervisor may review other applications for the position, keeping in mind that the best qualified have already been referred.) Notify Human Resource Services who will be interviewed. The supervisor may arrange the interviews and notify the applicants.

Selecting - Conduct interviews and select an applicant to fill the vacant position. Be especially careful to conduct all interviews in a manner that conforms to the University's Equal Opportunity/Affirmative Action Plan. Any prospective employee must have a valid Social Security number before he or she is employed. Fictitious or Student I.D.'s issued locally will not be accepted for payroll purposes.

Physical Examination - If the vacant position is one that requires a pre-employment physical examination, give the selected applicant the Physical Examination Form, and ask that he or she take it to a physician and have it completed.

Reference Checking - Check references listed on the application for employment for the selected applicant. The supervisor should check references and report on the Compliance Report. A reference must be checked before a definite commitment of employment is made to the individual. The Compliance Report cannot be signed until this step is completed.

Compliance Report - Complete the Staff Compliance Report and Appointment Information Form. Fill in each blank and block as specifically as possible. Pay particular attention to block "1", "Briefly enumerate steps in seeking applicants for this position." Include steps taken to recruit both internal and external applicants.

Forward completed Compliance Report and Physical Examination Form (if applicable) to Human Resource Services.

Notifying Applicants - After a commitment of employment has been made, the selected applicant receives a written notification from Human Resource Services which outlines the terms of employment. Human Resource Services also notifies the other applicants who were interviewed and all internal applicants not selected.

The new Immigration Reform and Control Act of 11/6/86 requires each employer be provided satisfactory documentation of both the identity and the authorization of employment for each new employee. The I-9 Form is used to verify this information and must be completed within the first three days of employment. Failure to complete this form within three days can result in employment termination. The offices responsible for completion of the I-9 Form are given below:

• Staff (SPA) and Faculty/Administrative (EPA) - (includes temporary employees) I-9 Form will be completed in Human Resource Services in Founders Hall.
• Student Employees - (College Work-Study, Student Temporary, etc.) I-9 Form will be completed in the office where the student is employed. This form must be completed before the student can begin work.
• Graduate Assistants - I-9 Form will be completed in the Office of Graduate Studies and Research in Walker Hall.
• Summer School Personnel - I-9 Form will be the responsibility of the Office of Summer Sessions located in I.G. Greer Hall.
• Extension Personnel - I-9 Form will be the responsibility of the Office of Extension Instruction in University Hall.
• Camps and Outdoor Programs Personnel - I-9 Form will be the responsibility of the Office of Camps and Outdoor Programs in University Hall.

On the employee's first day on the job, he or she must make an appointment with Human Resource Services to complete all necessary employment, withholding and benefits paperwork. An individual orientation film is viewed at this time.

New Employee Orientation - Make sure new employee attends the first new Employee Group Orientation scheduled after he or she begins work.

TEMPORARY (NON-STUDENT) POSITIONS

Definitions - A temporary position is one in which the employee does not contribute to the North Carolina Teachers' and State Employees' Retirement System, and does not receive fringe benefits such as hospitalization, annual and sick leave, etc. There are two categories of temporary (non-student) employment:

• Temporary Full-Time: The employee works a normal forty (40) hours or more work week.
• Temporary Part-Time: The employee works less than forty (40) hours per week.

Temporary jobs at the University are intended to be as the name implies, jobs filled for a short period of time (up to six months) at an hourly rate. Extension of temporary jobs may be requested for up to one year. However, temporary jobs which are to last at least one year should be evaluated for the possibility of permanent status.

Employment Less Than Three Months - If employment in a temporary position, whether full-time or part-time, is expected to terminate within three months from the hire date, it is not necessary to go through a formal interview process as required for permanent appointments. The department can select an individual and request that he/she be employed on this basis. The department may request that Human Resource Services select an applicant from their application pool.

Temporary Employment Procedures - Full Time

Procedure Steps - The procedures below are to be followed for hiring temporary, full-time employees for periods of more than three months :

Necessary Form - Complete a Temporary Employment Authorization Form, except for the following blanks:

• Employee Name
• Social Security Number.

Submit the authorization form to Human Resource Services through the following channels:

• Department Head
• Vice Chancellor
• Controller

The department head will be informed of the availability of funds and the approval or disapproval of the request by Human Resource Services returning the original copy of the authorization form. If time is critical, the department head may reduce the time necessary to get the appropriate approvals by telephoning the Controller's Office to confirm the availability of funds and Human Resource Services for approval to employ a temporary worker. However, the Temporary Employment Authorization Form must also be completed and forwarded through the appropriate channels.

After employment authorization has been approved, ask Human Resource Services to forward applications for consideration.

Select a minimum of three (3) applicants for interviews.

Arrange interviews with the selected applicants - may be done by department or Human Resource Services.

Interview applicants and make the selection.

Check selected applicant's previous employment references. This may be accomplished in one of three ways:

• Applicant may provide a letter of recommendation from her/his previous employer.
• Department head may personally contact the previous employer.
• Human Resource Services may contact the previous employer.

If the position is one that requires a pre-employment physical examination, give the selected applicant the Physical Examination Form and ask that he or she take it to a physician, have it completed, and return it to the department head.

Necessary Form - Complete the Staff Compliance Report and Appointment Information Form.

Forward completed Compliance Report (and Physical Examination Form, if applicable) to Human Resource Services.

Human Resource Services will notify the selected applicant by letter outlining the terms of employment. They will also notify those applicants interviewed but not selected.

The employing supervisor must complete the Staff Employee Work Performance Appraisal Form. The supervisor should discuss with the employee the performance factors listed on the appraisal form. The appropriate copy should be returned to Human Resource Services by the stated deadline.

On employee's first day, he or she must make an appointment with Human Resource Services to complete necessary withholding forms.

Within the first three (3) days of employment the new temporary employee must complete the "Employment Eligibility Verification Form (I-9)." This form will be completed in Human Resource Services.

Temporary Employment Procedures - Part Time and/or Less Than Three Months

Procedure Steps - The procedures below are to be followed for hiring temporary part-time employees or temporary full-time employees who will work less than three months:

Necessary Form - Complete a Temporary Employment Authorization Form. If the department head has already found an applicant to fill the position, his or her name and social security number should be included in the appropriate blanks on the form.

Submit the authorization form to Human Resource Services through the following channels:

• Department Head
• Vice Chancellor
• Controller
• Director of Human Resource Services

The department head will be informed of the availability of funds and the approval or disapproval of the request by the Human Resource Services returning the original copy of the authorization form. If time is critical, the department head may reduce the time necessary to get the appropriate approvals by telephoning the Controller's Office to confirm the availability of funds and the Human Resource Services for approval to employ a temporary worker. However, the Temporary Employment Authorization Form must be also completed and forwarded through the appropriate channels.

Select an applicant from the Human Resource Services applicant pool. This may be done by the department head (or designated representative) or by the Human Resource Services.

The applicant will be notified by the Human Resource Services of the position and employment procedures to follow if the position is accepted.

The department head is not required to submit a Compliance Report on temporary part-time employees or temporary full-time employees hired for less than three months.

STUDENT TEMPORARY POSITIONS

Definition - A student temporary position is one filled by an actively enrolled student attending classes during the current semester at the University. The position is funded through the annual departmental budgets, and the student does not receive any State or University fringe benefits. The student may work up to forty (40) hours per week.

Procedure Steps - The procedures below are to be followed for hiring student temporary employees:

Recruit students to fill the position. The supervisor may call upon the Financial Aid Office or the Career Development Center to assist in recruiting a qualified student.

Necessary Form - After selecting student, complete the top portion of a Student Temporary Employment Approval Form.

Give student the employment form and have him or her report to the Financial Aid Office to receive final approval.

Student will be given the pink copy of the approval form to carry back to the requesting supervisor.

Student may begin work.

COLLEGE WORK STUDY EMPLOYEES

Definition - The College Work Study Program is a federally funded student program based on the financial needs of the student. Federal guidelines place a total earnings limit on students receiving financial aid under this program.

Before a student can be considered for a College Work Study position, the following documents must be completed and be on file in the Financial Aid Office:

• Application for Financial Aid
• The results from the Confidential Need Analysis Form

Procedure Steps - The procedures below are to be followed for hiring Student Work Study employees:

Necessary Form - Complete a Student Request Form, and forward it to the Financial Aid Office.

Financial Aid Office tries to match an approved student to the request.

Necessary Form - Approved student is sent to the requesting supervisor with a completed Agreement for Students Participating in the College Work Study Program, for an interview.

If the supervisor feels that the student does not fill his or her needs, he or she will ask the student to return to the Financial Aid Office with the form, and another student will be sent for an interview.

When a student is accepted by the supervisor, the Agreement for Students Participating in the College Work Study Program authorizes the supervisor to employ the student.

602.2.5 Separation from Service

Separation from University service occurs when an employee leaves the payroll as outlined in the policies below:

• Dismissal 7-1 (http://www.osp.state.nc.us/manuals/manual99/disaction.pdf)
• Reduction-In-Force 11-5 (http://www.osp.state.nc.us/manuals/manual99/rif.pdf)
• Resignation 11-1 (http://www.osp.state.nc.us/manuals/manual99/separati.pdf)
• Resignation Notice 11-1 (http://www.osp.state.nc.us/manuals/manual99/separati.pdf)
• Separation Defined 11-1 (http://www.osp.state.nc.us/manuals/manual99/separati.pdf)
• Voluntary resignation without notice 11-1 (http://www.osp.state.nc.us/manuals/manual99/separati.pdf)

See also Human Resource Services Policy Statement 9, Changes Affecting Employment.

See Human Resource Services Policy Statement 12, Employee Relations, for policies concerning dismissals.

602.2.6 Terminating Employment

Human Resource Services Procedure Nine Procedure 9 - Terminating Employment

Definition - University employment is terminated by resignation, reduction in force, dismissal, retirement, or death. When a permanent or temporary staff employee terminates University employment for any of these reasons, Human Resource Services must be notified.

If an employee terminates employment by resignation, he or she must give written notice to the immediate supervisor. The resignation notice should include:

• The effective date of separation
• The reason(s) for separation

The employee is expected to give a two week notice prior to the last day of work.

PREPARE SEPARATION NOTICE FOR STAFF EMPLOYEES

Procedure Steps - Complete Separation Notice for Staff Employees, and send to Human Resource Services as soon as possible after separation or the intent of separation becomes known.

• Fill out Separation Notice.
• Record any vacation leave to be taken before the last day of work. If after the form has been completed a change occurs in this number, notify Human Resource Services immediately. This must be done no later than the 19th of each month.
• Give exact reasons for employee's separation. This is especially important in light of unemployment insurance which has been effective on all University employees since July 1, 1972.
• Evaluate the employee as accurately as possible; this information is used in answering inquiries from other employers and for possible "rehire" purposes.
• If separation is due to a resignation, attach the employee's resignation memo to the completed form.

SCHEDULE EMPLOYEE FOR EXIT INTERVIEW

Each employee is required to have an exit interview with Human Resource Services before the last date of employment. Schedule an appointment for the separating employee with Human Resource Services for sometime during the last week of employment.

Additional References - See also:

Human Resource Services, Policy Statement 17, Separation From Service