AGENDA HR Partners Meeting – January 20, 2016 HR Year of Transformation HR Website Update Weingarten Meetings Talent Management System RTO and PRF Timelines OA & SEIU Class/Comp Projects Speaker: Trisha Burnett, Interim Chief Auditor

CUPA-HR Oregon Chapter Spring 2016 Conference Friday, March 25, 2016 University of Oregon, Eugene Conference Agenda Coming Soon 2

HR Year of Transformation HR Strategic Initiatives: 1.Integrate HR into the campus community as a strategic partner 2.Build HR processes, systems and infrastructure to provide streamlined, state of the art services to campus partners 3.Develop HR expertise to enable HR to advance university goals and the institution's HR capacity 3

HR Webpage Update 4

Things to Remember Regarding Weingarten Rights Pursuant to the United States Supreme Court decision in NLRB v. J. Weingarten, Inc., employees have a right to a union representative during investigatory interviews or questioning when the employee has a reasonable belief that discipline or other adverse employment consequences may result from what he or she says. Weingarten does not apply to meetings where the employee’s belief that the meeting will lead to disciplinary consequences is not reasonable. If a meeting is not for the purpose of investigating an employee for disciplinary purposes but the employee believes it is, a good way to minimize Weingarten problems is to clearly inform the employee that no discipline will result from information learned in the meeting, and then following through on that promise. If the meeting is for the purpose of investigating an employee for disciplinary purposes and the employee requests a steward at any time during the meeting, questioning must stop until the employee is able to secure the presence of a steward. Weingarten does not apply to normal supervisor/employee interactions where discipline is not contemplated, even when the feedback is critical. Weingarten does not apply to meetings where an investigation has been concluded and discipline is issued to an employee.

Things to Remember Regarding Weingarten Rights, Continued Weingarten does not apply to situations where you tell an employee to stop prohibited behavior (smoking, harassment, performing work, etc…), as opposed to asking questions about/investigating prohibited behavior. As a general rule the University makes efforts to offer a union representative when appropriate, but it is ultimately the responsibility of the employee to request and arrange for representation. An employee may not be retaliated against for requesting a steward. It is the practice of the University to, when possible, provide sufficient notice so as to allow the presence of a union representative should one be requested.

Talent Management System Thank you to selection committees Core Implementation Team members Save the Date for PageUp Demonstration: next HR Partners Meeting-Wed, February 17 th 7

RTO & PRF Deadlines RTOs (Request to Offers) OAs: March 31 st for July 1 st renewals. 12 month Faculty: May 1 st for July 1 st renewals. 9 month Faculty: July 1 st for September 16 th renewals. Other renewal dates: Two months prior to the start of the notice of appointment. PRFs (Payroll Request Forms) Summer PRFs: May 15 th or the 15 th of the month prior to effective date on PRF. Other PRFs: 15 th of the month prior to effective date on PRF. PRF labor distribution changes: Send directly to payroll. 8

OA Classification & Compensation We have a preliminary compensate structures developed for our OA positions. We have been reviewing the placement of these positions with Senior leadership as well as calibrating common roles across campus for consistency. Projected timeline for next steps: (Subject to revisions) By the end of March: The project team, with executive leadership approval, will have finalized the job framework and compensation structure. By the end of June: Supervisors will have completed training on the compensation structure and will have notified all OAs of their position placement within the new structure. By the end of 2016: Full implementation of the new structure will be completed and salary ranges will be utilized by supervisors when making compensation decisions, such as new hire offers, equity, promotional or merit increases, etc. 9

SEIU Classification & Compensation We have been working closely with VPs to create and submit a Memorandum of Understanding to SEIU for review that includes our proposed next steps and processes. We are waiting for a response from SEIU regarding our proposal to move forward. More information should be available after March 1, included updated timeline and information on next steps. 10

The University’s Office of Internal Audit Introduction January 20, 2016 Presented By: The Office of Internal Audit Trisha Burnett, Chief Auditor

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13 To achieve independence, objectivity, and the organizational stature necessary to effectively fulfill its obligations, Internal Audit reports functionally to the Executive and Audit Committee and administratively to the President’s Office. The Organizational Structure & Placement

Overview of Internal Audit 14 History The University of Oregon (UO) separated from the Oregon University Systems (OUS) under the authority of the State Board of Higher Education (SBHE) on July 1, As a result of this separation, the UO established its own governing board and implemented an internal audit function. Internal Audit Charter Internal Audit’s activities are conducted under a defined charter, approved by the UO Board of Trustees, which states the purpose, mission, authority, and responsibility of the department.

Overview of Internal Audit 15 Purpose Provide independent, objective assurance and advisory services that add value and accountability while driving improvement to the operations of the University. Mission The mission of the Office of Internal Audit is to assist leadership in accomplishing its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, internal controls, and governance processes. Internal audit services are carried out with objectivity, transparency, fairness, and in accordance with the highest professional and ethical standards.

16 A System’s Audit Function vs. An Organization’s Own Audit Function Internal Audit at a system level is spread across multiple institutions. The audit function is from an external authoritative body that feels different for employees who are experiencing an audit. Auditor’s that work for the same organization have a vested interest in the success of its mission. Resources don’t always allow auditors to conduct a detailed risk assessment and audit plan that is unique to the needs of the individual organization. Audits tend to focus on central functions and not on distributed units or users of the systems. Auditors may not have the resources to determine the root cause of a problem and develop the best resolution. Resources don’t always allow for advising and consulting or request for services. Employees are not aware of the audit services and may not always feel comfortable reaching out for consultation or to report a concern.

17 Goals  We’re Here to Help Auditors help units achieve their objectives, whom in turn help the University achieve its overall teaching and research mission.  Teach + Train = Change Auditors serve the University by assessing risks, advising on internal controls, investigating instances where processes lacked internal controls, providing recommendations for improvement, and following up on corrective action plans.  Promote effective, efficient, & ethical practices Auditors assist leadership achieve to provide maximum benefits while making the most efficient use of resources. This is done by identifying areas to increase efficiency and effectiveness of operations and minimizing occurrences of fraud, waste, and abuse.

18 Roles and Responsibilities  monitoring, assessing, and analyzing organizational risk and controls;  reviewing and confirming information and compliance with policies, procedures, and laws;  Working in partnership with management, internal auditors provide the board, the audit committee, and executive management with assurance that risks are mitigated and the organization's governance is strong and effective;  When there is room for improvement, internal auditors make recommendations for enhancing processes, policies, and procedures.

19 Professional Standards  International Standards for the Professional Practice of Internal Auditing Standards (Red Book).  Institute of Internal Auditors (IIA) Code of Ethics.  Generally Accepted Government Auditing Standards (Yellow Book).  Committee of Sponsoring Organizations of the Treadway Commission (COSO).

20 Internal Audit Services Financial Audits Performance Audits Investigations Facilitated Self Assessments Advising Engagements Awareness Training Assurance Services Assurance services include financial and performance audits as well as investigative engagements. Independent and objective evaluations are designed to provide reasonable assurance regarding the achievement of objectives in the following areas: 1)Effectiveness and efficiency of operations. 2)Reliability of financial reporting. 3)Compliance with applicable laws and regulations. Advisory Services Advisory services are typically performed at the request of management. The nature and scope are agreed upon between Internal Audit and the client. Examples include: 1)Facilitated self-assessments 2)Advising on changes in policies, procedures, and processes 3)Fraud and internal control awareness training

21 Why are there other auditors on campus? We hire firms for certain projects:  Organizations can not audit their own financial statements.  Because we receive federal funds we are required to meet audit requirements (OMB Circular) which can’t be performed in-house.  Because we play by the NCAA rules, we are required to have external firms conduct assurance procedures.  Some types of audits require competencies that internal audit does not have. We are subject to external regulatory agencies:  Secretary of State  Granting agencies  Other regulatory agencies

22 Risk Assessments & Development of the Audit Plan Formal mechanism for management and the Board to share concerns about factors that may prevent the University from meeting its objectives.  Gather information that targets high-risk areas  Consider internal and external factors  Work with Enterprise Risk Services  Audit plan is approved by the President & the Board

23 The Audit Process

The Big Picture OPPORTUNITIES OBSTACLESOBSTACLES MANDATED BOUNDARIES: external forces (federal, state, local laws and regulations) UO Objectives Building tenure-related faculty & promoting academic research. Ensuring affordability & access for our students. Delivering a rich, excellent educational experience for our students. UO BUSINESS MODEL OPPORTUNITIES VOLUNTARY BOUNDARIES: internal choices (UO policies, contractual obligations, public commitments, core values, honor codes) 24

25 Fraud & Ethics Reporting Hotline Options for reporting fraud, waste, abuse, or ethical violations: 1.Call Internal Audit and discuss concern Make an anonymous report through an external provider: Website: orwww.uoregon.ethicspoint.com Phone:

26 Fraud & Ethics Reporting Hotline Human Resources American Disability Act Matters Conflict of Interest Discrimination or Harassment Employee Benefits Abuses Employee Misconduct Hostile Work Environment Inappropriate Supervisor Directive Offensive or Inappropriate Communication Sexual Harassment Unsafe Working/Living Conditions University Health Center Healthcare Fraud Insurance Issues Patient Abuse/Physical or Verbal Patient Care/Rights Patient Privacy Theft Academic & Student Affairs Academic Misconduct Alcohol / Drug Abuse Cheating / Plagiarism Credentials Misrepresentation Financial Aid Hazing Sexual Harassment Athletics Academic Misconduct Eligibility Matters Financial Aid Misconduct Gambling or Fraudulent Activities Improper Giving or Gifts Inappropriate Agent Activities Misuse of Property, Endorsements Recruiting Misconduct Sexual Misconduct Substance Abuse Accounting & Financial Conflict of Interest and Purchasing Ethics Donor Stewardship Falsification of Contracts Improper Disclosure of Confidential Records Misuse of University Assets Payroll and Time Abuse Purchasing and Expenditures Theft or Conversion of University Property Research Conflict of Interest Data Privacy Environmental & Safety Human or Animal Research Intellectual Property Research Grant Misconduct Research Misconduct Information Technology Data Privacy/Data Integrity Malicious/Inappropriate Use Software Piracy Intellectual Property Theft

Questions? 27