V. Reviews of Delegated College Personnel Actions (HEO Guidelines)
The University Personnel Office will conduct both periodic, routine reviews and specialized reviews of personnel actions delegated to the colleges by the Board, the Chancellor, and the Vice Chancellor. These reviews are intended primarily for the benefit of the colleges to identify areas in which college performance can be enhanced and safeguards strengthened.
A. ROUTINE REVIEWS
In conducting routine reviews, OFSR will identify on a random basis personnel actions for inspection. OFSR will ascertain whether the appointed individual met Board Bylaw qualifications, whether the appointment process conformed to these Guidelines and the University's Affirmative Action Policy, whether compensation was set consistent with contractual agreements and University policy, whether waivers, where required, were properly processed, whether background verifications were made, and so forth. If irregularities are found, OFSR may seek to correct specific actions or require submission of additional information to determine the extent of the problem.
Routine reviews will occur on a scheduled basis with adequate notification to the colleges. Reviews will be conducted using automated systems and paper records when possible. Other techniques, such as site visits, interviews, and desk audits, will be incorporated as appropriate to the review. Colleges will be consulted throughout the review and, upon conclusion, a meeting will be held to discuss the findings. The college will be afforded an opportunity to respond to drafts of any written report(s) before they are finalized.
It should also be noted that the new Office of Compliance and Diversity Programs, in concert with the University Affirmative Action Committee, will continue to conduct site visits to assess the success of the colleges' affirmative action programs.
B. SPECIAL REVIEWS
In addition to routine scheduled reviews, there may be a need to conduct other special reviews. Typically these reviews will result from a particular policy concern of the University or a concern regarding the administration of the HEO process at a particular college. The University, in conducting such reviews, will provide the colleges with as much advance notice as practicable and will permit the colleges an opportunity to comment on any findings and take corrective measures prior to any University action.
C. CORRECTIVE ACTION
In the unlikely event that a serious lapse in personnel administration is discovered, such information will be provided to the Vice Chancellor for appropriate action. Attempts will be made to keep corrective actions as unintrusive as possible, but violations of University policy and state law will be rectified.
Corrective actions, when warranted, may include:
- conducting more extensive and/or frequent reviews or investigations;
- establishing with the college new ground rules for future actions to prevent errors;
- mandating that the college take certain corrective actions;
- redcircling classifications and/or appointments;
- rescinding improper appointments, promotions, reclassifications, pay increases, etc.;
- referring issues of significance to Internal Audit;
- temporarily suspending a college's delegated authority; and
- revoking a college's delegated authority.
Last Updated: 9/10/02
Office of Human Resources Management
205 East 42nd Street
New York, New York 10017
Phone (646) 664-3263 Fax (646) 664-2961