1. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES New York University Scope Scope Findings & Recommendations Findings & Recommendations Savings Savings Timeline Timeline Appendices Appendices

2. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Scope Consolidate Office of Academic Appointments (OAA) and Human Resources Consolidate Office of Academic Appointments (OAA) and Human Resources Reduce costs by Reduce costs by –Re-engineering administrative processes –Pooling resources as in a Service center approach –Eliminating positions where applicable Maintain or increase current service levels in terms of quality, accuracy & efficiency Maintain or increase current service levels in terms of quality, accuracy & efficiency

3. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES #1: Manual Reviews Finding #1: OAA performs manual reviews/approvals of large volume of transactions Finding #1: OAA performs manual reviews/approvals of large volume of transactions –Large percentage of academic appointments & related processes are reviewed/approved manually and often by too many staff members –Automated applications have not been developed for some transactions –Existing applications have not been leveraged to their fullest capabilities Recommendation: Recommendation: –Enhance PASS and add more OAA business rules to minimize the need for review / approval stops –Leverage ePASS to create online sabbatical workflow requests –Create workflow application for Visiting Scholar requests

4. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES PASS Total Transactions Unit Type HROAAWassermanTotal Schools3,97423,3428,23935,555 VP Units 4,1493485,56710,064 TOTAL8,12323,69013,80645,619 Three Central Offices approve HR transactions: HR for Administrative/Staff employees OAA for Academic employees Wasserman for Student employees Data shows 12-month period from June 2008 – May 2009.

5. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES OAA Reviewed Transactions ActionsVolume Recomen- dation Current Phase 1 - Projected Phase 2 - Projected Remain RFA Compensation New Additional Comp New Additional Comp Cancel/End Additional Comp Cancel/End Additional Comp Salary Change Salary Change Spot Bonus Spot Bonus3,458354193 Retain processing/ review in OAA 3,91530%3,024622192 Employee Info 757 Move procesing/ review to HR 9,26370% 00757 Leave of Absence 30600306 Appointment Account Change Account Change Adjunct PPC Maintenance Adjunct PPC Maintenance New Appointment New Appointment Cancel/End Appointment Cancel/End Appointment Reappointment/Extension Reappointment/Extension Title Change Title Change5773061,1241061,3141875770035000076301,0130030635571301406 New Hire 1,944001,944 Separation40000400 Exceptions (xPASS) 2,242002,242 TOTAL13,1783,63627.6%2,47518.8%7,06753.6%

6. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Finding # 2: OAA has paper-based departmental processes Finding # 2: OAA has paper-based departmental processes –Examples include Faculty appointment letters, Promotion / Tenure / Sabbatical requests, Retirement agreements, Visiting scholar applications –Processes require staff & OTP resources to track, distribute & maintain paper files Recommendation: Recommendation: –Implement Worksite (online document management system) for Faculty records –Significantly reduce volume of faculty appointment letters –Stop paper printing of PASS transactions / review online HR has implemented Worksite for Administrative/Staff records. Recommendation will align record keeping processes between HR and OAA and create one employee records repository. HR has implemented Worksite for Administrative/Staff records. Recommendation will align record keeping processes between HR and OAA and create one employee records repository. #2: Paper-based Processes

7. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Finding #3: Shadow systems are used by HR and OAA for retaining history and reporting Finding #3: Shadow systems are used by HR and OAA for retaining history and reporting –No single system of record for employee history –Supporting applications created & maintained in both HR & OAA to store and maintain employee history due to limitations of HRIS system Recommendation: Recommendation: –Eliminate shadow systems by developing one system of record for all employee history. Options are: 1. Enhance Academic Database (ADB) to incorporate data from the Employee Database (EDB) 2. Implement PeopleSoft HR module only and convert all data from ADB and EDB –Use PeopleSoft HR as the system of record for employee history –Will need to convert EDB and ADB data –Can be part of PeopleSoft HR implementation for NYU Abu Dhabi to reduce costs 3. Continue with current dual systems until implementation of PeopleSoft HRMS #3 : Shadow Systems

8. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Options – Pros & Cons RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES OptionsProsCons 1. Enhance ADB to incorporate EDB Lower implementation cost compared to Option 2 (cost TBD) Lower implementation cost compared to Option 2 (cost TBD) Temporary fix Temporary fix Data needs to be converted again once PeopleSoft is implemented for WSQ in the future Data needs to be converted again once PeopleSoft is implemented for WSQ in the future 2. Implement PeopleSoft HR Recommended Solution – Develop as part of HR/Payroll solution Timeframe: 2012 Resulting system is part of NYU’s final state, not a throw-away Resulting system is part of NYU’s final state, not a throw-away Higher implementation cost compared to Option 1 Higher implementation cost compared to Option 1 Consulting Cost High-Level Estimate: $1.2M based on 6-month timeframe of PeopleSoft HR module only (Part of PeopleSoft budget) Consulting Cost High-Level Estimate: $1.2M based on 6-month timeframe of PeopleSoft HR module only (Part of PeopleSoft budget) Hardware and Backfill costs TBD Hardware and Backfill costs TBD 3. Continue with current dual systems No development costs No development costs NYU continues to have no single system of record for employee history NYU continues to have no single system of record for employee history Risks exists that data used for compliance reporting is not accurate Risks exists that data used for compliance reporting is not accurate

9. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Finding #4: There are similar functions within HR & OAA Finding #4: There are similar functions within HR & OAA –Ad-hoc and scheduled reporting –Application functional support and Data Management –Transaction processing -- majority handled by OAA do not require provost review –I-9 processing Recommendation: Recommendation: –Transfer 2 FTE from OAA to HR and build a HR service center that will provide services to HR, OAA and the HRO/HR Staff at schools/units. Provides the following benefits: Provides the following benefits: –Greater coverage and backup arrangements for similar functions especially during peak periods at the beginning of each term –Eliminates silos of institutional knowledge within different areas –Enhanced capacity to handle peak processing periods RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES #4: Similar functions - HR & OAA

10. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Org Charts: HR & OAA - Current Central Human Resources Division Compensation Talent, Learning and OD Employee Relations Benefits Vice President for Human Resources Applications & Projects Vice Provost for Faculty Affairs Office of Academic Appointments Vice Provost for Academic Affairs Director Departments in scope Project Manager (PT) Data Manager Report Analyst Records Supervisor HR Assistant Associate Director Mgr, Academic Review Mgr, Faculty Records Staff Associate Info/Systems Analyst Admin Aide/ Secretary Admin Aide/ Secretary Admin Aide/ Secretary Admin Aide/ Secretary Director HR Applications Support Report development Training Audits & Controls HR Systems Administration Transactions Processing Records Management

11. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Org Charts: HR & OAA - Proposed Central Human Resources Division Compensation Talent, Learning and OD Employee Relations Benefits Vice President for Human Resources Applications & Projects Vice Provost for Faculty Affairs Office of Academic Appointments Vice Provost for Academic Affairs Director Departments in scope Project Manager (PT) Data Manager Report Analyst Records Supervisor HR Assistant Associate Director Mgr, Academic Review Mgr, Faculty Records Staff Associate Info/Systems Analyst Admin Aide/ Secretary Admin Aide/ Secretary Admin Aide/ Secretary Admin Aide/ Secretary Director HR Applications Support Report development Training Audits & Controls HR Systems Admin Transactions Processing Records Management Eliminated Positions (refer to timeline for timing) Mgr, Academic Review Associate Director Positions transferred to HR

12. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Finding #5: There are provost-specific functions within OAA Finding #5: There are provost-specific functions within OAA –Sabbaticals –Tenure / Promotions –Faculty and Research Staff policies –Visiting scholars –Staffing approvals –Others Recommendation Recommendation –Retain 3 FTEs in OAA to continue the administration and provost oversight of academic appointments RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES #5: Provost-specific functions

13. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES OAA Functions (Proposed) FunctionsDirector Staff Associate Clerical Staff Comments Provost – Specific Promotion & Tenure Promotion & Tenure Sabbatical Sabbatical Tenure Timetable Tenure Timetable Faculty Appointment Policies Faculty Appointment Policies Retirement Agreements Retirement Agreements Visiting Scholars Visiting Scholars Grievances Grievances Staffing Approvals Staffing Approvals Research & Staff Policies Research & Staff Policies Others Others65%82%35% Reporting / Application Support Final Review of Provost Reports Final Review of Provost Reports15%5%10% Report development and support moved to HR Transaction Processing Review / Approve PASS Actions Review / Approve PASS Actions Webami Annual Process Webami Annual Process15%8%5% Majority of work moved to HR. Transactions going to OAA for review/approval will be exceptions only. General Administration Department Budget Department Budget Supervise staff Supervise staff Maintain employee records Maintain employee records Scanning, Copying, Calls, etc. Scanning, Copying, Calls, etc.5%5%50% Staffing and Responsibility Matrix at full implementation

14. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Finding #6 : Schools/Units rely on OAA to catch details outside of policy Finding #6 : Schools/Units rely on OAA to catch details outside of policy –Over 600 rejections, cancellations and modifications in 12- month period Recommendation: Recommendation: –Change behavior at school/unit level and make HRO and HR staff be responsible for transaction accuracy and data integrity –Coordinate with Payroll Committee recommendations –Develop additional training and conduct regular sessions –Raise awareness with HR Community on impact of late and inaccurate transactions RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES #6 – User Reliance on OAA

15. RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Approximately $380K (salary plus fringe) in total savings within OAA budget resulting from elimination of 5 positions Approximately $380K (salary plus fringe) in total savings within OAA budget resulting from elimination of 5 positions –3 Clerical staff positions –1 Systems Analyst position –1 Manager, Faculty Records RE2: ACADEMIC APPOINTMENTS & HUMAN RESOURCES Savings

16. Timeline

17. Summary / Conclusions Significant annual savings Significant annual savings –Total reduction of 5 FTEs equivalent to $380K in annual savings Opportunities for greater efficiencies Opportunities for greater efficiencies –Enhanced capacity to handle peak processing periods –Automation of current paper transactions –Pooling of resources within HR and OAA to handle reporting, transaction processing, and application support Improve accuracy of transactions Improve accuracy of transactions –Enhancement of PASS actions to include OAA business rules for majority of current volume Validations ensure that transactions are submitted with accurate information, reducing the need for manual review Validations ensure that transactions are submitted with accurate information, reducing the need for manual review Review and approvals needed only for exceptions Review and approvals needed only for exceptions –Give HROs and HR staff greater responsibility for ensuring data accuracy and integrity of their transactions