Vice Chancellor Administration UnitHuman Resources Standard Operating Procedures

(SOP) Guide

VCA Unit SOP for HR ActionsPage 1 of 21

Vice Chancellor Administration UnitStandard Operating Procedures (SOP) Guide

For Human Resources Actions

This guide is a summary of the internal processes, policies and procedures related to Human Resources actions within the VCA unit, and is tailored to our unit environment and management approaches. This guide is supplemental to UCR and UC policies and procedures, and applicable laws. A list of additional information resources is presented in Appendix A.

Table of ContentsRoles of HR CoordinatorsStaffingVCA Unit Staffing Plan Administration GuidelinesEmployee Recruitment ProceduresVCA Unit Review of Employee Recruitment PacketsReviewing Interview Results & Approving Interview Lists

Suggested/Sample Email Transmittal FormatsStaff AppointmentsPromotionsDemotionsLateral Transfers

Guidelines in Considering and Recommending Appointment Salaries and Salary Increases

Hiring Near RelativesHiring RetireesTypes of Appointments

CareerCasual-RestrictedContract

Types of ContractsContracts & Conflicts of Interest

LimitedJob DescriptionsBoilerplate Job Description For Manager PositionsTricks Of The Trade In Using JDT To Create Job DescriptionsMonthly HR Reports

1,000 HourCore MedicalOut of Compliance

Collective Bargaining Units at UCRAdministrative Stipends and Out of Class Assignment ApprovalsVCA Unit Staff Development Expense Reimbursement GuidelinesVCA Unit SRDP Program GuidelinesTime OffWork Schedules and Time Away From CampusVacation Accruals and Banking Vacation Beyond Maximum AccrualsTypes of LeaveWorkers’ CompensationFAQ’sAppendix: Important Links & Resources Appendix AVCA Unit SOP for HR ActionsPage 2 of 21

Roles of VCA Unit HR Coordinators

Advise managers and staff on HR policies and VCA Unit guidelines. Coordinate staff recruitments, compensation reviews, performance review and merit processes. Serve as the liaison with Human Resources, Labor Relations and the VCA Office on employee

issues.

Typical HR Coordinator Responsibilities:

Ensure that the following packets forwarded to VCA Office are complete and adhere to campus and VCA unit guidelines and policies:

a. Recruitment packetsb. Employment Contract packetsc. Compensation Review packets (reclass or equity review requests)d. Reorganization Plans

Coordinate the recruitment and appointment process, including:a. Working with the supervisor or manager to develop the recruitment plan.b. Working with HR in implementing the recruitment plan (e.g., reviewing drafts of job ads).c. Helping department supervisors with the recruitment process.d. Ensuring that proposed applicant interview lists are forwarded to VCA office for approval.e. Advising on appointment salary and salary adjustment policies and ensure that required

notifications or requests for exceptions are sent.f. Advising on appointment of near relative issues and policies and ensure that required

notifications or requests for exceptions are sent.g. Returning recruitment materials to HR in a timely manner (e.g., Department Record of

Interview form, applications of unsuccessful candidates, interview questions.)h. Ensuring background investigations are conducted as appropriate.

Ensure that temporary salary increases (i.e., administrative stipends and out of class pay adjustments) adhere to campus and VCA unit guidelines and that required notifications or requests for approvals are sent.

Ensure that notifications of layoff, termination, or medical separation adhere to campus and VCA unit guidelines and required notifications are sent.

Coordinate the annual performance review and merit roster processes.

Keep abreast of HR policy and process changes, and incorporate into departmental processes.

HR Coordinator Group Objectives:

Bring together VCA unit HR coordinators to share information on HR processes, policies, and emerging issues, and work through challenges and speed bumps.

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Employee Recruitments – VCA Unit

I. Policy

Consistent with our equal opportunity and affirmative action objectives, within the VCA Unit, we use the campus position recruitment process to obtain qualified applicants for all types of staff positions:

Career Contract Limited Casual/restricted Per Diem

We post notices of position vacancies through Human Resources, providing all qualified applicants with equal opportunity to apply. Please refer to the VCA Unit HR Actions Information Routing Grid for more information on the VCA Unit recruitment process:http://vca.ucr.edu/resources/hr/hractionrouting.doc.

II. Exceptions to Recruitment Requirement Provided Through Policy :

A. UC Staff Personnel Policy 20 “Recruitment” specifies that a recruitment is not required when a position is to be filled by:

1. the demotion or lateral transfer of an employee within the same organizational unit, as defined in local procedures;

2. lateral transfer of an employee along with the budgetary provision for that employee's position;

3. transfer or reemployment of an employee in accordance with Policy 81.D, Reasonable Accommodation; Policy 66.D, Medical Separation; Policy 43.B, Pregnancy Disability Leave; or Policy 43.C, Family and Medical Leave;

4. a qualified employee who has become disabled; 5. recall of a laid-off employee or placement of an employee with preference for

reemployment or transfer;  6. an employee whose responsibilities or title have changed as a result of a reorganization or

reassignment of functions among positions within the same organizational unit; or 7. an employee who is competitively selected for a University-sponsored internship program,

and upon completion of the internship, as authorized in local guidelines and with the approval of the department head, is appointed to a vacant position for which he or she meets the minimum qualifications.

In addition, Policy 20 provides that recruitment is not required when:

1. a filled Academic or Professional and Support Staff position is transferred to a Management and Senior Professional class; or

2. a filled Academic or Management and Senior Professional class is transferred to a Senior Management class.

The hiring department consults with the VCA Unit CFAO and Human Resources to secure concurrence that the policy exception is being applied appropriately in line with the types of situations listed above.

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B. Limited Appointments – potential exceptions to recruitment policy

Definition: A limited appointment is an appointment established at any percentage of time, fixed or variable, during which the appointee is expected to be on pay status for less than 1,000 hours in a 12-month period. It should be used for handling temporary fluctuations in workload due to situations such as covering a leave of absence or seasonal swings. It can also be used for part-time appointments if the hours on pay status will not exceed 1,000 hours in a rolling 12 month period.

UCR Local Procedures, Policy 20 on Recruitment specifies that departments are to recruit for vacant or new limited appointment positions. However, if a limited appointment position has no potential of becoming a career position (e.g., because the nature of the work is temporary), the department may request an individual exception to the recruitment policy. The request for an exception should include the following:

Justification for the exception, including information on how the position will be managed to ensure that the appointed employee will not work more than 1,000 hours in a rolling 12 month period (across all appointments and departments).

Job description Employee application Proposed term of appointment (start and end dates) Proposed salary, step (or position in range) Any near relative considerations

In addition, there are cases where large departments have fluid, occasionally significant, temporary staffing requirements. They may have a need for a large number of limited positions due to spikes in workload and other business necessities, and the need when it arises is urgent. For example, Dining Services may have a need for additional food services workers for an increase in catered events or the UCR Campus Store may have a need for additional cashiers during a large sale. There is no potential that the employees will work more than 1,000 hours in a rolling 12 month period (across all appointments in all departments), and it’s not feasible to do a recruitment for limited positions due to the time constraints.

Departments can request a blanket limited position group recruitment exception for these types of situations and positions. The request for a blanket limited position group recruitment exception should include the following:

Justification for the exception Job Title Estimated # of employees that will be hired Terms of appointments (e.g., period, salary, step, position in range) Any near relative considerations

III. Waivers of Recruitment – Career Positions Excerpt from UCR Local Procedure for Policy 20, Section V:

I. WAIVERS OF RECRUITMENT – Career PositionsVCA Unit SOP for HR ActionsPage 5 of 21

A. Human Resources, in consultation with the Affirmative Action Department, may waive recruitment for a career position based on the criteria listed below. It is the University's intent to grant waivers only in limited circumstances.

1. Business Necessity a. If the individual possesses unique skills and talents which were not

obtained in the same or similar limited appointment for which the waiver is being requested; and this knowledge is not institutional nor can it be learned in an orientation period; AND if demonstrable recruitment difficulties for the same or similar positions exist; OR

b. the position has legal or programmatic requirements, or significant financial liability or consequences exist.

2. Special Appointment Conditions a. In circumstances where a new academic appointment also includes the

transfer of the academic appointee's employee(s) from the academic's former institution to UCR; or

b. in circumstances where an organizational entity or program, along with specified current employees, moves to UCR.

B. Procedure 1. The hiring authority initiates a written request through the appropriate

dean/administrative officer* to Human Resources stating the reasons for the appointment action. A current position description, organizational chart and a current resume or employment application are required.

2. Human Resources will review the request for conformance with employment policies including appropriate classification and minimum requirements, and identifies any qualified preferential rehire candidates. Departments must consider all qualified preferential rehire candidates prior to the identified recruitment waiver candidate.

3. If there is no successful preferential rehire candidate, Human Resources reviews whether the identified recruitment waiver candidate exceeds minimum requirements, the department's history of good faith recruitment efforts, and requests for recruitment waivers. Human resources, in consultation with Affirmative Action, will review the resulting effect(s) on diversity in the department. A written determination is made by Human Resources and forwarded to the hiring authority.

* Please email any requests for an exception to the VCA Unit CFAO.

For more details on the recruitment process and helpful tips on interviewing and selecting candidates, please review the Recruitment, Interviewing & Selection Guide at: http://www.humanresources.ucr.edu/?content=ProgramsAndServices/EmploymentServices/RecruitSelectIntGuide.htm.

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VCA Unit Review of Employee Recruitment Packets

50,000 foot level – Organization Model

If recruiting for a replacement employee, has dept. had a chance to consider other organizational designs, and other ways of getting the work done?

Does the organization model align in the VCA unit culture (e.g., shared services; clustering; minimal redundancy)

If the position has essential functions that overlap with other positions in the department, unit or campus, is there enough information provided so it’s understandable how that overlap is handled?

Budget for the Position

Is the position budgeted at this classification and FTE level in the permanent budget system?

Is the position highlighted on the staffing list on the FAU, Title Code, % of time, etc. indicated on the requisition?

Is the position budgeted at or below step 3 (for step based positions) or between minimum and first quartile (for non-step based positions)? If not, discuss further to understand the situation.

Is the salary budget in the permanent budget system in balance with current staffing level (i.e., employees currently on the payroll plus open provisions)? (Review enclosed staffing list to ensure it’s in balance).

If it is a new position, or a position that is being reclassified upward while it’s open, is information provided on the permanent funding source that will be used to cover the salary and benefits costs on a permanent basis?

Employee Requisition

Is the form filled out completely and correctly?

Is a background investigation required, and is the box marked to indicate that? (Should be for 99% of our jobs, in that they meet the definition of “Critical Position”.)

If the recruitment is to replace an employee, is the position being recruited at the same classification that the predecessor was at? If not, it should be indicated on the requisition that a classification change is being proposed.

Does the summary of essential duties section provide potential applicants a good idea of the purpose of the position – an outline of the responsibilities in the context of the department and/or unit?

Has the department head approved the requisition and job description?

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Job (Position) Description

Drawing from what is described in the position purpose section, are all major essential job functions and tasks outlined?

Are percentages of time indicated for the major categories of essential job functions?

In the SKAC section, does it start off with a capstone related experience requirement, and for professional level positions, a capstone experience and college education requirement?

Looking at each essential major job function category, are there related SKAC’s listed for it?

If the duties include financial functions, are the duties and SKAC’s aligned with the VCA unit standards? (See VCA template “Financial Processes, Tasks, SKAC’s and Related On-Campus Training” at http://vca.ucr.edu/resources/hr/fstrain.xls).

If the duties include human resource functions, are the duties and SKAC’s aligned with the VCA unit standards? (Currently in draft form).

If the position description lists that it supervises employees, are related SKAC’s for supervision included?

Do the SKAC’s include both technical and enabling competencies?

Do the SKAC’s build on the minimum requirements listed in the UC Series and Job Specifications for this classification?

Recruitment Plan – Advertising

Are we taking affirmative steps to ensure a sufficient sized qualified and diversified pool of candidates? What are the proposed advertising sources?

For professional level positions, what is the composition of the search committee?

Organization Chart

Is the Organization Chart the version approved by the VCA / CFAO in the annual operating plan and budget process? Is the position highlighted on the org chart?

Does the reporting structure (who the employee reports to and the positions supervised) align with that shown on the position description?

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Reviewing Recruitment Results and Approving Interview Lists

What’s the challenge?

Enhancing diversity in our workforce so that we move toward it being a reflection of California’s diversity.

In response to an audit in the early 90’s by the federal government, the campus agreed to have an INDEPENDENT review of applicant pools to ensure we are making consistent good faith efforts to ensure that all qualified applicants are interviewed.

What does that independent review consist of in the VCA Unit?

VCA Office and HR review the proposed position advertising plan in the recruitment packet to help ensure we’re casting our net widely to generate applicant pools that reflect California’s diversity.

Department Heads email Jennifer Lahmann in the VCA Office the proposed list of applicants that the department would like to interview (please refer to the next section on Sample Transmittals), affirming that:

o Equal consideration and uniform standards were applied to all applicants;o All proposed interviewees indeed meet the minimum SKAC’s specified in the

recruitment packet for the essential functions of the position;o Applicants not selected for interview have fewer of the required, stated minimum

SKAC’s than those being interviewed; ando All fully qualified applicants are being interviewed (i.e., those that exceed the stated

minimum qualifications for the essential functions of the position, and meet some (or all) of the preferred SKAC’s).

Jennifer reviews the lists of applicants (in consultation with HR and Affirmative Action, if necessary) to assess if the recruitment resulted in an adequate size pool with diversity (considering the availability of applicants for the job type). Jennifer then notifies the department if the interview list is approved as proposed or if there are any problems. If the list is approved, the department can then begin scheduling interviews. In some cases where further clarity is needed, Jennifer may ask for the summary rating spreadsheet used to rank/determine those selected for interview.

What are a few of the speed bumps in the current process?

A caution flag is raised if we see minimum SKAC’s in a recruitment packet potentially being understated and perhaps inadvertently leaving out some SKAC’s one would need to be successful in the job. Understating SKAC’s can sometimes lead to a very large number of applicants meeting the minimums (and days of interviews). Jennifer will work with the department to flesh out the SKAC’s so that applicants can get a fuller sense of what one needs to be successful on the job.

A caution flag is also raised if we see a large pool of applicants, but only a few are being interviewed. We ask that department managers affirm that all fully qualified applicants are being interviewed.

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Some of the emails requesting approval of interview lists are missing key pieces of data that help Jennifer quickly process the request. Please ensure the email includes:

o Position Recruitment #o Position Job Titleo Total # of applications receivedo Names of those applicants proposed to be interviewed

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Suggested Email Transmittal FormatsFor Notifying VCA Office (or Request Approval of) Staff Appointments, Promotions and

Transfers

Action 1: Appointment of New UC Employee at a salary level within the department manager’s delegated authority

New Employee in step based program, hired at or below step 3 (box 4.A.1 on grid)New Employee in open salary range programs, hired at or below the 1 st quartile (box 4.B.1 on grid)

At this level (where appointment is at or below step 3 or at or below the 1st quartile of the salary range, and there are no near relative situations) the department manager has been delegated the authority to approve the appointment. Department simply notifies the VCA Office of the appointment with an email from the department head to Jennifer Lahmann and a cc to Cheryl Sautter.

Sample format of email:

To: Jennifer.Lahmann@ucr.edu (with a cc to Cheryl.Sautter@ucr.edu) Fr: Department Head

We’ve completed the interviews for our (choose one: career, contract, limited) (payroll title) position in the xxxxxxxx department, and I’ve approved the hire of (employee name) who is new to UC.  The details of the hire are as follows:

Position Title:Recruitment #:Start Date:               Salary:             Step or position in salary range: (indicate step or percentile; must be at or below step 3 or below the first quartile to be within the department manager’s delegated authority.) Near Relatives Considerations: The employee has no near relatives on campus.

Action 2: Appointment of New UC Employee at a salary level that exceeds the department manager’s delegated authority and requires higher level approval

New employee in step based program, requesting approval to hire above step 3 (box 4.A.2 or box 4.A.3 on grid)New employee in open salary range program, requesting to hire above the first quartile (box 4.B.2 or 4.B.3. on grid)

Department manager requests approval for hire by sending an email to Jennifer Lahmann with a cc to Cheryl Sautter.

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Sample format of email:

To: Jennifer.Lahmann@ucr.edu (with a cc to Cheryl.Sautter@ucr.edu) Fr: Department Head

We’ve completed the interviews for our (choose one: career, contract, limited) (payroll title) position in the xxxxxxxx department. We’d like to hire a new UC employee, (employee name), at step x (or xx percentile in the range if the position is in the open salary range program), and this is an action which requires a higher level approval. The details of the proposed hire are as follows:

Position title:Recruitment #:Proposed Start Date:Proposed Salary:Proposed Step or Position in salary range:Near Relatives Considerations:

Attached is the candidate’s application showing salary history and our departmental organization chart showing salaries.

Our justification for hiring at this salary level includes:

(Provide a complete justification. Potential factors to discuss include: SKAC’s exceeding the required and preferred SKAC’s defined on the job description, candidate’s salary history in similar position, salary survey data, average salary of campus personnel in similar positions, internal salary alignment in the department and recruitment or retention difficulties. If the proposed hiring salary appears that it might create some downstream salary inequity concerns, please identify and discuss the approach to justify the situation or address the concern.)

The position is budgeted at $xxxxxxx in the staffing system; we propose to cover the ongoing incremental amount above the position budget of $xxxxxx (salary and benefits) by……………

(Possible strategies to discuss: reducing expenses in xxxxxxx expense category, downgrade savings on another xxxxxxxx position, increasing revenues from xxxxxxx service, etc.)

We have reviewed the salaries of comparable positions in our department, in the VCA Unit, and/or on campus and observe that this proposed salary will be….(Possibilities: below the department / unit/ campus average; in line with the averages; x% above the average. If above the average, discuss justification for going above the average. If the proposed hiring salary appears that it might create some downstream salary inequity concerns, please identify and discuss the approach to justify the situation or address the concern.) Attachments: Application showing salary history, Department Org Chart showing salaries, SKAC comparison and Salary Survey Data.

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Action 3: Promotion of a Current UC employee, salary adjustment within manager’s delegated authority

Current UC Employee in step based program, promotion of 1 step or to minimum of new salary range (whichever is greater )(box 5.A on grid) Current UC Employee in open salary range programs, promotion with 5% salary adjustment or to minimum of new salary range (whichever is greater) (box 5.A on grid)

At this level, where a promotion results in a salary adjustment of 5% (for an open salary range program) or 1 step (for a step based program) or to the minimum of the new salary range, whichever is greater) (for both programs), the increase results in a cumulative fiscal year increase of <25%, and there are no near relative situations, the department manager has been delegated the authority to approve the promotion. Department simply notifies the VCA Office of the promotion with an email to Jennifer Lahmann and a cc to Cheryl Sautter.

Sample format of email:

To: Jennifer.Lahmann@ucr.edu (with a cc to Cheryl.Sautter@ucr.edu) Fr: Department Head

We’ve completed the interviews for our (choose one: career, contract, limited) (payroll title) position in the xxxxxxxx department, and I’ve approved the promotion of (employee name) who is a current UC employee (give details of current position title, grade, salary and department).  The details of the hire are as follows:

Position Title:Recruitment #:Start Date:               Salary:            Step or position in salary range: (indicate step or percentile)Nature of increase upon promotion: (choose: 5%, one step, or x% needed to bring to the minimum of the salary range (with a cumulative fiscal year increase <25% to be within the department manager’s delegated authority.) Near Relatives Considerations: The employee has no near relatives on campus.

Action 4: Promotion of a Current UC employee, salary adjustment requires higher level approval

Current UC employee, salary adjustment of >5% (for open range program) or >1 step (for step based programs) or to the minimum of the new salary range (whichever is higher) (box 5.B.B on grid)Current UC employee, salary adjustment results in a cumulative fiscal year increase >25% (box 5.C.C on grid)

Department manager requests approval by sending an email to Jennifer Lahmann with a cc to Cheryl Sautter.

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Sample format of email:

To: Jennifer.Lahmann@ucr.edu (with a cc to Cheryl.Sautter@ucr.edu) Fr: Department Head

We’ve completed the interviews for our (choose one: career, contract, limited) (payroll title) position in the xxxxxxxx department. We’d like approval to promote (employee name), who is a current UC employee (give details of current position, salary, grade, and department). This is a promotion that requires additional approval due to a proposed exceptional salary adjustment (give reason(s): >5%/1step or minimum of range, whichever is greater; and/or resulting in cumulative fiscal year increase >25%). The details of the proposed hire are as follows:

Position title:Recruitment #:Start Date:Proposed Salary:Proposed Step or Position in salary range:Near Relatives Considerations:

Attached is the candidate’s application showing salary history and our departmental organization chart showing salaries.

Our justification for hiring at this salary level includes:

(Provide a complete justification. Potential factors to discuss include: SKAC’s exceeding the required and preferred SKAC’s defined on the job description, candidate’s salary history in similar position, salary survey data, average salary of campus personnel in similar positions, internal salary alignment in the department and recruitment or retention difficulties.)

The position is budgeted at $xxxxxxx in the staffing system; we propose to cover the ongoing incremental amount above the position budget of $xxxxxx (salary and benefits) by……………

(Possible strategies to discuss: reducing expenses in xxxxxxx expense category, downgrade savings on another xxxxxxxx position, increasing revenues from xxxxxxx service, etc.)

We have reviewed the salaries of comparable positions in our department, in the VCA Unit, and/or on campus and observe that this proposed salary will be….(Possibilities: below the department / unit/ campus average; in line with the averages; x% above the average. If above the average, discuss justification for going above the average. If the proposed hiring salary appears that it might create some downstream salary inequity concerns, please identify and discuss the approach to justify the situation or address the concern.) Attachments: Application showing salary history, Department Org Chart showing salaries, SKAC comparison and Salary Survey Data.

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Action 5: Lateral transfer of a Current UC employee; no salary adjustment

Generally, no salary increase is provided upon lateral transfer (box 6.A.A.1 on grid)

At this level, where a current UC employee receives a lateral transfer and there are no near relative situations, the department manager has been delegated the authority to approve the appointment. Department simply notifies the VCA Office of the appointment with an email to Jennifer Lahmann and a cc to Cheryl Sautter.

Sample format of email:

To: Jennifer.Lahmann@ucr.edu (with a cc to Cheryl.Sautter@ucr.edu) Fr: Department Head

We’ve completed the interviews for our (choose one: career, contract, limited) (payroll title) position in the xxxxxxxx department, and I’ve approved the lateral transfer of (employee name) who is a current UC employee (give details of current position, grade, salary and department).  The details of the hire are as follows:

Position Title:Recruitment #:Start Date:               Salary:            Step or position in salary range: Near Relatives Considerations: The employee has no near relatives on campus.

Action 6: Lateral transfer of a Current UC employee; proposal for salary increase

Generally, no salary increase is provided upon lateral transfer (box 6.A.A.1 on grid)

At this level, if it is proposed that a current UC employee receives a lateral transfer with a proposal for a salary increase and there are no near relative situations, the department manager requests approval by sending an email to Jennifer Lahmann with a cc to Cheryl Sautter. This action will require HR review and approval.

Sample format of email:

To: Jennifer.Lahmann@ucr.edu (with a cc to Cheryl.Sautter@ucr.edu) Fr: Department Head

We’ve completed the interviews for our (choose one: career, contract, limited) (payroll title) position in the xxxxxxxx department, and we’d like approval for a lateral transfer of (employee name), who is a current UC employee (give details of current position, grade, salary and department).  This is a lateral transfer with a proposal for a salary increase, and therefore requires additional approval. The details of the hire are as follows:

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Position Title:Recruitment #:Start Date:               Proposed Salary:            Proposed Step or position in salary range: Proposed Nature of increase upon lateral transfer: (e.g., x%,)Near Relatives Considerations: The employee has no near relatives on campus.

Provide a complete justification on why an exception to campus policy is appropriate in this situation.

Action 7: Demotion of a Current UC employee; no salary adjustment; salary at or below range of midpoint of new position

Policy does not provide for a salary adjustment upon demotion (box 6.B.A.A on grid)

At this level, where a current UC employee receives a demotion (with current salary at or below midpoint of new position) and there are no near relative situations, the department manager has been delegated the authority to approve the appointment. Department simply notifies the VCA Office of the appointment with an email to Jennifer Lahmann and a cc to Cheryl Sautter.

Sample format of email:

To: Jennifer.Lahmann@ucr.edu (with a cc to Cheryl.Sautter@ucr.edu) Fr: Department Head

We’ve completed the interviews for our (choose one: career, contract, limited) (payroll title) position in the xxxxxxxx department, and I’ve approved the demotion of (employee name) who is a current UC employee (give details of current position, grade, salary and department).  The details of the hire are as follows:

Position Title:Recruitment #:Start Date:               Salary:            Step or position in salary range: Near Relatives Considerations: The employee has no near relatives on campus.

Action 8: Demotion of a Current UC employee; no salary adjustment; salary above midpoint of new position

Policy does not provide for a salary adjustment upon demotion (box 6.B.A.A on grid)

At this level, where a current UC employee receives a demotion (with current salary above midpoint of new position) and there are no near relative situations, the department manager requests approval by sending an email to Jennifer Lahmann with a cc to Cheryl Sautter. This action needs to be reviewed and approved by HR.

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Sample format of email:

To: Jennifer.Lahmann@ucr.edu (with a cc to Cheryl.Sautter@ucr.edu) Fr: Department Head

We’ve completed the interviews for our (choose one: career, contract, limited) (payroll title) position in the xxxxxxxx department, and we’d like approval to demote (employee name), who is a current UC employee (give details of current position, grade, salary and department).  Since the current salary is above the midpoint of the new position’s salary range, this requires additional approval. The details of the hire are as follows:

Position Title:Recruitment #:Start Date:               Salary:            Step or position in salary range: Near Relatives Considerations: The employee has no near relatives on campus.

Provide a complete justification on why an exception to campus policy is appropriate in this situation.

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VCA Unit - Guidelines in Considering and Recommending Appointment Salaries and Salary Increases

A. Review Policy

Policy and procedures for establishing appointment salaries can be found in Personnel Policies for Staff Members 30: Salary and the applicable bargaining unit contract. Also refer to the VCA Unit HR Actions Routing Grid to determine organizational unit process for approving appointment salaries and salary increases upon promotion or reclass: http://vca.ucr.edu/resources/hr/hractionrouting.doc.

B. Obtain Relevant Data

1. Salary history of the prospective/current employeea. Employment Applicationb. Department Records

2. Salaries of similar positions within the unit and/or on campusa. SuperDOPE or PPS

3. Salary grade range for the positiona. Title and Pay Plan b. If this action involves a current UC employee, determine their current title and

salary grade, and using the salary grade and salary range endpoints, determine if the proposed action is a promotion, lateral transfer, upward reclass, lateral reclass, or demotion. (Policy does not typically provide for salary increases upon lateral moves or demotions.)

4. Third party salary survey dataa. Human Resources

5. When frequent turnover has been experienced for that particular position, review the salaries of prior incumbents, the duration of employment for prior incumbents, and their reasons for leaving.

C. Review Internal Equity Considerations

6. Review the salaries of similar positions within the unit and/or on campus

a. Average internal salary of all similar positionsb. High and low salaries of all similar positionsc. Average internal salary in comparison to the salary grade for the position d. Time in position, length of service, experience, SKAC’s of current incumbents

7. Review the experience and salary history of the prospective & current employeesa. The types of positions held and the responsibilities performedb. The education level, credentials, certifications, etc.

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c. Whether the positions were exempt or non-exempt (subject to overtime compensation)

d. The duration of previous positions e. The beginning and ending salaries for each prior positionf. The types of industries and past employersg. Significant and specialized skills or knowledge that the prospective or

(current) employee offers and that are preferable for the successful incumbent (in relation to required SKAC’s)

8. Evaluate the incumbent salary history by considering the following questions.a. Is the salary history consistent and progressive?b. Is the salary history comprised of primarily one employer?c. Were some of the prior positions supervisory in nature while others were not?d. Was overtime compensation included in the annual salary figure if the

position was non-exempt?e. Did the individual receive salary increases from his/her previous employers?

If so, how much? Over what period of time?f. Was the highest salary earned during the most recent employment period? If

not, during what period was it earned?g. Is the individual currently employed?

9. When the position will include supervisory responsibilities, review the base salaries of the prospective employee’s subordinates to ensure an adequate pay differential is established. Typically only the base salary is considered, and subordinate’s overtime isn’t taken into account when reviewing compression with subordinate salaries, as overtime is typically variable. But if the frequency and amount of annual overtime compensation earned by the subordinates is high, and it is expected that the supervisor will also be working > 40 hours week consistently as an exempt employee, it can be a factor to consider.

B. External Considerations

1. Salary Survey Dataa. Salary survey data as appropriate to the position and relevant to the

geographic labor market and the educational sector can provide an indicator of the average pay in the external labor market.

2. Availability of Fundinga. The availability of appropriate funding and the organization’s willingness to

pay are important factors in establishing the appointment salary.

C. Consider More Than the Base Pay

Total Compensation Considerations. The appointment salary is one portion of the prospective employee’s total compensation package. In addition to base pay, many other items are included within our total compensation package. “The Benefits of Belonging” is a valuable recruitment resource published by the Office of the President for prospective job seekers that details the benefits received by UC employees.

Paid Vacation Leave (typically 3 weeks to start for a full time staff employee) and Holidays (11 paid holidays)

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Paid Sick Leave Medical, Dental, Vision, Life, and Disability coverage at reasonable

costs to the prospective employee Employee Assistance Program University of California Retirement Plan – a defined benefit “pension”

plan (vs. a defined contribution 401K type plan) Potential for significant employer contribution to medical insurance

costs upon retirement (if retiring after >10 years of service) Professional Development Programs Reduced Fee Enrollment for UC classes and University Extension

courses Child care facilities Other benefits, such as credit union, library, recreational center and

bookstore privileges

D. Frequently Asked Questions

Q: I’ve got the application in hand showing salary history. How do I go about verifying that the salaries shown are truthful?

A: Background checks are completed by an outside agency contracted by UCR and include a social security number and criminal conviction verification for counties where the employee/applicant worked and resided. At an additional expense, the department may request education/degree verification, employment and salary verification and driving record checks.

Q: I have a candidate whose listed salary history shows she hasn’t received an increase for the last 3 years. How should I interpret that?A: There could be several explanations for this: maybe there were performance issues or the company wasn’t able to give increases. It’s important that the candidate anticipates questions and proactively addresses this issue in their cover letter or during the interview process.

Q: I have a candidate whose salary history is a track record of high salaries and frequent increases. How should I consider that?A: You may have to compete on total compensation (benefits, retirement pension, time off, child care, development, etc.). It may also suggest the candidate’s need for constantly escalating rewards – would that person be a good fit in a department with limited resources?

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Hiring Near Relatives

There may be occasions where it’s in the best interest of the University to consider hiring a near relative of another employee on campus. Consistent with the University’s policy on equal employment opportunity and nondiscrimination in employment, a candidate will not be disqualified by reason of near relationship to a current employee. A near relative is defined as a spouse, domestic partner, parent, child (including the child of a domestic partner), or sibling. In-laws and step-relatives in the relationships listed, including relatives of the domestic partner who would be covered if the domestic partner were the employee’s spouse, are also defined as near relatives.

Having near relatives on campus does introduce an element of risk, and requires special approval if the following work situations occur:

Near relatives have a supervisory (or managerial) relationship with each other (e.g., a near relative is within another relative’s span of control);

Near relatives have the same immediate supervisor; Near relatives have a close working relationship, or if one relative is in a position to potentially

benefit the other (e.g., one of the relatives is responsible for transacting departmental financial transactions, payroll or purchasing);

Near relatives have roles and responsibilities within the same campus business process (e.g., purchasing/receiving/accounts payable process, billing/cashiering/accounts receivable/collections process, human resources/payroll process) that conceivably could increase risk)?

Two appointees already holding positions in which one of the above working relationships exists subsequently become near relatives.

For VCA Unit departments, the department head can request special approval by forwarding an email with justification and resume attached to Jennifer.Lahmann@ucr.edu. The request for approval needs to be submitted and approved prior to making a job offer.

The request should address the following issues:

Why would this action be in the best interest of the University? What other alternative hiring decisions were considered? Labor pool availability for this type of position Roles and responsibilities

o What would be the roles and responsibilities of each near relative?o Would one relative have a role that could conceivably benefit the other?o If yes, how would that risk be mitigated?o Do the near relatives have roles or responsibilities within the same campus business

process that could conceivably increase risk?o If yes, how would that risk be mitigated?

Potential dynamicso Would having the near relative in the department dilute others’ ability to treat or conduct

business with the near relative as they do with all others?o Would it open up a dynamic of preferential treatment (either perceived or real)?

Does this situation present the risk of potential claims of discrimination? What is the internal control system impact (e.g., opportunity for errors or omissions to go

unreported, collusion) and what are the mitigating measures? What are the potential perceptions, and if negative, how will those be addressed?

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