Affirmative Action/ Equal Opportunity Plan January, 27 December 3, 27 23 I. G. Greer Hall Boone, NC 2868 828-262-244 www.edc.appstate.edu Appalachian State University is committed to providing equal opportunity in education and employment to all applicants, students, and employees. The University does not discriminate in access to its educational programs and activities, or with respect to hiring or the terms and conditions of employment, on the basis of race, color, national origin, religion, sex, gender identity and expression, political affiliation, age, genetic information, disability, veteran status, or sexual orientation. The University actively promotes diversity among students and employees.
Table of Contents EQUAL EMPLOYMENT OPPORTUNITY/AFFIRMATIVE ACTION PLAN CERTIFICATION STATEMENT... 3 INTRODUCTION... 4 STATEWIDE EQUAL OPPORTUNITY PLAN... 5 EQUAL OPPORTUNITY from the Chancellor... 2 HARASSMENT AND DISCRIMINATION POLICY... 3 VETERAN STATUS STATEMENT... 3 EMPLOYEES WITH DISABILITIES STATEMENT... 3 DESIGNATION OF RESPONSIBILITY FOR IMPLEMENTATION OF THE AA/EEO PLAN... 4 DISSEMINATION OF THE AA/EEO PLAN... 7 PROCEDURES AND PROGRAM ACTIVITIES... 8 PROCEDURES & QUICK CHECKLIST FOR RECRUITMENT & SELECTION FOR SHRA POSITIONS... 25 RECRUITMENT AND SELECTION POLICIES AND PROCEDURES FOR EHRA EMPLOYEES... 3 DEVELOPMENT AND EXECUTION OF ACTION-ORIENTED PROGRAMS... 38 ATTAINMENT OF 26 EMPLOYMENT OBJECTIVES... 44 CHALLENGES TO IMPLEMENTING THE 26 PLAN... 45 EDUCATION AND OTHER METHODS TO PREVENT HARASSMENT, DISCRIMINATION AND RETALIATION. 48 MONITORING AND REPORTING ON PROGRESS... 49 ORGANIZATIONAL PROFILE EHRA WORKFORCE... 5 ORGANIZATIONAL PROFILE SHRA WORKFORCE... 5 STATISTICAL ANALYSIS... 52 Work Force Analysis in Job Groups Availability Analysis by Job Groups Incumbency vs. Estimated Availability Incumbency vs. Estimated Availability: Additional Data Annual Placement Goals APPENDICES... 75 Harassment, Discrimination and Retaliation Policy (Appendix A) Definition of Veteran Status (Appendix B) Diversifying Applicant Pools (Appendix C) EHRA Job Description Form and Recruitment Plan (Appendix D) Affirmative Action Data Request Form (Appendix E) Interim Recruitment Report and Applicant Flow Form (Appendix F) EHRA Compliance Report (Appendix G) SHRA Job Application (Appendix H)
INTRODUCTION Appalachian State University is an Affirmative Action/Equal Employment Opportunity Employer in accordance with Executive Order 246, as amended. The Executive Order requires federal contractors and subcontractors to comply with the equal employment opportunity (AA/EEO) and affirmative action (AA) requirements of their contracts and prohibits discrimination in employment based on race, color, religion, sex, national origin, political affiliation, age, disability or veteran status. The regulations promulgated by the Office of Federal Contract Compliance Programs (OFCCP), the agency responsible for enforcement of Executive Order 246, require federal contractors to have AA/EEO Plans that provide an overview of a contractor s employment practices and policies, an analysis of the contractor s workforce and, where appropriate, the establishment of Placement Goals. Appalachian State University is an affirmative action and equal employment opportunity employer. The University does not discriminate in access to its educational programs and activities, or with respect to hiring or the terms and conditions of employment, on the basis of race, color, national origin, religion, sex, gender identity and expression, political affiliation, age, disability, veteran status, genetic information or sexual orientation. The University actively promotes diversity among students and employees. The University is committed to its affirmative action plans and seeks to deepen its applicant pools by attracting the interest of qualified individuals from diverse backgrounds. The University has established Placement Goals in order to fulfill its AA/EEO obligations in accordance with OFCCP regulations. The establishment of Placement Goals does not amount to an admission of impermissible conduct. It is neither a finding of discrimination nor a finding of a lack of good faith affirmative action efforts. Rather, the establishment of Placement Goals is designed to be a technical targeting term used exclusively by AA/EEO officers who seek to apply good faith efforts to increase the employment percentage of minorities and women in the workforce. Appalachian State University has two categories of employees SHRA and EHRA. SHRA employees are subject to the State Human Resources Act and the State Personnel Manual governs the policies and procedures applicable to these positions. EHRA employees are not subject to the State Human Resources Act and the UNC Code and Policy Manual govern the policies and procedures applicable to these positions. The Office of Equity, Diversity and Compliance (EDC) prepared the AA/EEO Plan with generous support and assistance from Heather Langdon, Associate Director of Institutional Research. All questions regarding the Plan should be directed to the Office of Equity, Diversity and Compliance. 4
STATE HUMAN RESOURCES MANUAL EQUAL EMPLOYMENT OPPORTUNITY Section, Page Effective Date: June, 25 EQUAL EMPLOYMENT OPPORTUNITY POLICY Contents: Policy Coverage Veterans Office of State Human Resources Responsibilities Agency, Department and University Responsibilities Complaint Process Definitions Policy The State of North Carolina recognizes that an effective and efficient government requires the talents, skills and abilities of all qualified and available individuals, and seeks opportunities to promote diversity and inclusion at all occupational levels of State government s workforce through equal employment opportunity (EEO) workforce planning initiatives. The State is committed to ensuring the administration and implementation of all human resources policies, practices and programs are fair and equitable without unlawful discrimination, harassment or retaliation on the basis of race, religion, color, national origin, sex (including pregnancy), age (4 or older), political affiliation, genetic information, or disability, except where age, sex, or physical requirements constitute bona fide occupational qualifications. State agencies, departments and universities shall be accountable for administering all aspects of employment, including hiring, dismissal, compensation, job assignment, classification, promotion, reduction-in-force, training, benefits and any other terms and conditions of employment in accordance with federal and State EEO laws. See the Unlawful Workplace Harassment policy in Section of the State Human Resources Manual for provisions related to unlawful harassment, including sexual harassment, and retaliation. Revision No. 5 Equal Employment Opportunity Policy
STATE HUMAN RESOURCES MANUAL EQUAL EMPLOYMENT OPPORTUNITY Section, Page 2 Effective Date: June, 25 EQUAL EMPLOYMENT OPPORTUNITY POLICY Coverage Individuals protected by provisions of this policy are:. current employees; 2. former employees; and 3. job applicants Veterans Job discrimination of veterans shall be prohibited and affirmative action shall be undertaken to employ and advance in employment eligible veterans in accordance with Article 3 of G.S. 26 and G.S. 28-5. See the Veteran s Preference policy in Section 2 of the State Human Resources Manual for provisions related to veteran s preference including the employment and advancement of protected veterans. Office of Human Resources Responsibilities The Office of State Human Resources (OSHR) shall:. establish the EEO Plan Requirements and Program Guidelines in accordance with federal and state laws to be followed by all agencies, departments and universities, to ensure commitment to and accountability for equal employment opportunity throughout State government; 2. review, approve and monitor all EEO plans and updates; 3. provide services of EEO technical assistance, training, oversight, monitoring, evaluation, support programs, and reporting to ensure that State government s work force is diverse at all occupational levels; 4. develop and promote EEO programs and best practices to encourage consistent and fair treatment of all State employees; 5. meet with agency heads, department heads, and university chancellors, Human Resources Directors and EEO Directors/Officers annually to discuss the progress made toward reaching program goals; and Revision No. 5 Equal Employment Opportunity Policy
STATE HUMAN RESOURCES MANUAL EQUAL EMPLOYMENT OPPORTUNITY Section, Page 3 Effective Date: June, 25 EQUAL EMPLOYMENT OPPORTUNITY POLICY 6. provide a report annually to the Human Resources Commission and the Governor on the EEO Plans and progress by agencies, departments, universities and state government. Agency, Department and University Responsibilities: Each Agency Head, Department Head and University Chancellor shall:. adhere to the policies and programs that have been adopted by the State Human Resources Commission and approved by the Governor; 2. ensure the agency, department or university s commitment to EEO is clearly communicated to all employees; 3. ensure that Human Resources policies and employment practices are implemented consistently and fairly; 4. designate an EEO Officer/Director who has access to the agency head, department head or university chancellor to be responsible for the operation and implementation of the EEO Plan; 5. provide the necessary resources to ensure the successful implementation of the EEO Program; 6. ensure each manager and supervisor has, as a part of his or her performance plan, the responsibility to comply with EEO laws and policies, and assist in achieving EEO goals established by the agency, department or university; 7. ensure the EEO Plan is designed in accordance with the EEO Plan Requirements and Program Guidelines as specified by the Office of State Human Resources; 8. ensure the EEO Plan is submitted by March st of each year to the Office of State Human Resources for review and approval as required by G.S. 26-9; 9. ensure all employees are made aware of the EEO policy including the Unlawful Workplace Harassment Policy found in Section of the State Human Resources Manual;. develop strategies to prevent unlawful workplace harassment and retaliation in the workplace; Revision No. 5 Equal Employment Opportunity Policy
STATE HUMAN RESOURCES MANUAL EQUAL EMPLOYMENT OPPORTUNITY Section, Page 4 Effective Date: June, 25 EQUAL EMPLOYMENT OPPORTUNITY POLICY. ensure required employee notices describing Federal laws prohibiting job discrimination are posted in work locations where notices to applicants and employees are customarily posted and easily accessible to applicants and employees with disabilities; 2. maintain records of all complaints and grievances alleging discriminatory practices; and 3. ensure all newly hired, promoted, or appointed supervisors and managers complete required EEO training in accordance with G.S. 26-6.. See the Equal Employment Opportunity Institute policy located in Section of the State Human Resources Manual for information related to EEO training. Complaint Process An individual covered by this policy who is alleging unlawful discrimination may file a complaint following the process outlined in the Employee Grievance Policy located in Section 7 of the State Human Resources Manual. For the purpose of this policy, political affiliation is not a protected classification under federal EEO law but may be grieved pursuant to G.S. 26-34.2 as a contested case after completion of the agency grievance procedure and the Office of State Human Resources review. Definitions Age Discrimination The Age Discrimination in Employment Act of 967 forbids employment discrimination on the basis of age against individuals who are age 4 or older. Bona Fide Occupational Qualification (BFOQ) A BFOQ is any requirement which is job-related and necessary for the performance of the job. Age, sex or physical requirements may be considered if they constitute a BFOQ necessary for job performance in the normal operations of the agency. Such standards are reasonably necessary for the specific work to be performed and are uniformly and equally applied to all applicants for the particular job category. Whether such a requirement is a BFOQ will depend on the facts in each case. This exemption will be construed very narrowly and the agency, department or university will have the burden of Revision No. 5 Equal Employment Opportunity Policy
STATE HUMAN RESOURCES MANUAL EQUAL EMPLOYMENT OPPORTUNITY Section, Page 5 Effective Date: June, 25 EQUAL EMPLOYMENT OPPORTUNITY POLICY proving the exemption is justified. To establish age, sex or physical requirements as a BFOQ, it will be necessary to submit a recommendation to the Office of State Human Resources, setting forth all facts and justification as to why the requirement should be considered as a reasonable employment factor in each of the classifications in question. Disability Discrimination The Americans with Disabilities Act of 99 (ADA) and the Americans with Disabilities Act Amendments Act of 28 (ADAAA) prohibits discriminatory treatment of a qualified individual who has a physical or mental impairment that substantially limits one or more major life activities, has a history (or record) of such an impairment, or is regarded as having such an impairment that is not transitory (lasting or expected to last six months or less) or minor. In addition, the law protects covered individuals from discrimination based on their known relationship (or association) with an individual with a disability (even if they themselves do not have a disability). Refer to the Reasonable Accommodation policy in Section of the State Human Resources Manual for information on how to request and process requests for accommodations for covered individuals with disabilities. Genetic Information Discrimination - The Genetic Information Nondiscrimination Act of 28 (GINA) is a federal law which prohibits discrimination in the terms and conditions of employment against covered individuals based on their genetic information. Genetic information is: an individual s genetic tests (including genetic tests done as part of a research study); genetic tests of the individual s family members (defined as dependents and up to and including 4th degree relatives); genetic tests of any fetus of an individual or family member who is a pregnant woman, and genetic tests of any embryo legally held by an individual or family member utilizing assisted reproductive technology; the manifestation of a disease or disorder in family members (family history); and any request for, or receipt of, genetic services or participation in clinical research that includes genetic services (genetic testing, counseling, or education) by an Revision No. 5 Equal Employment Opportunity Policy
STATE HUMAN RESOURCES MANUAL EQUAL EMPLOYMENT OPPORTUNITY Section, Page 6 Effective Date: June, 25 EQUAL EMPLOYMENT OPPORTUNITY POLICY individual or family member. National Origin Discrimination Title VII of the Civil Rights Act of 964 prohibits unfavorable treatment of covered individuals because he or she is from a particular country or part of the world, because of ethnicity or accent, or because he or she appears to be of a certain ethnic background (even if he or she is not). In addition, the law covers individuals who are married to (or associated with) an individual of a certain national origin or because of their connection with an ethnic organization or group. Pregnancy Discrimination The Pregnancy Discrimination Act of 978 prohibits unfavorable treatment of a covered individual because of pregnancy, childbirth, or a medical condition related to pregnancy or childbirth. Race/Color Discrimination Title VII of the Civil Rights Act of 964 forbids unfavorable treatment of covered individuals because he or she is of a certain race or because of personal characteristics associated with race (such as hair texture, skin color, or certain facial features). Color discrimination involves treating an individual unfavorably because of skin color. In addition, Title VII protects covered individuals from discrimination because the individual is married to (or associated with) an individual of a certain race or color or because of an individual s connection with a race-based organization or group, or an organization or group that is generally associated with people of a certain color. Religious Discrimination Title VII of the Civil Rights Act of 964 forbids unfavorable treatment of covered individuals because of his or her religious beliefs. The law protects not only the people who belong to traditional, organized religions (such as Buddhism, Christianity, Hinduism, Islam, and Judaism), but also others who have sincerely-held religious, ethical or moral beliefs. In addition, Title VII protects an individual who is married to (or associated with) an individual of a particular religion or because of his or her connection with a religious organization or group. The agency, department, or university must reasonably accommodate an employee s religious beliefs or practices, unless doing so would cause unreasonable difficulty or expense for the agency, department or university. This would include making reasonable adjustments at work that will allow the employee to practice his or her religion. Revision No. 5 Equal Employment Opportunity Policy
STATE HUMAN RESOURCES MANUAL EQUAL EMPLOYMENT OPPORTUNITY Section, Page 7 Effective Date: June, 25 EQUAL EMPLOYMENT OPPORTUNITY POLICY Sex-Based Discrimination Title VII of the Civil Rights Act of 964 forbids unfavorable treatment of covered individuals because of that individual s sex. In addition, the law protects an individual because of his or her connection with an organization or group that is generally associated with people of a certain sex. The Equal Pay Act of 963, as amended, prohibits sex discrimination in the payment of wages to women and men performing substantially equal work, in jobs that require equal skill, effort, and responsibility, under similar working conditions, in the same establishment. Revision No. 5 Equal Employment Opportunity Policy
HARASSMENT AND DISCRIMINATION POLICY Harassment based upon race, color, religion, sex, national origin, age, genetic information, political affiliation, veteran status, or disability is a form of discrimination in violation of federal and/or state law and Appalachian State University policy, and neither harassment nor other forms of impermissible discrimination will be tolerated. It is the internal policy of Appalachian State University to prohibit harassment and other forms of discrimination on the basis of sexual orientation, as well as gender identity and expression. Retaliation against any person opposing, complaining of, or participating in an investigation of harassment or other forms of impermissible discrimination is a violation of federal and state law and Appalachian State University policy, and will not be tolerated. Appalachian State University policy prohibits members of the University community from engaging in speech or conduct that constitutes harassment, discrimination or retaliation. The University is committed to providing an atmosphere in which students and employees are free from all forms of impermissible discrimination. The University s Policy Prohibiting Workplace Harassment is included at Appendix A. VETERAN STATUS STATEMENT Appalachian State University does not discriminate against employees or applicants for employment because they are special disabled veterans, veterans of the Vietnam era, recently separated veterans, or other protected veterans in regard to any position for which an individual is qualified. The University agrees to take affirmative action to employ, advance in employment, and otherwise treat qualified individuals without discrimination based upon their disability or veteran status in all employment practices. The Vietnam Era Veterans Readjustment Assistance Act of 974 (VEVRAA), as amended, requires employers to provide qualified veterans an equal opportunity to benefit from the full range of employment-related opportunities available to applicants and employees. The definitions of veterans covered by VEVRAA are included at Appendix B. EMPLOYEES WITH DISABILITIES STATEMENT Appalachian State University does not discriminate against employees or applicants for employment because of a physical or mental disability in regard to any position for which an individual is qualified. The University agrees to take affirmative action to employ, advance in employment and otherwise treat qualified individuals with disabilities without discrimination based on a physical or mental disability in all employment practices. The Rehabilitation Act of 973, as amended, and the Americans with Disabilities Act of 99, as amended, require employers to provide qualified individuals with disabilities an equal opportunity to benefit from the full range of employment-related opportunities available to applicants and employees. For example, the laws prohibit discrimination on the basis of disability in recruitment, hiring, promotions, training, pay, social activities, and other privileges of employment. Further, the laws restrict questions that can be asked about an applicant's disability before a job offer is made, and 3
requires that employers make reasonable accommodations for the known physical or mental limitations of otherwise qualified individuals with disabilities, unless doing so would result in undue hardship. DESIGNATION OF RESPONSIBILITY FOR IMPLEMENTATION OF THE AA/EEO PLAN Governor The Governor of the State of North Carolina has overriding responsibility for the state's equal employment opportunity policies and programs. The responsibility for the actual development and implementation of individual equal employment opportunity plans and programs is delegated by the Governor to each University Chancellor and each head of a department of state and each head of a state agency or commission. Office of State Human Resources Responsibility for the provision of technical assistance in AA/EEO and program review, monitoring and evaluation according to State Human Resources Commission policy and guidelines is delegated to the Office of State Human Resources. The responsibilities of the Equal Employment Opportunity Program include:. approving all equal employment opportunity and unlawful workplace harassment prevention plans and the AA/EEO segment of all reduction-in-force plans; 2. designing and implementing the monitoring and reporting systems for equal employment opportunity planning and for determining the effectiveness of each AA/EEO plan and program; 3. providing technical assistance for plan and program development and recommendation of corrective action where necessary; 4. providing assistance in identifying problem areas; 5. developing and implementing AA/EEO support programs; 6. developing and implementing AA/EEO training programs; and 7. evaluating progress and programs designed to enhance equal opportunity and personnel practices to assure non-discrimination. University Chancellor The responsibility for the actual development and implementation of individual equal employment opportunity plans and programs is delegated in state personnel policy by the Governor to each head of a state department, agency or commission and to each University Chancellor. These officials have the ultimate responsibility for ensuring that AA/EEO policy and programs specific to their organization are fully developed and successfully implemented. They are further charged with the responsibility for ensuring that all employment practices and all aspects of the employment function within their organization are implemented in a manner which is equal for all applicants and employees and consistent with state personnel policy promulgated by the State Human Resources Commission, and with G.S. 26-9. 4
Specific steps shall be taken to ensure that the achievement of AA/EEO policies and objectives is documented in detail in the plan. These specific steps include:. establishing procedures to ensure that every manager or supervisor who has authority in any personnel matter will exercise that authority in accordance with State personnel policy and will help to achieve the University s AA/EEO efforts; 2. establishing accountability for AA/EEO achievement by including a factor in the performance evaluation process that measures the AA/EEO performance of each manager and supervisor; 3. appointing or designating a management-level official to serve as the University s AA/EEO Officer; 4. effectively communicating AA/EEO policies, plans and procedures to all employees; 5. effectively communicating AA/EEO policies, plans and procedures to applicants for employment and the general public; and 6. providing necessary resources to assure the successful implementation of the AA/EEO program; 7. establish procedures for the prevention of unlawful workplace harassment Administration The Chancellor has the ultimate responsibility for implementing the AA/EEO Plan and ensuring that the University meets its equal opportunity goals. However, the success of the AA/EEO Plan depends on those making the University s day-to-day employment decisions. This responsibility rests upon the Chancellor, Senior Administrative Officers, Deans, Unit/Department Heads, Human Resources (HR), and all other administrative personnel who play a role in appointing, promoting, and establishing compensation for University personnel. The Associate Vice Chancellor for Equity, Diversity and Compliance (AVC) is responsible for ensuring the University s promotion of and compliance with AA/EEO initiatives, including disseminating information, providing training and educational opportunities, recommending policy changes, defining problem areas and proposing solutions. Associate Vice Chancellor for Equity, Diversity and Compliance The Chancellor has authorized the AVC to design, implement and monitor the AA/EEO Plan. The responsibilities of the AVC include: Develop AA/EEO policy statements, AA programs, and internal and external communication procedures. Provide advice and counsel to academic and administrative units and University constituencies on all matters related to AA/EEO. Oversee the AA/EEO components of EHRA job searches. Serve as a resource to HR on the AA/EEO components of SHRA searches. Monitor compliance with the University s AA/EEO Plan. Review employment policies and practices for compliance with state and federal law. Provide training and information sessions for EHRA search committees. Serve as a liaison between the University and AA/EEO enforcement agencies. 5
While it is ultimately the responsibility of each unit/department head to ensure compliance with AA/EEO policies and practices, the AVC advises managers and supervisors on issues related to program effectiveness, improving AA/EEO performance and addressing AA/EEO problem areas. Search Committees and Hiring Authority The effectiveness of the AA/EEO Plan rests heavily on the due diligence practiced by search committees and hiring managers and supervisors. The search committees and hiring authorities play an active role in the advertising, recruitment, and selection processes for hiring. The responsibilities of search committees and hiring authorities include the following: Prepare detailed job announcements that articulate the University s AA/EEO commitment. Review availability data and Placement Goals in the AA/EEO Plan. Actively recruit to attract applicants from underrepresented populations. Evaluate all applications without regard to impermissible discriminatory factors. Recommend candidates for hire in a timely manner to ensure the availability of qualified candidates. Managers and Supervisors As the personnel decisions which impact most directly the success of the AA/EEO program are made by persons at the managerial and/or supervisory level, the roles of manager and supervisor are most crucial to the program. Each manager and supervisor is responsible for implementing the specific elements of the AA/EEO plan, that are designed to eliminate barriers to equal employment opportunity which causes this underutilization. This section of the AA/EEO plan should clearly state that the manager s/supervisor's performance in achieving equal employment opportunity objectives will be included in his/her/their evaluation for promotions and performance increases. The specific responsibilities of managers and supervisors include, but are not limited to: assisting in the identification of problem areas and establishing program objectives; making every effort to achieve program objectives and maintaining a diverse workforce for the department, division, work unit or section; providing career counseling for employees and ensuring that all employees are given the full opportunity to attend workshops and seminars and/or to take credit courses under the provisions of the University s educational assistance program; assisting the AVC in periodic evaluations to determine the effectiveness of the AA/EEO program; sensitizing employees to all AA/EEO policies; preventing and correcting unlawful workplace harassment of employees; and providing a work environment and management practices which support equal opportunity in all terms and conditions of employment. 6
DISSEMINATION OF THE AA/EEO PLAN Appalachian State University s Equal Opportunity Policy is widely distributed to internal and external stakeholders. The policy appears on the University s web pages and in its publications. All official University publications, stationery, and SHRA and EHRA job advertisements include a reference to the University s commitment to equal opportunity. The AA/EEO Plan will be widely disseminated on campus to Senior Administrators, Deans, Directors, and Department/Unit Heads. The Plan will be available on the University s web sites, including the web pages for HR and EDC. INTERNAL DISSEMINATION Reaching All Employees Publication Responsibility Time of Publication Chancellor s Office Provost s Office Official University Human Resources publications and web sites University Communications (AA/EEO Policy Statement) Office of Equity, Diversity and Continuous Compliance University web sites (AA/EEO Plan) Human Resources Office of Equity, Diversity and Compliance Continuous EHRA job advertisements Office of Equity, Diversity and (AA/EEO Policy Statement) Compliance Continuous SHRA Vacancy Postings Office of Human Resources Continuous EXTERNAL DISSEMINATION Publication Responsibility Time of Publication Chancellor s Office Provost s Office Human Resources University Communications Continuous Office of Equity, Diversity and Compliance Official University publications and web sites (AA/EEO Policy Statement) Purchase orders, contracts, etc., as required by Executive Order 246 (AA/EEO Policy Statement) Office of Business Affairs Office of General Counsel Continuous Written notification of AA/EEO Plan and basic content to organizations interested in EHRA employment Office of Equity, Diversity and Compliance Continuous 7
opportunities for women, minorities, veterans and individuals with disabilities Publicity regarding AA/EEO progress on personnel matters in public press and official publications University web sites (AA/EEO Plan) Job advertisements (AA/EEO Policy Statement) Chancellor s Office University Communications Human Resources Office of Equity, Diversity and Compliance Human Resources Office of Equity, Diversity and Compliance Office of Equity, Diversity and Compliance Human Resources Continuous Continuous Continuous PROCEDURES AND PROGRAM ACTIVITIES The fourth and final step in AA/EEO planning is the development and implementation of procedures and enhancement programs designed to address AA/EEO problems and to improve the likelihood of achieving program objectives. Effective procedures and programs are planned on the basis of the availability analysis, the analysis of barriers to equal employment opportunity that have occurred in the University, and the established objectives. To ensure effective implementation and administration, the description of each procedure and program should specify: the objective(s) to be achieved; the specific action for reaching the objectives; the individuals and/organizational units responsible for implementation; and the procedure that will be used to evaluate progress, lack of progress, and required program revisions. The discussion that follows identifies specific procedure and program areas in which plans should be developed. This list is not intended to exhaust all possible procedures and programs that may be used to eliminate underutilization. Each University is encouraged to develop procedures and program activities that address other aspects of personnel management as well. (See the appendices for a sample format which may be used as a guide in describing the University s procedures and program activities.) RECRUITMENT Recruitment of applicants is necessary even in times of austerity. The names of qualified applicants should be maintained in resource files so that they are immediately available when a vacancy occurs. The Office of State Human Resources has implemented an Equal Employment Opportunity Outreach and Skills Bank program to assist state agencies/universities in attracting and locating qualified applicants. The AA/EEO plan that shows good faith with the spirit of the equal employment opportunity policy includes a recruitment program with specific provisions for: 8
. reviewing and monitoring recruitment procedures to abolish any discriminatory practices which exist; 2. reviewing all recruitment literature to ensure that it includes and is relevant to all employees; 3. instituting measures that will improve the University s recruitment process as it relates to the established program objectives. 4. recruiting by the University (or use of the recruitment programs implemented by the Office of State Human Resources on a regular basis) that will place qualified applicants on a schedule that allows for achievement of program objectives within established time frames; and 5. specifying measures for maintaining contact with recruitment resources and informing these resources of employment opportunities, particularly in management, professional, and technical level positions. (See Section 4 for a list of these resources.) SELECTION AND HIRING Studies have shown that discriminatory practices occur more often in the selection process than in any other area of employment practices. The effective AA/EEO plan include procedures to review and evaluate each step of the selection process to assure that job requirements, selection procedures, hiring standards and placement processes contribute to the achievement of program objectives and does not discriminate on the basis of race, color, religion, sex, political affiliation, genetic information, age, national origin, veteran status and disability. The effective AA/EEO plan further includes a selection program of provisions for:. ensuring that job analyses are conducted to establish job-related qualifications statements, selection criteria, training needs, and career ladders or to initiate any other selection procedure. 2. cooperating with the Office of State Human Resources or other trained resources on the review and validation of written tests, interviews or other selection devices; 3. training all employees who interview applicants for employment in proper interviewing techniques; 4. establishing sign-off procedure to ensure that the selection process in underrepresented occupations reflects established program objectives and timetables; 5. analyzing the flow of applicants through the selection and appointment processes, determining reasons for the rejection of qualified applicants from underutilized groups in areas where program objectives have been set or underrepresentation exists, and monitoring the employment of individuals to insure the assignment of work and a workplace on a non-discriminatory basis; and 6. ensuring that testing and interviewing processes are accessible to persons with disabilities; when necessary, using probationary appointments in lieu of testing if a disability prevents an accurate prediction of successful job performance through examination. JOB STRUCTURING To ensure that job descriptions and class specifications do not contain factors which arbitrarily discriminate, the University should establish and maintain a continuous review program in 9
cooperation with the Office of State Human Resources. The effective AA/EEO plan includes job structuring program with provisions for:. the periodic review of job classes and positions to correct inaccurate descriptions and to insure that they are allocated to the appropriate classification; 2. ensuring that job qualification are job-related and consistent with performing the essential functions of the job; 3. restructuring jobs by replacing higher-level vacant positions with entry level or trainee position when possible, to create placement opportunities; and 4. creating career ladders for upward mobility that free positions for additional entry-level placements. TRAINING AND DEVELOPMENT Employee training is a cost effective program. Each University spends substantial amounts of time and money acclimating employees to the job and the workforce. It is often more time-and cost-effective to train qualified employees to perform other jobs or to promote them to higher levels, than to search for qualified persons outside of the agency. Appropriate modifications of a University s employee development program are a significant part of the equal employment opportunity plan. Appalachian State University s training and development programs are designed to: Assist departments in retaining and motivating employees; Identify and address university, departmental, work team, and individual development opportunities for Appalachian State faculty and staff Enhance professional development and further employee career goals; Provide management with the knowledge, principles, and skills to ensure effective, safe and productive work environments for their employees and departments; and Provide information to the campus through orientation programs, professional development (online and classroom based), and related training/informational materials. Listed below are some of the workshops and programs offered: New Employee Orientation: New Employee Orientation (NEO), facilitated by the Office of Human Resources, programs represent valuable introductions for employees to their new organizations. We use NEO to: Welcome new employees and to help them understand the many reasons we are proud of ASU and our people; Provide new hires with information and resources that support their success in their new jobs; Train new hires on important topics, such as workplace safety; Complete new employee paperwork requirements; and Assist eligible new hires with the completion of their benefits elections. 2
Recruitment and Retention Information Sessions EDC regularly conducts recruitment and retention information sessions for department chairs, search committee members for EHRA faculty and non-faculty. Session topics include the following: Recruitment and Selection Procedures for Faculty and Non-Faculty EHRA Positions Affirmative Action Principles and the AA/EEO Plan Equal Opportunity Policy Deepening Applicant Pools Unconscious Bias in the Hiring Process HR conducts workshops and provides advice and oversight to SHRA search committees and hiring managers and supervisors. Supervisor Development Institute: Supervision is no walk in the park! This series is designed to provide the training supervisors need to manage details, lead people, and remain sane. This seminar is designed to introduce new and existing supervisors to concepts they need to be successful at ASU. Leadership Development Program: The Leadership Development Program, presented by the Office of Human Resources, is designed to develop participants capacity to lead and influence others to fulfill their personal and professional goals. Center for Academic Excellence: The Center for Academic Excellence is the university's lead teaching and learning resource for faculty, staff, and students. It was formed by combining the staff and resources from Learning Technology Services and Faculty and Academic Development into a single, comprehensive center dedicated to growing excellence in teaching and learning and supporting faculty and student success. Tuition Waiver: The University provides a Tuition Waiver and an Academic program for eligible University employees. Employees may apply for waived tuition for up to 3 courses per academic year (defined as the Fall, Spring, and two Summer semesters). You may you use two waivers per semester. Employee Assistance Program: Human Resources, Academic Affairs and Counseling for Faculty and Staff have partnered with ComPsych GuidanceResources to provide all Appalachian State University faculty and staff an enhanced Employee Assistance Program. GuidanceResources services provides confidential support, resources and information for personal and work-life issues. These services are are provided at no charge. Lynda.com: Lynda.com is a web-based archive of more than 4, professional development videos. Appalachian State University Information Technology Services (ITS) subscribes to this service which offers, exceptional professional development resources to help employees advance their knowledge and skills in areas ranging from technology and computer software to business, personal and professional skills. 2
PROMOTION The AA/EEO program impacts not only recruitment, selection, and hiring but also on promotion and the upward mobility of underutilized groups. It is equally unlawful to fail to provide an equal opportunity for upward mobility to all employees as to fail to offer an equal opportunity for employment. In order to assure that all employees who are qualified for promotion or other forms of upward mobility are not adversely affected by the process of selecting employees for these opportunities, an effective AA/EEO plan incorporates an upward mobility procedure/program that includes provisions for:. establishing sign-off procedures to ensure that all workers are included in promotions and any other personnel activity which impacts their upward mobility; 2. researching employee qualifications (particularly in a lower level job classification) to identify those who may become qualified to move to higher level classes after the provision of training or who are overqualified for their current job; 3. developing a program which facilitates the advancement of these workers to higherlevel jobs; and 4. creating career development plans for employees who demonstrate the potential for advancement. This program must also provide for redefining the qualifications for jobs when the newly trained workers are found to perform successfully, but lack the stated qualifications. In addition, if the research of employee qualifications does not yield an appropriate lower level job classification with reasonable diversity the University should consider proposing the initiation of an entry-level classification to create a career ladder program. Upward mobility promotional programs should be accompanied by plans for informing all University employees of each opportunity. This program should also have a mechanism for providing career counseling and reminders of its availability. GRIEVANCE PROCEDURE The grievance procedure is designed to ensure fair and equitable review of employment complaints. The AA/EEO Officer should be familiar with the grievance procedure established for the University. Also, the AA/EEO Officer should have the authority to informally examine the situation with the employee, discuss the employee s concerns, suggest certain kinds of solutions and/or recommend others to the appropriate authority, and offer sound advice. The informal involvement of AA/EEO Officers is essential to the resolution of employment problems which could grow into costly litigation. DISCIPLINARY PROCESS The disciplinary process is designed to provide management and employees a fair, clear and useful tool for correcting and improving performance problems, as well as to provide a process to assist management in handling cases of unacceptable personal conduct. The AA/EEO Officer should be familiar with the disciplinary policy and procedures and provide informal guidance to both employees and management. 22
TRANSFER AND /OR SEPARATIONS A structured and uniform procedure should be implemented for determining the primary reasons for voluntary transfers and /or separations. This procedure should involve conducting exit interviews with departing employees, or obtaining post transfer or separation questionnaires. An analysis of the information collected should be shared with top management to alert them of any conditions that need immediate attention. COMPENSATION AND BENEFITS A structured and uniformed procedure should be implemented to ensure fairness and equity in the administration of compensation. The process should include criteria for approval of all salary recommendations above the hiring rate. The criteria should include, but not be limited to, related education, training, and experience (paid and volunteered) as well as the salaries of current employees performing similar duties and responsibilities. Also, analysis should be conducted to ensure that all benefits and conditions of employment are available equally without discrimination to all employees. This includes leave policies, retirement plans, insurance programs and other terms, conditions and privileges of employment. The AA/EEO Officer should be involved in monitoring salary recommendations in an effort to identify trends and discuss concerns with management in order to minimize inequities. Also, AA/EEO Officers should review and make recommendations regarding benefit policies and procedures. MONITORING PROCEDURES An internal monitoring and evaluation system to audit personnel policy and personnel decisions is essential to ensure non-discrimination and the achievement of objectives and timetables. Additionally, an evaluation of progress is essential to assess the overall effectiveness of the equal employment opportunity program and to provide data upon which to base recommendations for future action. To carry out these objectives, the effective EEO plan will include an internal monitoring and evaluation program with provisions for:. The regular review and evaluation of the AA/EEO plan and all AA/EEO program activities (it is suggested that the plan and programs be evaluated on a monthly basis, with an annual summary); 2. Monthly analysis of trends in hiring and promotions; 3. Monthly reports to the agency head on progress and problems; and 4. The update of the AA/EEO plan as required by the Office of State Personnel to set new employment objectives and develop programs as needed. The effective internal monitoring and evaluation program will cover most aspects of the employment function. Monthly reporting is suggested as the most reasonable interval for identifying problem areas in time to effect changes that will be significant to the achievement of success. In addition, data reports are vital to holding management accountable for unsatisfactory performance and are an expected programmatic function. AA/EEO reporting systems can provide the documentation that justifies employment decisions. In order to determine the effectiveness of the University s AA/EEO program, several suggested internal monitoring and 23
evaluation reports are listed on the following page along with suggested frequency of the reports and the person responsible for compiling them. AA/EEO Reports TYPE OF REPORT FREQUENCY RATE PERSON RESPONSIBLE. Report on Selection Decisions Including data on the number of applicants or candidates, indicating the number selected, and placed (R/S/H)* and giving the reasons for selection or rejection. Each new hire/promotion or other selection activity on an underrepresented SOC category. Compile a monthly report Associate Vice Chancellor for Equity, Diversity and Compliance (AVC) 2. Impact of Selection Decisions Adverse impact of each selection decision in underrepresented SOC s. Compile a monthly summary AVC after each selection decision 3. Report on Training Including data on the number of requests for training and number of employees receiving training (R/S/H)* 4. Monthly Summary of AA/EEO Activity and Progress Including data on the underrepresentation, goals, new hires, promotions, training requested, training received and separations occurring during the quarter (R/S/H)* 5. Annual Summary of AA/EEO Activity and Progress Quarterly Summary Monthly except when training component which is compiled quarterly Annually AVC, managers and supervisors AVC AVC 24
PROCEDURES & QUICK CHECKLIST FOR RECRUITMENT & SELECTION FOR SHRA POSITIONS. Application Information All applications are pre-screened by HR to ensure that the State s Minimum Qualifications for the position are met. Upon the Search Chair s request, HR screens and refers applicants who are Among the Most Qualified for the specific posting. For example, HR may refer the top 5-2 candidates and hold others in reserve. When posting deadlines, it is removed from the website on the closing date by midnight. During the posting period, HR may periodically screen applications (if time permits) and refer qualified applicants to the Search Chair. The Search Chair receives an email within two (2) business days after the closing date notifying that all of the qualified applicants are referred and now available to the Search Chair. No applicants should be contacted until they are all received and reviewed. 2. AsU Learn Merit Based Recruitment & Selection Workshop All Search Chairs and Hiring Authority for SHRA positions are required to take or have completed the online AsU Learn courses on Merit Based Recruitment & Selection. These courses assist in the SHRA recruitment & selection process and contain essential information. Please note all applications in the applicant pool will not be released until HR has confirmed the Search Chair and Hiring Authority have completed both courses and completed the quiz successfully (9 out of 2 correct). 3. Search Committee Search Committees are not required for SHRA searches but are highly recommended. The Search Chair can add their Search Committee Members to their posting or email the names of the Search Committee members to Shelley Leder at leders@appstate.edu. HR assigns each Search Committee Member a student role in the AsU Learn Merit Based Recruitment & Selection Course & Quiz. All Search Committee members should read through the course (only the Hiring Authority and Search Chair are required to pass the quiz). All Search Committee members are required to complete the Confidentiality Statement. 4. Guest Users (non-appstate employee) The Search Chair will assign access to Guest Users from the Posting by clicking Edit, Guest User, Create Guest User Account, which will allow Guest Users to view the applications. The system will automatically generate a Guest Username and Password (which can be updated). Enter email addresses of each Guest User and click Update Guest User Recipient List and on the Posting Summary page click Activate Guest User. The Search Chair will notify each Guest User of the Guest Username and Password. 5. Find Your Posting and View Applications Go to the AppState Careers Hiring Site and log in. Access the Posting via the Watch List, Inbox, Home page or Postings SHRA, and select the desired Posting. On the far right of the desired Posting, click Actions and then click View Applicants. 25