HomeMy WebLinkAbout2017-03 Performance Audit Report: County of Hawai'i's Department of Human Resources Hiring PracticesCounty of Hawa'l"I's
Department of Human Resources
Hiring Practices
Report No. 2017-03
September 7, 2017
Valerie To Poindexter
Chair & Presiding Officer
Council District I
77
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V.�/Iiunfv of ILIFaftral"i
Bonnie S• Nims, CGAP
Legislative Auditor
Business Address
1266 Kamehameha Avenue
Suite A-8
Hilo, Hawai `i 96720
OFFICE OF THE LEGISLATIVE AUDITOR
25 Aupuni Street Hilo, Hawai `i 96720 * (808) 961-8386 * Fax (808) 961-8905
website: http://hawaiicounty_.gov e-mail: publiclao(yhawaiicounty_.gov
September 7, 2017
The Honorable Valerie T. Poindexter, Council Chairperson and
Members of the Hawai `i County Council
Hawai' i County Council
25 Aupuni Street
Hilo, Hawaii 96720
Dear Chair Poindexter and Council Members,
In accordance with Hawaii County Charter Section 3-18(d)(2), attached is the Office of the
Legislative Auditor's report of our audit of hiring practices at the Department of Human
Resources (DHR). The purpose of this audit was to determine whether hiring practices in place
were effective at ensuring equitable, uniform, and transparent selection of candidates and
ensuring compliance with applicable laws, regulations, County policies and procedures and best
practices. In addition, we identified potential areas for improvement. We reviewed and
evaluated internal controls over hiring practices during calendar year 2016 through January
2017. We also examined 46 new hire civil service positions in four departments during calendar
year 2016.
According to Hawai "i state law, DHR has the ultimate authority and responsibility of the human
resource function for the County of Hawai ' i. However, we found numerous questionable hiring
practices including how applicants were identified to be interviewed, how applicants were
assessed, and how departments were using DHR's referred list of eligible applicants.
This situation resulted, in part, from a fear of retaliation including a lack of a safe mechanism for
reporting concerns or complaints. We also found inappropriate involvement by the Staffing
Review Committee (SRC), which was established by the prior Office of the Mayor and DHR in
March 2013. The current Office of the Mayor eliminated the committee in early 2017. This
situation also resulted from: insufficient monitoring by DHR to ensure departmental compliance,
the human resources software (NeoGov) was not fully utilized, extended open recruitment of not
"difficult to fill" positions, and unclear guidance of prohibited personnel practices.
The County of Hawaii Office of the Mayor and DHR should continue to ensure that the hiring
selection rests solely with the appointing authority and prevent preferential treatment of potential
new hire candidates. They should also consider implementing an independent whistleblower
program. The Department of Human Resources should implement procedures to provide
adequate controls, including monitoring, oversight, and training to ensure the County is in
compliance with applicable laws, rules, regulations, and County policies and procedures. In
addition, DHR should develop written policies and procedures defining prohibited personnel
hiring practices and consider working with other jurisdictions to define these practices in state
law. Finally, DHR should stop open -continuous recruitments for not difficult -to -fill classes of
work.
Please contact me at 961-8386, if you need further information. We sincerely thank the staff of
the Department of Human Resources, Recruitment and Examination Division, and all other
affected Departments for their assistance and cooperation during the audit process. We greatly
appreciate all of their valuable time and efforts spent on providing us information.
Respectfully,
Bonnie S. Nims, CLAP
Legislative Auditor
cc: Harry Kim, Mayor
Wil Okabe, Managing Director
Sharon Torino, Director, Department of Human Resources
William A. Kucharski, Director, Department of Environmental Management
Charmaine L. Kamaka, Director, Department of Parks & Recreation
Frank J. De Marco, Director, Department of Public Works
Collins Tomei, Director, Department of Finance
Stewart Maeda, County Clerk
Merit Appeal Board
Report Highlights September 7, 2017
Hiring Practices at the County of HawaiTs
Department of Human Resources
What
mo--
was the
purpose
- MEMEM
of
this audit?
Thi is perform an ce a ud it was u ndertak erg to
evaluate if the County's hiring practices were
ad equ ate to en sure equ itabl ea unifo rm, .a nd
transparent selections of civil service candidates
and to identify areas for improvement -
The audit also looked to see if hiring practices
complied with applicable laws, regulations, County
policies, procedures, and industry best practices.
e evaluated internal controls over hiring
practi ces during calend ar year 2016 the reug h
January 2017. we also examined 46 new Dire
civil service positions in four departments during
calendar year 2016-
We
0i6-
we initiated the audit due to the inherent risk of
hiring practices and numerous constituent
concerns regarding unfair hiring practices at the
cou nty_
I �r�rriy UiU iris 11UPPIVri
This situation resulted, in part,- from:
A fear of retaliatk n including a lack of a sate
mechanism for reporting cera -ceras or
corn plaints,
I nappropriate involvement by tJe Staffing
Review Committee ( FSG)_ which was
establishied by the prio r office of the Mayor
and D H R i n M arch 2013. The cu rrent offic c
of the M ; or el iminated the committee in
eady 20171
I nsurfficient mooitcri rig by DH R to ensure
departmental compliance,
The human resources software (NeoGov)
was not fully utilized;
Extended open recru itment of riot "d ifficult-
te-fill pcsifions, and
Unclear guidance of prohibited personnel
pr acti ces.
According to HaWai riStalelaw, the Department of Human
Resources has the u Itimate authority and responsibility of
thie human resource function for the County of Hawaii.
The Cou nb/s hid ng pr acti ces did not ensure eq uitable,
undorrn , and transparent selection~ of candidates and may
have resulted i n non -corn pli ance with app li ca ble laws and
regulations.
I n 42 out of 46 positions,. our and it found nu rn erous
questionable hiring practices including how applicants
were identified to be interviewed, how applicants were
assessed, and how departments were using DH Ft's
referred I ist of el igi b le appl i -cants -
Management at the office of the Mayor and individual
departs ents have generally agreed with the a comments
and recornmenclatiuns in this report- Their complete
response to this audit can be found on page 20:
Department's Comm ent-
What did we recommend
The re -corp mendabons idem improvements for Off ice of
thi e M ayor and D HFA manage ruerd to be#ter admin iste r the e
cou rays h id ng pr acti ces. o ur and it re port offers
recommendations designed to address these issues
thi reug h
Ery su ring that h iring selection rests sole Iy with the
appointing authority and prevenh preferential
treatment of new hire candidates -
1 rn plementi ng an i ndependent whi istleblower
program,
1 m menti rig mon itoring and oversig hit
proced ures:
Regn iring ind Mid ual departments to fu Ily n se thie
human resources recruitment software (NeoGov),
Hrovidi ng man dated erg -going H H traini rig;
Only using continuous open recruitments for
"d iffi cul#-to-fillp positions, and
Developi rig and impl emeriti ng win poli cies and
procedures to clearly define prohibited personnel
miring practices at the County and worm with other
jurisdictions to update the state law.
Thisaudit was conducted in accordance with general accepted government auditing standards.
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Table of Contents
Introduction...............................................................................................................................1
Background...............................................................................................................................2
AuditObjectives........................................................................................................................7
AuditScope and Methodology.................................................................................................7
Commendations and Noteworthy Achievements...................................................................8
AuditResults...........................................................................................................................10
The County's hiring practices did not ensure equitable, uniform, and transparent
selection of candidates which may have resulted in non-compliance with applicable
laws, rules, regulations, and County policies and procedures..............................................10
Whatdid we find?........................................................................................................11
What are the consequences?.......................................................................................14
Whydid this happen?...................................................................................................14
Recommendations..................................................................................................................18
Department's Comments........................................................................................................20
AppendixA — Audit Criteria....................................................................................................28
Appendix B — Example of County's Request to Fill Form....................................................41
This page intentionally left blank.
Introduction
The Office of the Legislative Auditor conducted this performance audit of the County of Hawai "i
Department of Human Resources' hiring practices pursuant to Section 3-18 of the Hawaii
County Charter, which outlines the Office of the Legislative Auditor's primary duties.
Performance audits typically examine the effectiveness, economy, or efficiency of a government
program. They can include analyzing the services of an entire department or activity, identifying
possible cost savings, identifying the outcomes achieved by a program, or comparing actual
department practices against the practices called for in law or policy.
Our objective in performance auditing is to improve public services provided by county
government. We do this by recommending specific actions that will address the issues we raise
and by providing valuable information to the public, the administration, program leadership, the
Hawai "i County Council, and the Mayor.
A performance audit of Department of Human Resources' hiring practices was included in our
fiscal year 2016-2017 annual audit plan based on the results of our countywide risk
assessment.
There are inherent risks associated with hiring practices. When internal controls are not
functioning as designed; internal, ethical, and legal risks related to the program may increase,
thereby increasing the risk exposure to the County. Some examples may include:
• An existing employee manipulating the recruitment or selection process to ensure the
hiring of a close friend or family member. Acting to advance the interests of a friend is
risky if the person is not the best candidate for the position.
• The assigned members to the selection committee who could be influenced in order to
ensure a specific candidate is chosen. A strategic recruitment panel should not be
strategically biased.
• Bypassing or failing to abide by legislation pertaining to the recruitment and selection
process.'
Furthermore, numerous constituent concerns regarding unfair hiring practices at the County
have been expressed in public forums and directly to the Office of the Legislative Auditor.
Due to these risks, we determined a thorough examination of the County's hiring practices,
policies, and procedures was warranted.
1 Tooley, Meghan. "Hiring controls: a close look at managing the risks of hiring."
http://icblog.firstreference.com/hiring-controls-a-close-look-at-managing-the-risks-of-hiring/
Introduction 1 1 P a g e
Background
What is the primary function of the Department of Human Resources (DHR)?
The Department of Human Resources (DHR) is the central human resource agency for the
County of Hawai'i whose functions include administering the civil service laws as they apply to
the County. As the central human resources agency for the County, the department has the
responsibility for strategic planning, workforce planning and employment, equal opportunity,
personnel development, compensation and benefits, employee and labor relations, and
occupational health and safety.'
The Department of Human Resources is composed of seven divisions: Administrative Services,
Classification and Pay, Equal Opportunity/ADA, Health and Safety, Labor Relations, Personnel
and Organizational Development, and Recruitment and Examination.
What is civil service?
Civil service and civil service positions are all positions within a jurisdiction that are not
exempted by Hawai "i Revised Statues, Section 46-33, 76-16, or 76-77, or by other law and must
be filled through civil service recruitment procedures based on merit.
Generally, civil service law defines civil servants as public employees hired to provide services
to the public by federal, state, county, and municipal governments. The respective legislature
provides the methods by which civil servants are selected and regulations governing the civil
service.
A civil service system is established by the legislature, who may delegate to a board of civil
service commissioners the authority to make rules consistent with existing laws, to conduct
investigations, and generally, to exercise any and all administrative measures necessary and to
properly to achieve the objectives and purposes of the civil service laws.
Civil service appointment positions are normally made from eligibility lists composed of persons
meeting the established qualifications as determined by tests and civil service examinations.
The procedures for the hiring and firing of civil servants are generally more regulated and less
discretionary than those for employees in the private sector.3
What is the purpose of the Merit Appeals Board (MAB)?
The Merit Appeals Board has two primary functions. First, it hears and decides on appeals
relating to the following: recruitment and examination; classification and reclassification of a
particular position; initial pricing of classes; and other employment actions, including disciplinary
actions for failure of the employees to meet performance requirements. (Note: employees, as
2 County of Hawai"i Department of Human Resources. "Description". http://www.hawaiicounty.gov/human-resources/
3 Civil Service Law and Legal Definition https://definitions.uslegal.com/c/civil-service/
Background 2 1 P a g e
the term is used here, refers to those employees who are not covered by a collective bargaining
agreement (HRS §76-14).) Second, it appoints and may remove the Director of Human
Resources.4
What is the merit principle?
The merit principle is the selection of persons based on their "fitness" (i.e., the quality of being
suitable to fulfill a particular role or task), their ability for public employment, and the retention of
employees based on their demonstrated appropriate conduct and productive performance.
What is the County's policy in filling vacant civil service positions?
The County should fill all vacant civil service positions with the most suitable applicants available
for the positions based on the merit principle using lawful, fair, and uniformly administered
procedures.
Selections for the positions should be impartial and based on the needs of the County, free from
coercive political influences, as well as applicants' fitness and ability for public employment.
The County uses the Request to Fill (RTF) form to document the process of the filling the vacant
position. (Appendix 8)
What is the difference between an eligible list and a referred list?
An eligible list is a list of qualified persons from an open -competitive recruitment who are placed
on the list for a minimum of six months. Generally, all eligible candidates remain on the eligible
list for 12 -months from the date they became eligible.
Whereas, a referred list is the official document through which qualified individuals from an
eligible list are referred for employment consideration to departments.
All qualified individuals referred from an eligible list for a vacancy are based on the applicant's
availability for work location and duration of employment, including availability to work in a lower
level class of work.
How does the County assess an applicant's qualifications?
The Department of Human Resources refers all the names from the eligible list who meet the
minimum qualifications to hiring departments. The referred list is based on a specific work
location and availability for a vacant position. County departments use this particular list, as
well as their established skill set criteria, to identify applicants to be interviewed.
4 Merit Appeals Board (MAB) Fact Sheet http://records.co.hawaii.hi.us/weblink/1/doc/88859/Pagel.aspx
Background 3 1 P a g e
Departmental hiring managers review all the applications to assess applicant's qualifications
over and beyond the minimum qualification (i.e., work experience, knowledge, skills, abilities,
etc.). Departmental human resources representatives or assistants manage the referred lists.
The number of applicants to be interviewed depends on the results of the department's skill set
criteria and evaluation process. County departments develop their own lawful criteria and
weights to help in the selection process. (Figure 1)
Skill set Evaluation - SAMPLE
Account Clerk (00-OXXXX)
App.
Payroll for 100+
employees in goer.
or unionized setting
Excel
spreadsheet
10 Key
Adding
Machine
TDI Workers'
Comp
D./License Total :out
of 6
criteria
1
X
X
X
1
X
1
0
X
X
X
X x
X
6
X
1
7
0
6
X
1
X
x
X
X X
X 6
10
0
11
X
X
X X
X
12
X
1
13
X
1
14
X
1
15
X
X
2
Figure 1
Provided by DHFR Recruitment Examination Division
What is a skill set?
A skill set means the desired experience, knowledge, skills, and abilities as it relates to the
essential job duties for the position being filled. These essential job duties are identified on the
position description (PD). A skill set is a particular "category of skills" necessary to acquire a job
(e.g., dealing with the public, research and planning, leadership, management, computer skills,
etc.). This skill set may be more encompassing and specific than the minimum qualification
requirements.
However, there are times when a large number of applicants from a referred list may not result
in a practical means of interviewing all applicants. The skill set criteria evaluation should be
used to identify applicants' fitness and ability to perform the essential job duties and to narrow
down the pool of applicants. This process should not be used as a means of solely allowing
consideration for a particular applicant.
The County's uniform Skill Set Development and Evaluation Procedures include:
• Identify skill set criteria based on the essential functions of the job listed on the PD
• Create Excel spreadsheet or other rating worksheet
• Review all the applications to validate the skill(s) acquired through education and
experience shown on the application
Background 4 1 P a g e
• Identify skill set criteria for each referred applicant by placing an "X" or points for the
specific category of skill(s) on the spreadsheet
• Tally category of skills/points
• Determine based on the total of X's or points the department will interview and/or
conduct assessment exercise(s). Departments must be prepared to justify their action(s)
in the event of a grievance, appeal, or discrimination charge.
• Retain interview and selection process documentation for a minimum of three years.
The selection process components include any combination of the following: (Figure 2)
• oral interview(s)
• follow-up interview(s)
• performance test(s)*
• assessment exercise(s)*
• driving exercise
• employment reference checks; and
• as applicable to the position: criminal background check, drug screening,
polygraph test, psychological tests, and pre -entry medical examination.
*Assessment exercises and practical tests may be conducted depending on the position (e.g.,
writing exercise, math exercise, situational questions, identifying materials/tools, etc.).
Seniority may be considered only where statute or collective bargaining provisions require such
consideration (e.g., promotions for internal recruitments).
Selection Process Components
E
Figure 2
Provided by DHR-Recruitment & Examination
Background 5 1 P a g e
What is the County's internal complaint process?
The County's Internal Complaint Procedures policy provides employees and members of the
general public the opportunity to file internal complaints and have them addressed in a timely
and uniform matter. Complaints may concern personnel and other actions affecting employees
and members of the general public.
These procedures apply when filing complaints related to civil service recruitment/examination
(i.e., actions taken in locating applicants for employment, in receiving applications, in referring
eligible applicants for employment consideration, or evaluating an applicant, including the initial
probationary period).'
The Anti -Discrimination and Harassment Policy is another type of complaint procedure that
individuals can pursue an alleged violation, by the County, of any federal or state law
concerning non-discrimination in the employment of individuals, or the County's delivery of
services to the public, including accessibility of County buildings, properties, and programs.'
5 DHR Memo No. 15-013. "Internal Complaint Procedures Policy and Applicability and Use." pg. 2.
6 DHR Memo No. 15-015 "Anti -Discrimination and Harassment Policy
Background 6 1 P a g e
Audit Objectives
The Office of the Legislative Auditor's fiscal year 2016-2017 annual audit plan included a
performance audit of hiring practices at the Department of Human Resources (DHR). The
objectives of the audit were to evaluate if the County's hiring practices were adequate to
ensure equitable, uniform, and transparent selections of civil service candidates and to
identify areas for improvement.
The audit also looked to see if hiring practices complied with applicable laws, regulations,
County policies, procedures, and industry best practices.
Audit Scope and Methodology
To accomplish our objectives, we:
• Developed an understanding of the policies, procedures, processes, and document
flows of the County's hiring practices;
• Assessed compliance with applicable laws, regulations, and County policies and
procedures related to hiring practices;
• Compared the County's hiring practices to other local, state, and federal best
practices;
• Analyzed new hire data for calendar year 2016;
• Tested departments' interview and selection processes (e.g., skill set criteria evaluation,
interview, assessment exercises, practical tests, employment reference checks, etc.);
• Corroborated information through interviews with appropriate personnel, reviewed
documentation, and performed tests of documentation and controls; and
• Reviewed additional human resources documentation (e.g., employment applications,
referred lists, skill set criteria evaluations, interview and selection packet, employment
reference checks, etc.) as needed.
During the course of the audit, we reviewed and evaluated internal controls over hiring practices
as well as policies and procedures. Based on our early audit planning, we initially selected
seven County departments and one division for review (Human Resources (DHR), Aging,
Immigration Division, Environmental Management (DEM), Parks and Recreation (P&R),
Planning, Public Works (DPW), and Finance). These departments were selected based on the
high number of recruitments, large referred lists of applicants, and the department's current
hiring processes. We determined two of these departments and one division (Aging,
Immigration Division, and Planning) had adequate internal controls in place for filling vacant
positions. However, in addition to DHR the remaining four departments (Environmental
Management, Parks and Recreation, Public Works, and Finance) required further review.
We judgmentally narrowed the audit scope to test recruitments of four different classes of work
in these four departments for calendar year 2016. Three of these (Clerk III, Laborer II, and Park
Audit Objectives, Audit Scope and Methodology 7 1 P a g e
Caretaker I) were selected since the positions were open -competitive recruitments on a
continuous basis for three years resulting in a large and ever changing referred list. The fourth
class of work (Scale Attendant) was selected because the SRC did not follow uniform written
procedures. Recruitments in 2017 were not reviewed due to a hiring freeze enacted by current
Administration. The hiring freeze was in effect until departments updated their procedures.
We reviewed updated interview and selection policies and procedures implemented by DEM,
DPW, Finance, and P&R in December 2016 and January 2017.
We conducted this performance audit in accordance with generally accepted government
auditing standards. Those standards require that we plan and perform the audit to obtain
sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions
based on our audit objectives. We believe the evidence obtained provides a reasonable basis
for our findings and conclusions based on our audit objectives. Our conclusions on the
effectiveness of these controls are detailed within this report.
We thank the Department of Human Resources, Recruitment and Examination Division staff,
and all other departments that provided us information, assistance, and cooperation during this
audit. Management generally agreed with the comments and recommendations in this report.
Their complete response to this audit can be found on page 20: Department's Comments.
Commendations & Noteworthy Accomplishments
We are pleased to report that the new Office of the Mayor and the Department of Human
Resources (DHR) has taken a proactive role in strengthening certain controls we identified as
weaknesses during the course of the audit. Additionally, we appreciate the cooperation
exhibited by DHR and the departments and their willingness to implement many of our
recommendations. For instance, DHR has asserted they have:
• communicated to all the departments, that the Office of the Mayor and DHR will not be
involve in the hiring selection process and eliminated the Staffing Review Committee
(SRC);
established a template for interview and selection procedures to include a more uniform
and transparent process;
closed all open -competitive recruitments on a continuous basis that were not "difficult -to -
fill";
assisted departments with conducting skill set criteria evaluation; and
• provided mandatory training (e.g., interview, skill set development evaluation, etc.) to
those responsible for hiring.
In addition, DEM consistently followed policies and procedures in their interviewing and
selection processes throughout the audit period.
Commendations &Noteworthy Accomplishments 8 1 P a g e
Finally, three Departments (Finance, P&R, and DPW) have updated and implemented new
procedures for their interviewing and selection processes to ensure equitable, uniform, and
transparent selection of candidates. For instance:
Finance is:
• Performing uniform hiring procedures to ensure equitable treatment of all applicants.
• Transparent in their selection of candidates while working with large Clerk III referred
lists.
P&R is:
• Applying updated skill set criteria in their hiring process for all of their vacancies.
• Updating the NeoGov System of candidates' information to ensure a transparent
selection process.
DPW is:
• Incorporating the use of the NeoGov System into their new procedures of interview and
selection of candidates to ensure a transparent process.
• Following and abiding by all updated policies and procedures disseminated by DHR.
We will follow up at the appropriate time to determine whether and to what extent all
recommendations have been implemented.
Commendations &Noteworthy Accomplishments 9 1 P a g e
Audit Results
The County's hiring practices did not ensure equitable, uniform,
and transparent selection of candidates which may have resulted
in non-compliance with applicable laws, rules, regulations and
County policies and procedures.
Both state law and best practices require that hiring practices ensure that each applicant has a
fair and equitable chance at employment opportunities. Specifically, Hawai "i state law requires
each jurisdiction to establish, maintain, and administer a civil service system based on the merit
principle. The merit principle requires "equal opportunity for all in compliance with all laws
prohibiting discrimination "7, as well as impartial selection of potential employees by means of
competitive tests that are fair, objective, and practical. State law also gives the Department of
Human Resources (DHR) the authority and responsibility to ensure that the County of Hawai"i
upholds and complies with all merit principle laws, rules, and regulations.
In addition, the United States Code (considered a best practice, not a legal requirement) states
that "(1) [r]ecruitment should be of qualified individuals from appropriate sources in an endeavor
to achieve a work force from all segments of society, and selection and advancement should be
determined solely on the basis of relative ability, knowledge, and skills, after fair and open
competition which assures that all receive equal opportunity; and (2) All employees and
applicants for employment should receive fair and equitable treatment in all aspects of
personnel management without regard to political affiliation, race, color, religion, national origin,
sex, marital status, age, or handicapping condition..." 8
The County of HawaiTs Department of Human Resources (DHR), through its Director, has the
responsibility and authority to administer the civil service system. Our audit evaluated whether
hiring practices currently in place were effective in ensuring equitable, uniform, and transparent
selection of candidates and ensure compliance with applicable laws, regulations, County
policies and procedures and best practices. We found numerous questionable hiring practices
including how applicants were identified to be interviewed, how applicants were assessed, and
how departments were using DHR's referred list of eligible applicants.
7 Hawaii Revised Statute § 76-1
8 United States Code, Title 5, Part III, Subpart A, Chapter 23, § 2301
Audit Results 10 1 P a g e
What did we find
We evaluated the hiring process that was in place in 2016 as well as newly implemented
changes in 2017. In calendar year 2016, the hiring process began when a department head
completed a Request to Fill (RTF) form (Appendix 8). The department submitted this form to
the Personnel Review Committee (PRC) for approval to fill the vacancy. The PRC then
presented the approved RTF form to the Staffing Review Committee (SRC) to establish the
method to fill the position and the selection process. Once approved, the SRC submitted the
RTF form to DHR for processing. The Department of Human Resources then initiated the
recruitment by posting and advertising the vacant position, screened all applicants to determine
who meets the minimum qualifications, and established a referred eligible list of applicants.
This referred list was sent to the requesting department to perform the interview and selection
process. Using a skill set criteria evaluation, the department determined the number of
applicants to be interviewed and conducted the interviews. The interview panel then
recommended a potential candidate to the appointing authority (department head). The
appointing authority then could approve the selection. Once approved, the appointing authority
presented the SRC with their rationale and their recommendation to hire. The SRC approved
the selection by writing in the applicants name and signing. The Department of Human
Resources then processed the approved RTFs.
As a result of these procedures, the SRC had the opportunity to override the appointing
authority's selection. In general, the individual hiring department has a better understanding
than the SRC, on who would be the best qualified candidate. In early 2017, the SRC was
removed from the hiring process and the new Office of the Mayor required all County
departments to develop and implement written department -specific interview and selection
procedures.
Due to the potential interference of the SRC, as well as the fact that the individual hiring
departments perform the candidate selection; we determined that we would review individual
departmental hiring processes and recruitments. We selected four departments for review
based on the high number of recruitments, large referred lists of applicants, and the
department's current hiring processes:
• Department of Environmental Management (DEM)
• Department of Parks and Recreation (P&R)
• Department of Public Works (DPW)
• Department of Finance (Finance)
We narrowed the audit scope to review four different classes of work and tested recruitments in
these four departments. Three of these classes of work (Clerk III, Laborer II, and Park
Caretaker I) were selected since the positions were open -competitive recruitment on a
continuous basis for three years, resulting in a large referred list. The fourth class of work (Scale
Attendant) was selected because the SRC did not follow uniform written procedures in at least
one instance.
Audit Results 11 1 P a g e
In 2016, DHR filled 404 civil service positions. We reviewed 46 recruitments from calendar year
2016. This consisted of 12% of total recruitments and 100% of recruitments in our audit scope
of classes of work. Forty-two (91 %) of these recruitments contained questionable hiring
practices. Specifically we found:
Some departments did not review all applications for employment and
circumvented DHR's Skill Set Criteria Evaluation procedures used to identify
applicants to be interviewed.
State law (HRS §76-1) requires the selection of persons based on their fitness and
ability for public employment. To meet this law, the County assesses the desired skill
set for the position in relation to the current and accurate position description and class
specification. A skill set is a particular category of knowledge, skills, and abilities
determined to perform the essential job duties.
0 42 instances within three departments (P&R, DPW, and Finance) where they did
not consider all applications or candidates on the referred list.
0 42 instances within three departments (P&R, DPW, and Finance) where the skill
set criteria evaluations were not uniformly conducted.
0 21 instances within two departments (DPW and Finance) where they used a
random selection generator in Microsoft Excel to identify applicants to interview
prior to the skill set criteria evaluation.
0 10 instances within one department (DPW) where personal letters of interest
were used from potential applicants on the referred list to determine the interview
pool.
0 18 instances within two departments (DPW and Finance) where they bypassed
potential candidates based on the applicant's address on their application.
Some departments did not comply with interview and records retention
procedures.
State law (HRS §76-1 (2)) requires impartial selection of individuals for public service by
means of competitive tests which are fair, objective, and practical. In addition, an
interview and records retention is required by DHR to ensure and validate the
information the applicant provided on the application and to evaluate the applicant's
fitness to perform the essential job duties described on the position description.
0 4 instances within two departments (P&R and Finance) where the department did
not conduct interviews and/or retain interview and selection results.
1 instance within one department (Finance) where the department filled a
Clerk III position with an expired contract hire after proceeding with open -
recruitment. No interviews were conducted. Open -competitive recruitment
requires an interview.
Audit Results 12 1 P a g e
0 14 instances within two departments (P&R and DPW) where the number of
interviews were the same as vacancies even though there was a large referred
list.
Some departments did not conduct employment reference checks and did not
comply with records retention requirements.
Best practices, as well as DHR Filling Positions procedures (Selection Guidelines, II.),
recommends conducting employment reference checks of potential candidates.
0 22 instances within two departments (P&R and DPW) where they inconsistently
conducted between zero and two reference checks for new hires. In addition,
they did not retain documentation of employment reference checks for the
required retention period (three years).
One department did not conduct and retain assessment exercises/practical tests.
State law (HRS §76-1 (2)) ensures impartial selection of individuals for public service by
means of competitive tests which are fair, objective, and practical. The DHR Filling
Positions procedures (Selection Guidelines I.A) provides guidance on how to select
candidates which includes ajob-related assessment.
0 11 instances within one department (P&R) where they did not conduct
assessment exercises and/or practical tests to assess appropriate skills and
ability to perform the essential job duties over and beyond the minimum
qualifications.
Some departments did not use DHR's referred list correctly.
The referred list provides hiring departments with the names of eligible applicants based on
location and availability and meeting minimum qualifications. The individual department
procedures all require using the referred list to identify the applicants to be interviewed. By
using a referred list, the departments help ensure that all candidates are considered.
0 18 total instances within three departments (P&R, DPW, and Finance) where
they did not use DHR's referred list correctly:
■ 3 instances within two departments (DPW & P&R) where the department
made job offers to potential candidates either prior to interviews and/or
before DHR referred the appropriate eligibility list for recruitments of
specific vacant positions based on location and availability.
■ 2 instances within one department (DPW) where the department did not
use the appropriate referred list for the specific vacant position.
■ 9 instances within three departments (P&R, DPW, and Finance) where
the department conducted interviews prior to receiving the referred list
from DHR for specific vacant positions.
Audit Results 13 1 P a g e
■ 4 instances within three departments (P&R, DPW, and Finance) where a
new hire selection was made prior to DHR sending the referred list.
These errors suggest that while DHR requires departments to submit a skill set with the RTF,
DHR does not actually validate the department's interview and selection process to ensure
procedures were appropriately followed and to ensure compliance with the merit principle.
Individually errors or inconsistencies may not be significant. However, when combined, they
demonstrate that policies and procedures are not adequately followed, or understood, as well as
a lack of monitoring by management. These errors, combined with the potential interference of
the SRC, may result in various consequences. At the very least, the County may not hire the
most qualified candidate for vacant positions.
What are the consequences?
As an Equal Opportunity Provider and Employer, the County of Hawai "i follows and adheres to
all federal and state laws concerning non-discrimination in the employment of individuals and in
its delivery of services to the public. Equal Employment Opportunity (EEO) means that all
people regardless of gender, race, color, age, marital or parental status, sexual reference,
disability or religious belief have the right to be given fair consideration for a job.
By not following state laws and regulations, as well as the County's written policies and
procedures, the County cannot ensure equitable, uniform, and transparent hiring practices. As
a result, not all potential candidates can be or were afforded an equal opportunity. Furthermore,
when County departments do not consider all employment applications and bypass eligible
candidates, it may create potential discrimination issues.
Finally, if the County cannot clearly demonstrate an equitable, uniform, and transparent
process, there are perceptions and potential effects that may include, but not be limited to:
• appearance of or actual preferential treatment of candidates;
• new hires are not the most qualified candidate to perform the essential job duties;
• low employee morale and high employee turnover;
• potential litigation; and/or
• loss of public trust in County government.
Why did this happen.?
Department of Human Resources is responsible for administering the civil service system based
on the merit principle. They also help ensure departments comply with applicable civil service
Audit Results 14 1 P a g e
laws and County policies and procedures. However, numerous questionable hiring practices
resulted from:
• Fear of retaliation and a lack of safe reporting mechanism
We received numerous testimonies indicating a fear of retaliation from higher authorities
over candidate recommendations. Several credible individuals indicated they were
afraid and were reluctant to provide information to the auditors; stating they were fearful
of higher authorities without specifically identifying individuals. Individuals we
interviewed followed hiring directives because they did not want to jeopardize their years
of service and were too afraid to provide specific examples.
The County's current process for reporting complaints or concerns is through the Internal
Complaint Procedures. The initial procedures (informal step) include discussion of the
complaint with the complainants division head. If the complainant is not satisfied with
the results, the complainant may submit a written statement of the complaint to the
appointing authority (step 1). It isn't until the first two steps have been completed, that
the Office of the Mayor or the Council Chair (step 2) or the Merit Appeals Board (step 3)
may become involved. If the complaint is against the division head or appointing
authority, this process may not provide a safe reporting mechanism for the complainant.
Best practices recommend a whistleblower hotline for reporting complaints.
• Involvement of new hire selection by the Staffing Review Committee (SRC)
In March 2013, the Staffing Review Committee was established by the prior Office of the
Mayor and DHR to manage the Request to Fill (RTF) process. The SRC determined:
o the method of recruitment (i.e., internal recruitment, external recruitment, etc.),
o the selection process (SRC to conduct selection or the department can conduct),
and
o confirms the selection process (indicates person selected, date of hire, and the
SRC representative signature).
Departments were instructed to not make any employment or appointment offers without
first receiving SRC confirmation of the selection process.
According to written procedures, the SRC consisted of three members including the
appointing authority (department head). During our interviews, we found the remaining
two members of the SRC were the DHR Director and a representative from the Mayor's
Office.
According to Hawai"i County Charter Section 4-5 (b), the administrative heads of each
agency have the authority to appoint necessary staff. Furthermore, as mentioned
above, the individual hiring department has a better understanding (versus the SRC) of
who would be the best qualified candidate for a vacant position.
We found one instance at DEM where the hiring department's records were different
than those maintained in the NeoGov system (human resources software used
Audit Results 15 1 P a g e
by the County) located at DHR. This may have been a result of interference by the
SRC. The hiring department completed the skill set criteria evaluation, identified
applicants to be interviewed, interviewed applicants, ranked applicants based on
interview scores and selected the highest applicant. This applicant was put forth to the
SRC as the "top scoring applicant best qualified" candidate that was dated and approved
by the appointing authority. The SRC did not confirm the name or the department's
selection. Subsequently, the department proceeded with second round interviews and a
different candidate was indicated on the RTF form. This name was approved by the SRC
representative (DHR Director) but the final RTF form did not show the actual results of
the first round interviews. The NeoGov system documents did not match the
department's file.
In January 2017, the SRC was eliminated by the new Office of the Mayor because of the
perceived or actual hiring practices that promoted preferential treatment to certain
identified applicants.
• Insufficient monitoring by DHR
The Department of Human Resources did not sufficiently monitor and provide oversight
to hiring departments. Without this monitoring, DHR cannot ensure that all County
departments are following written policies and procedures which helps ensure
compliance with laws, rules, and regulations. The Hawai"i Revised Statute Section 76-5
states that whenever human resource services are delegated or decentralized, the
Director shall institute and maintain a system of inspection to determine that the
personnel laws and rules were applied and administered by the departments in a
manner consistent with the provisions of state law.
While DHR provided periodic trainings that covered important aspects of interviewing
and selection of candidates, when we reviewed departmental processes, we found
various inconsistencies in procedures and questionable practices being performed
during their delegated hiring functions. As described above under "What did we find",
examples included not using the referred lists of candidates correctly, not reviewing and
evaluating all applications for a specific position, and bypassing skill set evaluation,
interviews, and employment reference checks.
Without a mechanism of periodic inspections and/or audits to review the departmental
interview and selection processes, practices that do not conform to personnel laws may
not be easily or timely detected.
• NeoGov system was not fully utilized
NeoGov is an on -demand human resources software used to automate the entire hiring
process. Currently, DHR uses NeoGov to manage the recruitment, screening
employment applications, establishing eligible lists, sending the referred lists to the
departments, and tracking the status of applicants, etc. The Department of Human
Resources is not fully using NeoGov's system capabilities to track and monitor the status
of candidates during the interviewing and selection processes. Departments were not
Audit Results 16 1 P a g e
required to track and update candidates' records in NeoGov, specifically interview
scheduled and pending job offer. Candidate information should be maintained during
each hiring phase to ensure all candidates are considered and afforded the employment
opportunity.
• Extended continuous recruitment
Best practices of other jurisdictions within the State of Hawaii show that open -
continuous recruitments are used mostly for "difficult -to -fill" positions. These positions
require specialized skills, licenses, or certifications to qualify for the job and may have
limited applicants.
However, the DHR Director authorized open -competitive recruitments on a continuous
basis for not "difficult -to -fill" classes of work for the past three years. These classes of
work are based on a minimum qualifications such as a high school diploma and resulted
in a large number of applicants (sometimes with up to 1,000 names). The departments
could not manage the referred list and were not applying the skill set criteria evaluation
uniformly.
In addition, continuous recruitments resulted in new candidates being added to the list
nonstop, thus, names of preferred candidates could be easily added.
In December 2016, the Office of the Mayor instructed DHR to close all continuous
recruitments.
• Prohibited personnel practices
Best practices clearly define prohibited personnel practices such as obstructing a
person's right to compete for employment, granting any preference or advantage not
authorized by law, or taking or failing to take an applicant for employment based on
disclosure of information provided by an applicant.
In 2001, the state repealed the statute that defined prohibited personnel practices.
Furthermore, the County's current (January 2017) and past hiring procedures, also do
not specify specific prohibited personnel hiring practices. Without clear guidance,
departments may have an increased risk of not complying with the merit principle.
Audit Results 17 1 P a g e
The County's hiring practices did not ensure equitable, uniform, and transparent selection of
candidates which may have resulted in non-compliance with applicable laws, rules, and
regulations. The audit recommends that the County immediately address these major issues to
restore integrity and public trust back into government regarding its hiring practices.
Furthermore, these recommendations should be implemented countywide to standardize and
uniform its hiring practices in compliance with human resources and civil service laws.
Administrative
While the SRC has already been eliminated, we recommend the Office of the Mayor
and the Department of Human Resources ensure that hiring selection rests solely with
the appointing authority and prevents preferential treatment of new hire candidates. This
may include updating policies and procedures, the County Charter, and/or the County
Code.
We further recommend the Office of the Mayor and the Department of Human
Resources consider implementing an independent whistleblower program and system to
allow anonymous complaints to be reported.
Monitoring and Oversight
We recommend the Department of Human Resources develop and implement policies
and procedures that address monitoring and oversight of countywide interviewing and
selection processes to deter, detect, and prevent questionable hiring practices and
ensure compliance with applicable laws, rules, and regulations.
We recommend the Department of Human Resources require individual hiring
departments to use the NeoGov system to track and monitor the status of candidates
during the interview and selection process.
Training
We recommend the Department of Human Resources provide mandatory on-going
hiring procedure and merit principles training for all employees involved in the hiring
process.
Recommendations 18 1 P age
Continuous Recruitment
We recommend the Department of Human Resources only use open -competitive
recruitments on a continuous basis for "difficult -to -fill" classes of work.
Prohibited Personnel Hiring Practices
We recommend the Department of Human Resources develop and implement written
policies and procedures clearly defining prohibited personnel hiring practices.
We further recommend the Department of Human Resources work with other
jurisdictions to have the State's Hawai "i Revised Statutes updated or reinstated to
include provisions that addresses prohibited personnel practices using federal laws as a
guideline.
Recommendations 19 1 P a g e
Department's Comments
Harry Kirn;�Y•0F kSharon Toriano
8v.•' � ''•gtlr
MuW► �,,. _ ' ' •.�., Direator of Wum= Resourers
.119-
�� ■ dr
■
Wiffiarn V. Bri.fhantc , jr.
�ok o*:•�`� Depi Diratoro 'Nu man suurces
ter �. M �� . � � � �
of Nov
County of Hawaii
Department of Human Resources
Aupurd Center . tfit Patutiti Street, Suite 2 . Hib, Ha►vai'i 96720 • (808) 96.L-83bl . FaX (808) 961-8617
website: iii/Aawaiico_ttnt),.gov/httrnan-reiotirccs e-innif. 'abq_itaI%'aiicrnirtt�,
August 31, 2017
TO: Bonnie Nims, Legislative Auditor
FROM: Sharon Toriano j _�-
Director of Human Resources
SU BJ ECT: Response to the County of Hawai' i's,
Department of Human Resources, Hiring Practices - Report No. 2017-03
The Department of Human Resources (DHR) is committed to the impartial selection of
individuals for public service by means of competitive tests which are fair, objective
and practical and builds the strongest possible team to serve the people of Hawaii
County.
DHR will be taking a much more active role going forward to monitor departments and
ensure that the applicable policies and procedures are followed in all hiring activities.
With regard to the Legislative Auditor recommendations, thus for we have done the
following:
• Staffing Review Committee - Eliminated in December 2016.
• Continuous recruitment was closed in December 2016 for classes of work that are
not difficult to fill. With time, and as candidates expire from the list at the end of
their respective 12 month period of eligibility, the number of applicants that
departments will have to manage, will be reduced.
• Training - Effective July 2017, DHR interview training is mandatory for department
Human Resources personnel and individuals serving on an interview panel. Skill set
training is mandatory for department heads, deputies, managers, supervisors and
department Human Resources personnel.
• Monitoring and Oversight - Effective May 2017, DHR mandated that the hiring
departments track qualified applicants on the referred list through the hiring process
in the NeoGov system.
Hawaii County is an Equaf Oppoitunity Provider amf Eu tp(L) c i .
Department's Comments 20 1 P a g e
Prohibited Personnel Hiring Practices - A DHR policy and procedure for auditing the
interview and selection process is being developed and shall include a list of
prohibited personnel practices that are intended to deter, detect and prevent
questionable and prohibited practices.
Whistleblower Reporting Program - Will collaborate with the Office of the Mayor and
consider.
We thank the office of the Legislative Auditor staff for their work to build a stronger
County of Hawaii government to better serve the people of Hawaii Island.
Department's Comments 21 1 P a g e
Harry Kim ��Y OF0.40 a 9
Mayor
� �' -rN �1��F11 f■• 1
Ti
L �-.
I ; * I
Wil Gkabe •, „d -
Managing Director
N.
a�
v
�F
140
(�Ouufv of ffiafuni"I
DEPARTMENT OF PUBLIC \VORKS
Aupuni Center
101 Pauahi Street, Su1tc 7 - H ilo, Hawai' i 96 720-422 4
(808) 961-8321 • Fax ( 808) 961-8630
p Ei b 1 i c_works{a; lia wai icou nty. go v
August 14, 2017
To: Bonnie Nims, Legislative Auditor
FROM: Frank J. De Marco, P.E.
Director -V"vw�j�MQ,,zt,
Frank.]. De Marco, P.E.
Director
Allan G. Simeon, P.E.
Deputy Director
SUBJECT: Response to county of Hawaii's, Department of Human Resources, Hiring
Practices Audit — Report No. 2017-03
Thank you for the opportunity to provide our responses to the audit recommendations.
Administrative
Recommendation:
While the SRC has already been eliminated, we recommend the office of the Mayor
and the Department of Human Resources ensure that hiring selection rests solely with
the appointing authority and prevents preferential treatment of new hire candidates.
This may include updating policies and procedures, the county Charter, and/or the
County code.
We further recommend the office of the Mayor and the Department of Human
Resources consider implementing an independent whistleblower program and system
to allow anonymous complaints to be reported.
Department Response:
The Department of Public Works will abide by and follow any and all updated policies
and procedures from the office of the Mayor and the Department of Human Resources.
County of Hawaii is an Equal Opportunity Provider and Employer.
Department's Comments 22 1 P a g e
Memo to Bonnie Nims, Legislative Auditor
Page 2
August 14, 2017
Monitoring and Oversight
Recommendation:
We recommend the Department of Human Resources develop and implement policies
and procedures that address monitoring and oversight of countywide interviewing and
selection processes to deter, detect, and prevent questionable hiring practices and
ensure compliance with applicable laws, rules, and regulations.
We recommend the Department of Human Resources require individual hiring
departments to use the NeoGov system to track and monitor the status of candidates
during the interview and selection process.
Department Response:
The Department of Public Works Procedures and Guidelines for Interview and Selection
were amended on May 31, 2017 to incorporate suggestions made during the audit.
The Department will continue to utilize the NeoGov system to track and monitor the
status of candidates during the interview and selection process.
Training
Recommendation:
We recommend the Department of Human Resources provide mandatory on-going
hiring procedure and merit principle training for all employees involved in the hiring
process.
Department Response:
The Department of Public Works will ensure that all employees involved in the hiring
process attend any mandatory training offered by the Department of Human Resources.
County of Hawaii is an F_.qual Opportunity Provider and Employer.
Department's Comments 23 1 P a g e
Memo to Bonnie Nims, Legislative Auditor
Page 3
August 14, 2017
Continuous Recruitment
Recommendation:
We recommend the Department of Human Resources only use open -competitive
recruitments on a continuous basis for "difficult -to -fill" classes of work.
Department Response:
No response.
Prohibited Personnel Hiring Practices
Recommendation:
We recommend the Department of Human Resources develop and implement written
policies and procedures dearly defining prohibited personnel hiring practices.
We further recommend the Department of Human Resources work with other
jurisdictions to have the State of Hawaii Revised statutes updated or reinstated to
include provisions that addresses prohibited personnel practices using federal laws as a
guideline.
Department Response:
The Department of Public Works will adhere to policies and procedures regarding
prohibited personnel hiring practices.
Should you have any questions, please feel free to contact me.
County of Hawai ` i is an Equal appoilunity Provider and Employer.
Department's Comments 24 1 P a g e
Ai -tq+ F
Charmaine L Kamaka
Harry Kim 6f Directort
a or
�+
Ryan K. Chong
Deputy Director
County .b)i I
DEPARTMENT OF PSS AND RECREATION
101 Pau hi Street, Suite 6 * HUD, Hawafl 96720
(808) 961-8311 * Fax (808) 961-8411
MEMORANDUM
TO:
Bonnie S. Mm. CLAP
MWA
Legislativ Aud1t rFROM:
�.
_� i
i
C ar e Kc aka.. Director
... ,
DATE:
August 1 , 2017
U BJ ECT;
Drafi Audit Report - County of Hawail's is Hiring Procillces
ON
Dj
This is to acknowledge receipt of the final draft an the County of Hawai`i's Hiring
Practices,
Our departmenf is actively Orkin towards improving the identified areas. To start
with, our department's cruitm nt, Examination and Hiring Procedures vias amended,
reviewed and approved by the Department of Human Re&ources (DHR) and the
Managing Dir alar in mi J-Jcnuar ,
Other areas of concern that are being addressed include:
a Review interview package prior to interview and auditing interview results to
ensure compl1ance.
• Utilize NeoGov to reflect the steps taken in the selection process+
• retain intrrew tiles for three (3) years.
• Advertising aaanaies within our dap rtment first, if reasonable. If there are n
app i ants{ then opening recruitment to the public.
• Develop valid skill sets for each vacancy.
• Apply skill set reviews on referred lists.
0 Train those serving on an interview panel as well as managers, supervisors and H
personnel by having thea attend "Conducting an Effective Jab Interview"
training sponsored by DHR,
• Train those responsible for developing sT ill sets by having thea attend the "Till
Set Development and Evaluation" training sponsored by DHR.
Should you have any questions, please contact our Hump n Resources Program
Specialist, Lea Iar eta -ata at 961-8314.
Co Li nty of Hawaii I s an EquaI Opportunity Provider and Ernplo er.
Department's Comments 25 1 P a g e
Marry Kim a
,
w ,
Coun of Hawai"i
Finance Department
25 Aupuni street, Suite 2103 • Hilo, Hawaii 9671-10
(808) 961-8234 a Fax X808} 961-8559
TO. Bonnie Nims, Legislative auditor
V
FROM: Deanna Salo, Deputy Finance Director
!'ATF: August 30, 201.
SUBJECT- Response to C'ounlj, aiva `i 's Department of Human Resources
Hiring r actice , .depart No. 2017-03, Septeinber 2017
Collins Tomei
Direelor
Deanna S. Sakti
L)eputy Director
Thank you for the opportwi ty to respond to the Legislative Audit Deport, C`oun y off Haivai `i's
De a-tinent of Huinan Resources 1irin Practices , Report No. 2017-03, Seplemher 2017., I also
appreciate the opportunity to meet. twice with your staff to express my eoneems. This is a
unusual response for nye to prepare, since normally I would go through each recommendation and
provide a response, however, this is an unusual audit report. All of the recommendations are
related to the Department of Hunan Resources, yet all the findings are related to work performed
by the departments. I would life to provide the following comments. -
1. . To help put things in perspective: Tuning calendar year 201 6., the Finance depr-ulment
conducted 33 recruitments, 18 of which utilized the Clerk III list. Our 33 recruitments
represent approximately % of the total recruitments for the County in calendar year 2016.
The Finance department has 126 employees or about % of the County's employees, yet
the auditor selected all 18 Clerk III positions for Finance which is 390 of the sarnple. The
sample method seems a little skewed,
.. Of the 18 selections, all are in the findings section because we used a r,-uidorn nwnber
generator to narrow down the more than Zoo names provided by the Department of Fluinan
Rcsource . See nay recommendation below. We used the random number generator as a
measure to be fair to all applicants, so that each applicant had ars equal chance of being
selected. We applied the shill set to the smaller pool. Note: This relates to the first three
bullet points in the first finding,
3.Of the same 18 selections, 12 were included in the first finding, last bullet point, because
we excluded mainland addresses. This was a result of years of experiencing denials when
mainland applicants were called for interviews and declined when told the salary was
$2!A00 per month. We have changed our practice and now call each mainland applicant
and record their denial. The outcome continues to be that they turn do wn the interview
opportunity. This finding only applies to our Clerk III recruitments, since the pair scale is
so to — this was not used for our other classes of work.
Haw ail' County is ars Equal Opportunity Employer and Provider
Department's Comments 26 1 P a g e
Response to County of Haw i` is Department ofHuman Resources Hiring Practices Audit
Page 2 of 2
. of the 18 selections, one of the selections (see the second finding), was continued on a
temporary appointment after being in both a short term contract and atemporary
appointment. This selection was for another teiliporary appointment. The work of the
employee was known to vis and the employee was familiar with the duties.
. Of the 19 selections, two were included in the fifth finding one in. bullet three and One in
bullet five), for the sane reason. It has been our practice to combine interviews for the
sage class of work whenever possible. In both of these cases, we had recently conducted
interviews for the sane Mass of work. As has been our practice, if the interviews were
very recent(within 30 days) we will use those results to select the next highest ranking
employee for the current vacancy, as noted in Section II C I a of the Procedures Manual
approved by the Director of Human Resources on May 18, 2009, Hmvcver, VN7hat we
didn't realize at the time, was that the second referred list was different from the original
referred list, since the Clerk 111 list was on continuous recruitment, so it was always
changing.
. Since all selections were from the sante class of work, we of course had repetitive errors,
since we consistently applied our methodology without bias to any individual. The intent
was never to exclude anyone or be unfair to anyone. It was to be able to fill positions in a
reasonable amount of time ensuring favoritism did not play a role in our process. As you
know, when we are short staffed, the lines at Vehicle Registration & Licensing and Deal
Property 'fax continue to get longer. Our goal is to provide quality customer service to the
public.
I have the following recommendation:
Now that the Department of Human Resources (DHR) performs the Clerk III and other large
recruitments once per year no longer on continuous recruitment), DHR should work with each
department to determine their potential skill sets that may be deeded during the upcoming year.
Applicable skills could he determined and noted for departments as the applications are initially
screened. In addition, instead of referring the entire list, DHR could determine applicants with the
appropriate shills and refer only 5 or 10 names as done in. the past. This is similar to the process
used by the City and County of Honolulu. Lacking this reduced list, the only fair method is the
use of a random number generator.
This could benefit the departments greatly as most departments only have one Human Resources
Specialist that does the skill set evaluation. We do not have enough time to screen more than 200
applicants over and over again. In general, ffie skill sets do not vary greatly and for Finance, there
are generally two skill sets used, one for Vehicle Registration & Licensing and one for Leal
Property Tax. This would greatly improve the efficiency and effectiveness of the process.
By streamlining the process, the departments will have more time to ensure that a.11 reales have
been properly applied.
Thank you again for the opportunity to provide my comments. Please feel free to call me ifyou
Dave any questions.
Department's Comments 27 1 P a g e
Appendix A: Audit Criteria
Laws
Hawai"i Revised Statutes (HRS), Chapter 76 —Civil Service Laws establishes the
requirements of civil service laws and the merit principles and states in part:
X76-1 purposes; merit principle. The merit principle is the selection of persons based
on their fitness and ability for public employment -and the retention of employees based
on their demonstrated appropriate conduct and productive performance.
X76-5 Alternatives in providing human resources program services.
(a) Whenever consistent with economic and efficient administration, the director may
delegate the performance of services under this chapter to the departments. The
departments shall perform the services in compliance with any policies, standards, and
procedures issued by the director. The delegation may be withdrawn at any time as
determined by the director.
(b) Whenever consistent with economic and efficient administration and upon the
recommendation of its director, the chief executive may decentralize powers, including
the issuance of policies, standards, and procedures that would apply to the department
or agency. Accountability for all actions taken the appointing authority or any
subordinate employee, as a result of empowerment by the chief executive, shall rest with
the appointing authority to the same extent as though the action had been taken by the
director...
(e) Whenever human resource services are delegated, decentralized, or performed by
agreements as authorized in this section, the director shall institute and maintain a
system of inspection to determine that the personnel laws and rules are applied and
administered by the departments in a manner consistent with the provisions of this
chapter. In the event of any failure to comply with the provisions of this chapter, the
director shall take or recommend appropriate action. Such action may include requiring
immediate correction be taken, retracting the delegation of authority, recommending
cessation of decentralization, or terminated an agreement for human resource services.
§76-11 —Definitions...
"Appointing authority" means a department head or designee having the
power to make appointments or changes in the status of employees.
"Chief executive" means the governor, the respective mayors, the chief justice
of the supreme court, and the chief executive officer of the Hawaii health systems
corporation. It may include the superintendent of education and the president of the
University of Hawaii with respect to their employees on any matter that applies to
employees in general, including employees who are not covered by this chapter.
"Department" means the head of any department, board, commission, or
agency of a jurisdiction.
Appendix A: Audit Criteria 28 1 P a g e
"Director" means the head of the central personnel agency for a jurisdiction
regardless of title, whether it is the director of human resources development, director of
personnel, director of personnel services, or personnel director....
"Employer" or "public employer" means the governor in the case of the State,
the respective mayors in the case of the counties, the chief justice of the supreme court
in the case of the judiciary, the board of education in the case of the department of
education, the board of regents in the case of the University of Hawaii, the Hawaii health
systems corporation board in the case of the Hawaii health systems corporation, and
any individual who represents one of the employers or acts in their interest in dealing
with public employees. In the case of the judiciary, the administrative director of the
courts shall be the employer in lieu of the chief justice for purposes which the chief
justice determines would be prudent or necessary to avoid conflict.
"Jurisdiction" means the State, the city and county of Honolulu, the county of
Hawai "i, the county of Maui, the county of Kauai, the judiciary, the department of
education, the University of Hawaii, and the Hawaii health systems corporation.
§76-12 —General powers and duties of director. The director shall
(1) Represent the public interest in the improvement of human resources administration
in the civil service;
(2) Assist in fostering the interest of institutions of learning and civic, professional, and
employee organizations in the improvement of human resources standards in civil
service;
(3) Advise the chief executive on policies and problems concerning the human resources
program; and
(4) Make investigations concerning the administration of human resources policies in the
civil service, including any matter respecting the enforcement or effect of this chapter or
the rules adopted thereunder, or the action or failure to act of any officer or employee
with respect thereto.
X76-13 - Specific duties and powers of director. The director shall direct and
supervise all administrative and technical activities of the director's department. In
addition to other duties imposed upon the director by this chapter, the director shall:
(1) Establish and maintain a roster of all persons in the civil service;
(2) Appoint employees necessary to assist the director in the proper performance of the
director's duties and for which appropriations shall have been made;
(3) Foster and develop, in cooperation with appointing authorities and others, programs
for the improvement of employee efficiency;
(4) Cooperate fully with appointing authorities, giving full recognition to their
requirements and needs, in the administration of this chapter to promote public service
by establishing conditions of service that will attract and retain employees of character
Appendix A: Audit Criteria 29 1 P a g e
and capability, and to increase efficiency and productivity in governmental departments
by continuously improving methods of human resources administration and maximizing
the use of advanced technology;
(5) Encourage and exercise leadership in the development of effective human resources
administration within the several departments and make available the facilities of the
director's department to this end;
(6) Investigate from time to time the operation and effect of this chapter and the rules
adopted thereunder;
(7) Develop and maintain classification systems;
(8) Make recommendations and advise the chief executive on appropriate adjustments
for employees excluded from collective bargaining as authorized under chapter 89C; and
(9) Perform any other lawful acts deemed by the director to be necessary or desirable to
carry out the purposes and provisions of this chapter.
X76-42 Internal complaint procedures. (a) The director shall promulgate a uniform
plan for the creation of internal complaint procedures in the various departments that
shall apply to matters within the jurisdiction of the merit appeals board. The internal
complaint procedures may also be used for other matters, such as, when a complaint
procedure is required by law to be available or when a jurisdiction deems it would be
beneficial to avoid the time and expense of based on a complaint litigation; provided that
matters subject to collective bargaining grievance procedures shall not be processed
under the internal complaint procedures...
X76-75 Personnel director. The merit appeals board shall appoint and may at pleasure
remove a personnel director, who shall be the chief administrative officer of the
department of civil service. The director shall, at the time of the director's appointment,
and thereafter, be thoroughly familiar with the principles and methods of personnel
administration and shall believe in applying merit principles and scientific administrative
methods of public personnel administration.
The Hawaii County Charter Article VII, Chapter 1. Section 7-1.4 Powers, Duties and
Functions describes the duties of the Director of Human Resources:
The director of human resources shall be responsible for the human resources
management program of the county with two distinct categories of duties. The major
duties shall be in the areas of equal employment opportunities, personnel development,
personnel deployment, personnel relations and personnel welfare including employee
safety and workers' compensation. The secondary duties of the director shall be the
administration of the civil service system and the maintenance of the aims and
mechanics prescribed by statute. The director shall be the administrative head of the
department of human resources and shall be responsible for the proper conduct of all
the administrative affairs of the department and for the execution of the human
resources management program prescribed by this chapter, ordinances, laws and
Appendix A: Audit Criteria 30 1 P a g e
regulations. The merit appeals board shall function according to statute. The director
shall provide technical and clerical staff services to the board.
Policies and Procedures
Rules of the Department of Human Resources Title 1 — Rules of the Director; and
Department of Human Resources Policies and Procedures Concerning "Preparation
of Position Descriptions (Memorandum No. 16-011 (February 18, 2016)) states in part:
�3-29 Duration of eligibility...
(d) Open -competitive list. An eligible on an open -competitive eligible list shall remain on
the list for a minimum of six months from the date the list is established or until the
(e) list is depleted or expired, whichever occurs first. The eligibility period may be
extended at the discretion of the director...
�3-30 Certification of eligibles...
(b) All eligibles will be referred from an eligible list for each vacancy based on their
availability for work location, and duration of employment, including availability to
work in a lower level class of work...
(d) (2) If there are less than five available eligibles on the list, the director may certify
names from other related eligible lists for the same or related class in order of rank...
(e) The director may certify names, when requesting by an appointing authority, of those
individuals the appointing authority is considering for a temporary appointment
outside of the list and who meet the minimum qualification requirements for the class
of work.
§3-31 Order of eligible lists for certification....
Open -competitive list or registration list.
§3-40 Persons ineligible for appointment.
The director may deem a person ineligible for an appointment in the civil service for
reasons including, but not limited to the following:
(a) Deception, fraud, or providing false or misleading statements of material facts in the
application or examination process;
(b) Unauthorized or improper assistance in an examination;
(c) A determination of unsuitability for employment;
(d) Termination or suspension from an eligible list.
Revised Filling Civil Service Position Procedures (Memorandum No. 17-033 (January
59 2017)) states in part:
POLICY
The County shall fill its positions with the most suitable candidates available based on
the merit principle and utilizing fair and uniformly administered procedures.
Appendix A: Audit Criteria 31 1 P a g e
Selections shall be impartial and based on the needs of the County as well as
candidates' fitness and ability for public employment.
This supersedes all existing policies and procedures within the County regarding filling
positions.
DEFINITIONS...
"Merit principle" means the selection of persons based on their fitness and ability for
public employment and the retention of employees based on their demonstrated
appropriate conduct and productive performance...
"Skill set" means a particular category of knowledge, skills, and abilities determined to
perform the essential job duties. This skill set may be more encompassing and specific
than the minimum qualification requirements...
RESPONSIBILITIES
I. DEPARTMENT...
C. Develop the desired skill set for the position in relation to the current and
accurate position description and class specification...
J. Develop and manager department interview and selection procedures.
K. Comply with the County Policy and Procedures for Filling Civil Service
Positions...
Filling Positions Procedures (March 4, 2013)
POLICY
The County shall fill its positions with the most suitable candidates available based on
the merit principle and utilizing fair and uniformly administered procedures.
Selections shall be impartial and based on the needs of the County as well as
candidates' fitness and ability for public employment.
This supersedes all existing policies and procedures within the County regarding filling
positions.
nFFINITInN;
"Appointing Authority" means a department/agency head or designee having the power
to make appointments or changes in the status of employees...
"Merit Principle" shall be defined in Hawai "i Revised Statutes, Section 76-1...
Appendix A: Audit Criteria 32 1 P a g e
"Staffing Review Committee" or "SRC" means a committee established by the Director
to manage the appropriate staffing of County positions. The SRC shall consist of three
members, one of which shall be the appointing authority who is requesting to fill the
position, and decisions by the SRC shall be on the basis of simple majority....
GENERAL STAFFING PROCEDURES...
VI. Upon receipt of all candidates that meet the minimum qualifications of the class
of work, the SRC may determine that narrowing the number of final candidates to
be considered is appropriate. To determine the need to narrow the number of
final candidates, the SRC shall consider additional job-related factors such as,
but not limited to:
A. Education;
B. Specific qualification (e.g., licenses, certifications, etc.);
C. Work experience; and/or
D. Employment references...
SELECTION GUIDELINES
I. When an interview is conducted:
A. An interview, follow-up interview, job-related assessment exercises, or any
combination thereof may be conducted as part of the overall selection
process;
B. An interview shall not be the sole determining factor in making a selection;
C. Candidates for the same class of work considered within the past twelve
months need not be interviewed again...
II. Conduct employment background and reference checks on the candidate(s)
being considered for selection.
III. When making a selection:
A. Exercise responsible judgement;
B. Adhere to applicable federal and state laws and rules, collective bargaining
agreements, and all applicable County and policies and procedures; and
C. Consider job-related factors such as, but not limited to:
1. Past work performance and work history
2. How the County would benefit from the selection;
3. Characteristics of the selected candidate that will support the
candidate after hiring;
4. Results of the background and reference checks; and/or
5. Whether the candidate has kept current in his or her chosen field of
work.
IV. Retain selection records for a minimum of three years...
Quarterly Human Resources Workshop (Memorandum 13-010 (February 15, 2013)).
Training dated March 4, 2013 includes a PowerPoint presentation with the following slides:
Appendix A: Audit Criteria 33 1 P a g e
Skil. Set
• Skill Set means the desired experience
and knowledge/skills/abilities as it
relates to the essential duties of the
position being filled
• Refer to position description and class
specification
Reminders
• Use the steps on the referred list to
move applicants from referred,
interview scheduled, offer pending,
hired, or rejected steps
N RTFs for transfers, demotions and
IGMs are not entered in NeoGov
▪ Post all open -competitive and internal
recruitment postings and distribute
such to all employees in your
department
Quarterly Human Resources Workshop (Memorandum 13-063 (October 1, 2013)).
Training dated October 16, 2013 included the following information:
Skill Set
Definition: A skill set is a particular category of skills necessary to acquire a job.
Examples of specific skill sets include dealing with the public, research and planning,
leadership, management, and computer skills...
Include position's skill set on the Request to Fill Form. If lengthy, complete on an
attached sheet...
Processing A Request To Fill Form (RTF)
RTF Step 3 — Determination of Selection Process
Process is delegated to the department:
...Screen applicants against the desired skill set to determine who will be interviewed. If
the number of qualified applicants exceeds the number determined by the SRC,
additional criteria may be established to narrow the list down further...
Process is conducted by the SRC:
...Coordinate with the SRC to identify members of the interview panel, interview
questions, and schedule the interview...
Quarterly Human Resources Workshop, Training dated February 24, 2017 included
the following information:
Skill Set Development Procedures
Introduction: There are times when the referral of a large number of applicants from an
eligible list or internal list may not result in the practical means of interviewing applicants.
Appendix A: Audit Criteria 34 I Page
Purpose: To narrow the slate of applicants referred from an eligible list or internal list for
the interview and selection process. This process should not be used as a means of
solely allowing consideration of a particular applicant...
1. Prior to completion of the Request to Fill form, review the class specification for
designated position.
2. Review position description for the most important knowledge, skills, and abilities
that the new hire must perform from the start.
3. Identify skill set criteria based on the essential functions of the job listed on
position description. This should include the type(s) and quantity/level of
experience and education that would indicate possession of the knowledge,
skills, and abilities identified. Criteria must be job-related and should not include
knowledge, skills, and abilities that can be quickly learned on the job.
4. Once the skill set is finalized, place the skills on an excel spreadsheet or other
rating form and categorize them (clerical skill, public contact, equipment, etc.).
5. Departmental HR representative reviews the applications of those referred from
DHR to validate each applicant's education and experience.
6. Identify skill set criteria for each referred applicant by placing an X for the specific
skill on the spreadsheet or points if criteria are weighted.
7. Validate (check application) that skill is acquired through education and/or
experience shown on the application.
8. Tally skills/points in accordance with skill set categories.
9. Determine which skill set category (based on total of Xs or points) you will
interview and/or conduct assessment exercise(s). Be prepared to justify action in
the event of a grievance, appeal, or discrimination charge.
10. Retain skill set evaluation form with department's interview and selection process
documentation in accordance with department's record retention schedule.
Appendix A: Audit Criteria 35 I Page
Account Clerk (OO-OXXXX) Skill Set Evaluation -SAMPLE
A+..
Payroll for 100+
employees in gov.
or unionizedMachine setting
Excel
spreadsheet
10 Key Adding
a hine
TDI
Workers'
Comp
DiLicense
Total (out of
criteria)
1
X
X
2
X
1
1
4
0
61
1
0
11M11111011111111x
x
5
12
x
13
1
14
X
I
15
X
X
2
Best Practices
United States Code Title 5, Part III, Subpart A, Chapter 23 describes the merit system
principles:
§2301. Merit system principles...
(b)... personnel management should be implemented consistent with the following merit
system principles:
(1) Recruitment should be from qualified individuals from appropriate sources in
an endeavor to achieve a work force from segments of society, and selection and
advancement should be determined solely on the basis of relative ability,
knowledge, and skills, after fair and open competition which assures that all
receive equal opportunity.
(2) All employees and applicants for employment should receive fair and
equitable treatment in all aspects of personnel management without regard to
political affiliation, race, color, religion, national origin, sex, marital status, age, or
handicapping condition, and with proper regard for their privacy and
constitutional rights...
(4) All employees should maintain standards of integrity, conduct, and concern
for the public interest.
United States Code Title 5, Part III, Subpart A, Chapter 23 describes prohibited personnel
practices:
Appendix A: Audit Criteria 36 I Page
§2302. Prohibited personnel practices...
(2) solicit or consider any recommendation or statement, oral or written, with respect to
any individual who requests or is under consideration for any personnel action unless
such recommendation or statement is based on the personal knowledge or records of
the person furnishing it and consists of
(A) an evaluation of the work performance, ability, aptitude, or general
qualifications of such individual; or
(B) an evaluation of the character, loyalty, or suitability of such individual...
(4) deceive or willfully obstruct any person with respect to such person's right to compete
for employment...
(6) grant any preference or advantage not authorized by law, rule, or regulation to any
employee or applicant for employment (including defining the scope or manner of
competition or the requirements for any position) for the purpose of improving or injuring
the prospects of any particular person for employment;
(7) appoint, employ, promote, advance, or advocate for appointment, employment,
promotion, or advancement, in or to a civilian position any individual who is a relative (as
defined in section 31110(a)(3) of this title) of such employee if such position is in the
agency in which such employee is serving as a public official (as defined in section
3110(a)(2) of this title) or over which such employee exercises jurisdiction or control as
such an official;
(8) take or fail to take, or threaten to take or fail to take, a personnel action with respect
to any employee or applicant for employment because of— (A) any disclosure of
information by an employee or applicant which the employee or applicant reasonably
believes evidences— (i) any violation of any law, rule, or regulation, or (ii) gross
mismanagement, a gross waste of funds, an abuse of authority, or a substantial and
specific danger to public health or safety.
United States Government Accountability Office (GAO), Standards for Internal Control
in the Federal Government ("Green Book") describes the monitoring internal control and
remediation of internal control deficiencies component:
Overview
Finally, since internal control is a dynamic process that has to be adapted continually to
the risks and changes an entity faces, monitoring of the internal control system is
essential in helping internal control remain aligned with changing objectives,
environment, laws, resources, and risks. Internal control monitoring assesses the quality
of performance over time and promptly resolves the findings of audits and other reviews.
Corrective actions are a necessary complement to control activities in order to achieve
objectives...
Appendix A: Audit Criteria 37 I Page
Principle 16 — Perform Monitoring Activities
16.01 Management should establish and operate monitoring activities to monitor the
internal control system and evaluate the results...
Internal Control System Monitoring
16.04 Management monitors the internal control system through ongoing monitoring and
separate evaluations. Ongoing monitoring is built into the entity's operations, performed
continually, and responsive to change. Separate evaluations are used periodically and
may provide feedback on the effectiveness of ongoing monitoring.
16.05 Management performs ongoing monitoring of the design and operating
effectiveness of the internal control system as part of the normal course of operations.
Ongoing monitoring includes regular management and supervisory activities,
comparisons, reconciliations, and other routine actions. Ongoing monitoring may include
automated tools, which can increase objectivity and efficiency by electronically compiling
evaluations of controls and transactions.
16.08 Management retains responsibility for monitoring the effectiveness of internal
control over the assigned processes performed by service organizations. Management
uses ongoing monitoring, separate evaluations, or a combination of the two to obtain
reasonable assurance of the operating effectiveness of the service organization's
internal controls over the assigned process. Monitoring activities related to service
organizations may include the use of work performed by external parties, such as
service auditors, and reviewed by management...
The Committee of Sponsoring Organizations (COSO) provides an integrated internal
control framework and guidance on monitoring internal control systems, which in part:
How Does Monitoring Benefit the Governance Process?
Unmonitored controls tend to deteriorate over time. Monitoring, as defined in the COSO
Framework, is implemented to help ensure "that internal controls continues to operate
effectively." When monitoring is designed and implemented appropriately, organization
benefit because they are more likely to:
• Identify and correct internal control problems on a timely basis,
• Produce more accurate and reliable information for use in decision-making,
• Prepare accurate and timely financial statements, and
• Be in a position to provide periodic certifications or assertions on the
effectiveness of internal control.
Over time effective monitoring can lead to organizational efficiencies and reduced costs
associated with the public reporting on internal control because problems are identified
and addressed in a proactive, rather than reactive, manner.
Appendix A: Audit Criteria 38 I Page
The Harvard Law School Forum on Corporate Governance and Financial Regulation,
Elements of an Effective Whistleblower Hotline, explains why whistleblower hotlines are
important:
It has been reported that approximately two-thirds of companies in the U.S. are affected
by fraud, losing an estimated 1.2% of revenue each year to such activity. Indirect
costs associated with fraud, such as reputational damage and costs associated with
investigation and remediation of the fraudulent acts, may also be substantial. When and
where implemented, an internal whistleblower hotline is a critical component of a
company's anti -fraud program, as tips are consistently the most common method of
detecting fraud. f2j. Consequently, it is essential that companies consider implementing,
if they have not already done so, effective whistleblower hotlines...
It is more crucial than ever that companies have effective whistleblower hotlines as part
of their corporate compliance programs so that employees (and other company
stakeholders, such as vendors) are motivated to report suspected unethical or unlawful
conduct internally...
Sarbanes Oxley Act, Title III, Section 301 discusses standards relating to audit
committees:
(4) COMPLAINTS.—Each audit committee shall establish procedures for—
(A) the receipt, retention, and treatment of complaints received by the issuer
regarding accounting, internal accounting controls, or auditing matters; and
(B) the confidential, anonymous submission by employees of the issuer of
concerns regarding questionable accounting or auditing matters.
The Association of Certified Fraud Examiner's Report to the Nations on Occupational
Fraud and Abuse, 2014 Global Fraud Study describes the impact of hotlines:
The presence of a reporting hotline had a substantial impact on the initial fraud detection
method in the cases we analyzed. Tips were the most common detection method for
organizations with and without hotlines, but the benefit was much more pronounced in
organizations with them (see Figure 14).
For organizations without hotlines, the reduced detection through tips resulted in other
forms of detection being more prominent. As seen in Figure 12, several detection
methods tend to be associated with higher median losses and increased median
duration. Some of these less -effective means of detection by accident, notification by
law enforcement and external audit were more than twice as common in
organizations without hotlines.
Appendix A: Audit Criteria 39 I Page
Figure 14: Impact of Hotlines
DETECTION METHOD
Tip
Internal Audit
Management Review
Account Reconciliation
By Accident
Surveillance/Monitoring
Document Examination
External Audit
Notified by Law Enforcement
IT Controls
Confession
Other
15.2%
13.2(.4
■
14 5%
17.7%
0% 10% 20% 30% 40%
PERCENT OF CASES
513%P
▪ Organizations
With Hotlines
▪ Organizations
Without
Hotlines
50% 60%
Appendix A: Audit Criteria 40 I Page
Appendix B: Example of Request to Fill Form
DEPARTMENT OF HUMAN RESOURCES
REQUEST TO FILL FORM
STEP 1 - DEPARTMENT T UBMIT REQUEST TO PRC
Department: Date of Request:
Division: District:
DHR-RE-544
Rev. 10/16/13
Position No.: Pay Grade:
Title:
Request to Fill the Position: ❑ Permanently ❑ Temporarily
Date of Vacancy: Name of Incumbent:
Reason for the Vacancy:
(duration)
Recommendation for filling position through the following option(s):
attach a copy of the individual's on-line application
❑ Recalllit
❑ Select priority list
❑ Priority job placement *
❑ lntra-department transfer *
❑ Intra -department demotion *
❑ lntra-department movement
❑ Internal recruitment within the department
❑ Inter -department transfer *
❑ Inter -department demotion *
❑ inter -department movement
❑ Internal recruitment within the County of HawaFi
❑ Intergovernmental movement *
❑ Re-employment List
❑ Open -competitive recruitment - all of the names from the eligible list
❑ Temporary appointment outside of the eligible list (TOL)*
❑ Other (includes conversion of temporary appointment, exempt appointment, student helper, etc.)
Justification for option(s):
Desired experience and skill set, including special working condition requirements:
See Attachment
If applicable, provide request for special recruitment ad:
(i.e. Ad other than Hawaii Tribune Herald & West Hawaii Today at department cost)
Recommendation for "hiring above the minimum pay grade" for advertising: ❑ Yes ❑ No
Rationale:
By:
Date:
Department Head Signature
By: Date:
PRC Representative Signature
Hawaii county is an Equal Opportunity Provider and Employer
Appendix B: Example of Request to Fill Form 41 I Pa g e
DHR-ISE-544
Rev. 10/1 6/13
STEP 2 - SRC DETERMINES METHOD TO FILL POSITION
Position will be filled through the following recruitment option:
(foto: Route RTF Form to DHR-RBE.)
By:
SRC: Representative Signature
STEP 3 - SRC DETERMINES SELECTION PROCESS
[Date:
F -I SRC to Conduct selection process (then proceed directly to Step )
❑ Department rtment to conduct selection process
By:
SRC Representative Signature
Date:
STEP 4 - DEPARTMENT PROVIDES SELECTION PROCESS RESULTS TO SRC
Recommended Selection(s):
Rationale:
Recommended plate() of hire:
Mote: A ftaoh DH - E-545 Form (Request to Hire Above the IVinin7unr ate of Fair Range) for Dire c for of Human
Resources approval if department wants to offer salary above the rr7inimurn rate. Recruitment rnu t have been
advertised at min -max prey range.
By:
Cate:
Department Head Signature
STEP 5 - SRC CONFIRMS SELECTION PROCESS
Person() selected:
Date(s) of hire:
By:
Cate:
SRC Representative Signature
HawcPi Counter is an Equal Opportunity Provider cnd Ern pIoyer
Appendix B: Example of Request to Fill Form 42 1 P a g e