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HomeMy WebLinkAbout2022-01 Department of Human Resources Hiring Practices Follow-up County of Hawai'i Seal County of Hawai'i Office of the County Auditor Department of Human Resources Hiring Practices Follow-up - Report No. 2022-01 February 7, 2022 mr County of Hawaii Tyler J. Benner Office of the County Auditor . County Auditor 120 Pauahi St., 309 County of Hawaii Hilo, HI 96720 Office of the County Auditor F 808.961.8905 Ph 808.961.83861: www.hawaiicounty.gov February 7, 2022 Honorable Maile Mederios David, Council Chair and Members of the Hawaii County Council Hawaii County Council 25 Aupuni Street Hilo, Hawaii 96720 Dear Chair David and Council Members, In accordance with generally accepted government auditing standards and the Hawaii County Charter Section 3-18(d)(3), the Office of the County Auditor has a responsibility to monitor and follow-up on audit recommendations to ensure that audit findings are being addressed through appropriate corrective action and to aid us in planning future audits. We have completed our follow-up audit of the County of Hawai`i's Department of Human Resources Hiring Practices Report No. 2017-03, dated September 7, 2017. The objective was to determine if the Department of Human Resources (DHR) implemented the 2017 hiring practices audit recommendations. In this follow-up audit we tested and found five recommendations were completed and three were resolved. Status of Recommendations Completed Resolved 5 3 Sufficient and appropriate evidence Department implemented an was available to support all aspects alternative solution that fully of the recommendation. addresses the audit finding or risks. In response to a draft of this follow-up report, the Acting Director of Human Resources expressed general agreement with our audit results. A copy of management's full response can be found in Chapter 3. Hawaii County is an Equal Opportunity Provider and Emloyer We would like to express our sincere appreciation and commend the Department of Human Resources for their continued efforts to improve hiring practices and for their professionalism, cooperation, and prompt feedback during the follow-up audit process. If you have any questions or concerns about the status of recommendations discussed, please feel free to contact me at 961-8386. Respectfully, Tyler J. Benner County Auditor County of Hawaii cc: Mitchell D. Roth, Mayor Lee Lord, Managing Director Jon Henricks, County Clerk Merit Appeals Board Waylen Leopoldino, MHRM, PHR, Acting Director of Human Resources Lee Botelho, HR Manager, Recruitment and Examination Division Deanna Sako, Finance Director Ikaika Rodenhurst, Director of Public Works Maurice Messina, Parks and Recreation Director Ramzi Mansour, Director of Environmental Management Table of Contents Executive Summary........................................... 1 AboutUs................................................................ 3 Chapter 1 Introduction Objective......................................................... 4 Scope and Methodology ................................. 4 Definitions ....................................................... 5 Chapter 2 Status of Recommendations Administrative Recommendation 1 .............................. 6 Recommendation 2 .............................. 8 Recommendation 3 .............................. 9 Recommendation 4 ............................ 10 Training Recommendation 5 ............................ 11 Continuous Recruitment Recommendation 6 ............................ 13 Prohibited Personnel Hiring Practices Recommendation 7 ............................ 14 Recommendation 8 ............................ 16 Conclusion .................................................. 17 Chapter 3 Management Response ............ 18 Chapter 4 Attachments Post Audit Progress Report on Hiring Practices for 2018......................................... 19 Executive Summary Background The Office of the County Auditor has completed a follow-up engagement with the County of Hawai`i's Department of Human Resources (DHR) Hiring Practices. The original audit was conducted in response to numerous complaints from employees and the public. The audit identified the Staffing Review Committee as having a significant role in the hiring process and consisted of members who exerted undue influence. DHR's previous process contained questionable hiring authority, inadequate segregation of duties, and insufficient monitoring and oversight. Based on the conditions at the time, eight (8) recommendations were made. The purpose of this follow-up audit was to determine if DHR implemented the prior recomendations. Status of Recommendations Status 1. We recommended DHR and the Office of the Mayor ensure sole hiring Completed authority rests with the appointing authority and prevent preferential treatment. 2. We recommended DHR and the Office of the Mayor consider implementing Resolved an independent whistleblower hotline. 3. We recommended DHR develop and implement policies to address Completed monitoring and oversight to detect, deter, and prevent questionable hiring practices and ensure compliance with laws, rules, and regulations. 4. We recommended DHR require hiring departments use the NeoGov Completed system to track and monitor applicant's status during the interview and selection process. 5. We recommended DHR provide on-going mandatory hiring procedure and Completed merit principles training for employees involved in the hiring process. 6. We recommended DHR only use open-competitive recruitments on a Completed continuous basis for"difficult-to-fill" classes of work. 7. We recommended DHR develop and implement written policies and Resolved procedures clearly defining prohibited personnel hiring practices. 8. We recommended DHR work with other jurisdictions to have the State's Resolved Hawaii Revised Statutes be updated or reinstated to include provisions addressing prohibited personnel practices using federal laws as a guideline. Executive Summary 1 Department Actions 1. DHR eliminated the Staffing Review Committee. DHR updated their rules, policies, and procedures to ensure hiring selection rests with the appointing authority. Top 5 ranked applicants plus ties replaces the previous practice of referring the entire list without proper vetting of the applicant pool. 2. DHR agreed to the initial recommendation and through multi-department discussions it was determined the independent Office of the County Auditor would administer a whistleblower hotline. 3. DHR audited hiring packets to ensure departments were following rules and enforcing updated procedures. 4. In May 2017, DHR required departments use NeoGov, the applicant tracking system. 5. DHR updated interview and selection procedures. They administered "Conducting an Effective Job Interview"training. This training is mandatory for employees and non-employees serving on interview panels. Several other training modules are also offered. DHR tracks training attendance. 6. In December 2016, DHR closed recruitments for positions that were not difficult-to-fill. 7. DHR affirmed their recruitment and examination system were consistent with equal opportunity, state statutes, selections were impartial, and training materials were consistent with merit principles. In October 2018, DHR developed, adopted, and circulated, "Human Resources Best Practices" to re-enforce their actions and decisions. Attachments 1.2 - 1.4. 8. DHR contacted and was unable to convince the state to seek reinstatement of provisions to address prohibited personnel hiring practices. DHR mitigated the risk internally by reinstating written examinations and testing applicant's ability and fitness for identified classes of work. Conclusion We commend the Department of Human Resources for their efforts to improve hiring practices for the County of Hawaii. To further strengthen internal controls over the County's hiring process, we've identified some opportunities. DHR should continue ongoing monitoring of all department's interview packets as a best practice and address the following in their rules, policies, and procedures: • Adopt monitoring and oversight procedures • Define nepotism • Define conflict of interest • Define familial relationships including Hanai, relationships • Establish a policy addressing nepotism and conflict of interest • Disclose any potential conflict of interest on the interview panelist acknowledgment form We commend the Department of Human Resources for their commitment to the impartial selection of individuals for public services by means of competitive tests which are fair, objective, and practical in serving the people of Hawaii County. It is the policy of the County to ensure hiring departments are filling all civil service positions with the most suitable applicants available for the position based on the merit principle using fair and uniformly administered procedures. 2 Executive Summary About us Mission It is our mission to serve the Council and citizens of Hawaii County by promoting accountability, fiscal integrity, and openness in local government. Through performance and/or financial audits of County agencies and programs, the Office of the County Auditor examines the use of public funds, evaluates operations and activities, and provides findings and recommendations to elected officials and citizens in an objective manner. Our work is intended to assist County government in its management of public resources, delivery of public services, and stewardship of public trust. Audit Authority Hawaii County Charter §3-18 establishes an independent audit function within the Legislative Branch through the Office of the County Auditor. Purpose The purpose of this engagement is to follow-up and monitor the responses to audit recommendations by audited entities by evaluating if the County's current hiring practices are adequate to ensure equitable, uniform, and transparent selections of civil service candidates. About Us 3 Chapter 1 Introduction Objective Did the Department of Human Resources implement the 2017 hiring practices audit recommendations? Scope The prior audit evaluated hiring practices from January 2016 to September 2017. The follow-up audit evaluated hiring practices from October 2017 to January 2022. In addition, we reviewed recruitments identified in the original audit scope including Department of Public Work's Laborer II, Department of Finance's Clerk III, Department of Parks and Recreation's Park Caretaker I, and the Department of Environmental Management's Scale Attendant. This follow-up audit was limited to reviewing and reporting on the implementation of the recommendations. We did not consider new or previous issues that did not relate to our original recommendations. Methodology To verify the Department of Human Resources implemented the 2017 hiring practices recommendations, we: • Corroborated information with appropriate staff to follow-up on the responses to audit recommendations • Reviewed applicable laws and other relevant governance • Performed tests of internal controls and transactions over the recruitment process • Conducted site visit to verify monitoring and oversight practices • Was mindful of potential fraud, waste, and abuse during the audit • Noted exceptions and identified areas for improvement 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. Introduction 4 Definitions Completed: Department has fully implemented the audit recommendation. We reviewed sufficient and appropriate evidence to support all aspects of the recommendation. Resolved: Although department did not implement the audit recommendation, it implemented an alternative solution/mitigating/compensating control that fully addressed the applicable audit finding or risk. "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. "Merit system" means the human resources management system based upon the purposes of the merit principle and building of a career service in government, free from coercive political influences, to render impartial service to the public at all times, according to the dictates of ethics and morality and in compliance with all laws. "Skill set" means a particular category of knowledge, skills, and abilities desired to perform the essential job duties. The skill set may be more encompassing and specific than the minimum qualification requirements. "Open-competitive recruitment" means a recruitment whereby everyone, including the public and County employees, may apply. "Registration recruitment" means a method of recruitment for unskilled classes of work with no examination. Hawaii Revised Statues (HRS) X76-11 defines the "Appointing authority" as the department head or designee having the power to make appointments or changes in the status of employees. 5 Definitions Chapter 2 Status of Recommendations Administrative Condition and Cause The Staffing Review Committee (SRC) influenced the County's hiring process. Effect of the Condition In select cases, Department staff were pressured to place priority on persons of interest above the merits of other applicants. Additionally, staff feared retaliation, resulting in a bypass of established internal controls. Recommendation 1 "While the Staffing Review Committee (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." To meet this recommendation, DHR updated their rules, policies, and procedures, strengthened segregation of duties, and ensured the appointing authority determined the method of filling its civil service vacancy. Specifically, the department took the following actions: In October 2018, DHR reaffirmed through a memorandum, "the Department of Human Resources will not be involved in the actual decision of a hire." In December 2019, DHR revised their rules which provides for: • The referral of the top five ranked names (rule of 5 plus tie scores) on an open-competitive list unless otherwise requested by the appointing authority. The applicant ranking on the referred list is also based on their examination rating and conditions of employment. Previously, DHR referred the entire eligible list and left it up to the hiring department to determine the interview pool using their skill set evaluation criteria method. • For non-public safety positions, ten names on a registration list will be randomly generated for each vacancy based on the assigned district and duration of employment. Previously, DHR referred the entire list of eligibles and left it up to the hiring department to determine the interview pool using their skill set evaluation criteria method. Status of Recommendation 6 DHR updated and strengthened uniform policies and procedures to ensure selections for the positions are impartial, free from coercive political influences, based on the needs of the County, including applicant's fitness and ability for public employment. Specific procedures were updated to provide internal control over: • Filling Civil Service Positions • Interview and Selection • Request To Fill (RTF) Vacant Position DHR also provided human resources training for cabinet members discussing the role and responsibilities of the appointing authority. Audit Activity To verify completed status, we reviewed laws, rules, procedures, and traced applicable source documents maintained in NeoGov, the applicant tracking system and tested hiring practices to determine if DHR followed and enforced their rules, policies, procedures and found: • DHR updated rules, policies, and procedures to align with best practices. • The appointing authority determined the method of filling its civil service vacancies, no exceptions noted. The appointing authority also known as the department (head) is responsible for determining the method by which the vacant position is to be filled. The Managing Director for the Executive Branch and the Council Chair for the Legislative Branch respectively, reviews and approves the Request to Fill. The appointing authority has discretion in filling its vacancies by: • Transfer • Demotion • Appointment from an open-competitive or registration list • An internal recruitment within the department • An internal recruitment within the County • Intergovernmental movement, and • Any other means provided for by statute, these rules, or procedures • The appointing authority provided justification for filling its vacancy, no exceptions noted. • DHR reviewed and approved uniform Police department's Interview and Selection Procedures in November 2018, no exceptions noted. We determined this recommendation is completed. Status: Completed 7 1 Status of Recommendations Administrative Condition and Cause County employees and the public had concerns about preferential treatment. Effect of the Condition With limited opportunity to report concerns, employees remained silent for fear of retaliation. As a result, stakeholders lost confidence in the hiring process. Recommendation 2 "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 Action To meet this recommendation, DHR provided the following response, "DHR agrees an independent whistleblower program would be an effective means to receive anonymous complaints related to hiring practices. DHR supports an independent program where the administration and oversight fall outside the purview of the mayor.An independent program would decrease the potential for political influence or interference in response to complaints." Audit Activity In January 2022, the Office of the County Auditor implemented fraud and whistleblower hotlines to provide County employees and members of the public, a way to confidentially report suspected fraud, waste, and abuse of County positions or resources in a one-year pilot program ending June 30, 2023. The program is outside the purview of the Mayor and the Department of Human Resources. We determined this recommendation is resolved. More information is available: Online: https://www.hawaiicounty.gov/departments/office-of-the-county-auditor/whistleblower Fraud and waste hotline: (808) 480-8213 Whistleblower hotline: (808) 480-8279 Status: Resolved Status of Recommendations 8 Monitoring and Oversight Condition and Cause DHR did not monitor hiring department's interview and selection process to ensure compliance with the merit principle. Effect of the Condition The County did not ensure uniform and transparent hiring practices. Recommendation 3 "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." Department Action To meet this recommendation, DHR established a process to review interview packets to ensure hiring departments are following employment laws including lawful and non-discrimination practices, countywide interview and selection procedures, and the merit principle. From October 2018 to November 2021, DHR reviewed twenty-two hiring department's interview packets for: • Position's information sheet with instructions to the panelists • Interview questions with model answers/concepts • Assessment exercise(s) with criteria for rating applicants • Rating sheets DHR disclosed the following exceptions: • DHR reviewed all County departments except for the Office of Management because there was no civil service request to fill to test. • A review of Mass Transit Agency interview packets is past due as of December 30, 2021. Audit Activity To verify completed status, we reviewed all twenty-two interview packets or 100% of the testing population, and found no exceptions. We identified opportunities to further strengthen monitoring and oversight of the County's hiring process. DHR should continue ongoing monitoring of all department's interview packets as a best practice and address the following in their rules, policy, and procedures: • Adopt monitoring and oversight procedures • Define nepotism • Define conflict of interest • Define familial relationships including Hanai, relationships. A term used in the Hawaiian culture that refers to the informal adoption of one person by another • Establish a policy addressing nepotism and conflict of interest • Disclose any potential conflict of interest on the interview panelist acknowledgment form Status: Completed 9 Status of Recommendations Monitoring and Oversight Condition and Cause DHR was not monitoring hiring department disposition of all applicants referred in NeoGov. Effect of the Condition DHR was unaware hiring departments were bypassing qualified applicants for an interview and not uniformly vetting qualified applicants. Recommendation 4 "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 Action To meet this recommendation, in May 2017, DHR required hiring departments track the status of all applicants referred in the NeoGov system: • Date of contact o if still interested in an interview o schedule job interview o selection o reason for non-selection: ■ no response by deadline ■ decline interview ■ interviewed, not selected ■ decline offer • Method of written contact o Electronic notification through NeoGov or US mail DHR also monitors: • Reason for extending referred list beyond 90-day eligibility period • Justification for requesting additional names • Accurate reporting of new hire • Expiration of referred lists Audit Activity To verify completed status, we reviewed applicable NeoGov source documents (e.g., exam plan, evaluation steps with detail, referred list with status detail, notices to eligibles, etc.) and found hiring departments were notifying and tracking applicants in NeoGov, no exceptions were noted. We determine this recommendation is completed. Status: Completed Status of Recommendations 10 Training Condition and Cause Although DHR trained hiring departments to uniformly apply skill set evaluation criteria method to determine the interview pool, lack of oversight lead to a breakdown of internal controls. Effect of the Condition Hiring departments used questionable criteria (i.e., letters of interest from the applicant requesting an interview without civil service status, mailing address, interviewing the same number of applicants as vacancies when there is large pool of applicants, etc.) as a tool to identify the interview pool. Recommendation 5 "We recommend that the Department of Human Resources provide mandatory on-going hiring procedure and merit principles training for all employees involved in the hiring process." Department Action To meet this recommendation, DHR updated their interview and selection procedures to eliminate using the skill set evaluation criteria method to identify the interview pool but used as a tool to identify the desired education, skill set, licenses(s), special working conditions, and ability to perform the essential job duties. DHR provided "Conducting an Effective Job Interview" (CEJI) training, a mandatory course for employees and non-employees serving on interview panels. This training provided an overview of the interview and selection process in filling a county position training included a: • Review of class specification • Review of position description • Required knowledge, skills, and abilities • Development of skill set and criteria • Roles and responsibilities of interview chair/panelist • Asking standard questions and clarifying questions • Interview questions with guidelines for panelists • Protected categories under federal and state laws • Lawful/unlawful employment inquires • Recommendation(s) for selection 11 Status of Recommendations DHR also tracked mandatory training for employees and non-employees serving on interview panels. In addition, DHR conducted the following training: • Guidelines for Pre-Employment Inquiries • Skill Set Development and Evaluation • Developing Interview Questions &Assessment Exercises • Human Resources Boot Camp • Cabinet Human Resources Training • Supervisory Training Program Audit Activity To verify completed status, we reviewed sign-in sheets and training material containing hiring procedures and merit principles, and found no exceptions. We determine this recommendation is completed. Status: Completed Status of Recommendations 1 2 Continuous Recruitment Condition and Cause DHR conducted continuous recruitment for classes of work that were not difficult-to-fill. Effect of the Condition Hiring departments were unable to manage large lists of qualified applicants. Recommendation 6 "We recommend the Department of Human Resources only use open-competitive recruitments on a continuous basis for"difficult-to-fill"classes of work." Department Action To meet this recommendation, DHR closed continuous recruitment in December 2016 for classes of work that were not difficult-to-fill. DHR no longer conducts open-continuous recruitments for entry-level classifications for Custodian-Groundskeeper, Laborer II, and Park Caretaker I. These registration recruitments are advertised for 10-calendar days. Difficult-to-fill positions generally include positions that: • Require specialized education, training, and/or certifications • Have a low number of qualified applicants Audit Activity To verify completed status, we reviewed and found: • Recruitment announcements were advertised for 10-calendar days, no exceptions noted. • Open-competitive recruitment on a continuous basis were for difficult-to-fill positions, no exceptions noted. • DHR authorized continuous recruitment for Clerk III and Cashier II positions to increase the applicant pool island-wide because there are more Request to Fill (RTF) requests, a low number of qualified applicants for these positions, and the prior list expired, no exceptions noted. • We determine this recommendation is completed. Status: Completed 1 3 1 Status of Recommendations Prohibited Personnel Hiring Practices Condition and Cause DHR did not have provisions clearly addressing prohibited personnel hiring practices in writing. Effect of the Condition Appearance of, or actual preferential treatment of applicants. Recommendation 7 "We recommend the Department of Human Resources develop and implement written policies and procedures clearly defining prohibited personnel hiring practices." Department Action To meet this recommendation, DHR asserted their rules, policies, and procedures conform to Hawaii Revised Statutes Chapter 76 Civil Service Laws including the merit principle, providing: • Equal opportunity is in accordance with all laws prohibited discrimination. No person shall be discriminated against in examination, appointment, reinstatement, reemployment, promotion, transfer, demotion, or removal, with respect to any position when the work may be efficiently performed by the person without hazard or danger to the health and safety of the person or others. • Impartial selection of individuals for public service by means of competitive tests which are fair, objective, and practical. DHR also said lawful and unlawful employment practices are covered in various written procedures conforming with the merit principle in various training they provided. In October 2018, DHR developed, adopted, and circulated "Human Resources Best Practices" as a foundation of their actions and decisions. It describes the best practice they strive to maintain the core values of the merit system which the County's personnel system is based on in accordance with state law. (Attachments 1.2 — 1.4) DHR oversees departments and agencies compliance with: • Continuous recruitment request requirements. • Employee training requirements to ensure hiring practices are fair, impartial, and relevant to the position. • Interview and selection procedures. • Audit of Interview Packets Memorandum No. 018-078. • Filling Civil Service Positions procedures. • HRS X76-1: selection of persons based on their fitness and ability for public employment. Status of Recommendations 1 14 Audit Activity To verify resolved status, we reviewed DHR rules, applicable policies and procedures, HR Best Practices, various training materials and memos that addressed employment laws including lawful and non-discrimination practices, equal opportunity, and discrimination and compared to hiring practices and found DHR applied compensating controls to address the risk. We identified opportunities to further strengthen internal controls. For example, DHR should clearly define, develop, and implement written policies and procedures to address prohibited personnel hiring practices to ensure future administrations adhere to applicable federal and state laws, their rules, and County's policy and procedures. Otherwise, incorporate Human Resources Best Practices into their rules, policies, and procedures. Prohibited personnel practices(PPPs)is defined as employment-related activities that are banned in the workforce because they violate the merit system through some form of employment discrimination, retaliation, improper hiring practices, or failure to adhere to civil service laws, rules, or regulations that directly concern the merit system principles. Status: Resolved 1 5 1 Status of Recommendations Prohibited Personnel Hiring Practices Condition and Cause DHR changed its rules to allow the SRC to make questionable hiring decisions. Effect of the Condition Appearance of or actual preferential treatment of candidates. Recommendation 8 "We further recommend the Department of Human Resources work with other jurisdictions to have the State's Hawaii Revised Statutes updated or reinstated to include provisions that addresses prohibited personnel practices using federal laws as a guideline." Department Action To meet this recommendation, in October 2017 and November 2021, DHR contacted the Legislature as well as the State Department of Human Resources Development (DHRD) regarding steps to address prohibited personnel practices, but actions did not result in reinstating Prohibited Activities in Hawaii Revised Statutes Sections 76-91, 92 that was repealed in 2001. To mitigate the risk, in December 2019, DHR reinstated written examinations to ensure testing of fitness and ability of applicants for positions in civil service as follows: • Classes of work are entry level into a series: o Clerical o Professional o Blue collar • Classes of work are within a career progression series • Education and experience requirements are either non-existent or minimal • Applicant pool size is large based on recruitment history • For designated classes such as fire and police, examinations are conducted at the department's request annually, and they are for internal recruitments Audit Activity To verify resolved status, we reviewed rules, NeoGov exam plan, notes, corroborated with DHR staff, and found no exceptions. Status: Resolved Status of Recommendations 1 6 ■ Conci usion Hawaii County is an Equal Opportunity Provider and Employer. The County does not discriminate in employment, provisions of services, and access to programs and facilities in accordance with federal and state laws. It is the policy of the County to ensure hiring departments are filling all civil service positions with the most suitable applicants available for the position based on the merit principle using fair and uniformly administered procedures. We commend the Department of Human Resources for their commitment to the impartial selection of individuals for public services by means of competitive tests which are fair, objective, and practical in serving the people of Hawaii County. We also thank the department for their post audit progress report on hiring practices. See Attachments 1 — 1.5. In closing, we welcome County employees and members of the public to address concerns over the misuse of County resources or position through our fraud and whistleblower hotlines. Often, the improper use of government resources or positions is discovered thanks to employees and the public. Submit confidential tips to deter improper conduct by: Fraud and waste hotline: (808) 480-8213 Whistleblower hotline: (808) 480-8279 Email: concern(@-hawaiicountygov Fax: (808) 961-8905 Mail: Office of the County Auditor, 120 Pauahi St., 309 Hilo, HI 96720 To access complaints directory, visit: https://www.hawaiicounty gov/departments/office-of-the-county-auditor/whistleblower Submit a claim: https://www.hawaiicounty gov/our-county/legislative/office-of-the-county- auditor/inquiry-and-complaint/intake-form 17 1 Conclusion Chapter 3 Management rfitdA . MyQtt L.K.Law PAW , •r '•` Atffng Mr t of huff ma �r •' % ■ ■ Count of Hawaft' Depatuiunt of Hun.Fxscuwxz _Ampo-0 Cemer+101 t` suft Z.K4,Hmwnoi 967U.(.908)%1-8361.Fdx[so$)5P6I.8c'I? Pelbru ary 1 r 2022 To., Tyler,I, Ben ner,Coon ty A u didtor From; Waylen L. K.Leo poldi no. Acting Director of Human Resources Subject: Mo nogem-errt's R esp ons a to the C ou my-of H ai{is Departrr7 en t of Human Resouroos Hiring Practices Follow-up Report No.2o22-01 The Depcwtm ent of Hvr n an ResouTc es(D HR)is pleased to receive the Hiri ng Proctices Follow-up A udit Report, date d J a nuary 1:3,2022, Our com mitrnent to protec t the a integrity of the Merit Syste r n a nil all o ppl!cable I OWSr PONOi esr pr ed uresr and collective bargaining agreements to ensure limportaa I selection of can dac�ates for pUbric service loris firm, The Re�ruitrne n f&Examination Di ion has made signif=Int strides in improvin g its' proc essesr as refiootod in the informo tion provi de d o n<j tested during this re cent olow- upp on the H Irl nq Procticos Audit. We are connrnitted to rrove forward to conf n u a its efforts to i rn prove 0 nil strew m1i ne our processes us-in g low-V,.foirr o nd uniform Iy administered procedures, IDH R'Nill al5 o c orrti noo to provide oversight and monitor the use of the cippI icant trcic king sy5te m, N EO OV, Cou my depa0me nft an d agencies will oontinu a to fully utilize all steps[n the Sys]em Why an avoluatin g eligibl e c andIdates and we appreciate their commitm erg t and h arcl work in ensuring co m pliance, Finally,we YAII evo Nate opportuni ties to in corporate best prat tic as and prohibited hiring practices into our rules,policies and/or procedures as we have positioned ourselves to be more proactive with priority given to Strengthen our iotemal controls where necessary, VV o are grateful for your collaboro tive approac h to this follow-up audit a nd loo k forward to confinuingourportnership With the e Office of the County Auditor. WLKUgy Management Response 1 8 Chapter 4 Attachments Caunty of 3-(-awal'i-1jq wrr-t-of 51fu aiQ -mvvce-s .TnterOffice Nemo Ronn re Mims, LegEslla ive + ud ffor , M i I I i u m V_ Mill 0 rite.. JF_� DIM.Cf-Or of Human Resources DAA. November 14, 2018 B Post Audit Progress Rep orf on Hid n g Praclices tar 2018 The full oAng is a progress report on-o ur de part me rpt's effer fs in i rnproverneni of the C ou My's hiring practices for the year 2018_ 1 The process tnr the reterr-o I of noes for th&registration rec ruitm encs (Custodia n/Grown d5k&aper I r Laborer I I� E ark Caretaker 1, etc.) was it n plenne nted in June, '2018. The new prom i nyoJves our departr ri ent 0o rid eating ca rondo-Fn 99n ercafion of numbers and matching the numbers to the al phabetical order of narn es available for the d isMO wh are the va cancy exists_ To n names are ref&rred to the hiring de-portmen t and in to rn, the d epartm en#must s�e-n d o Ief ter In th e erectr-o N c recruitment system to th& a ppdicants fo r an interview. This ran da m go nerati on process occurs for each vocan t reg istraft n poli ti on. TIS e purpose of this n ew process is to provi coo ca 1'air a nd trans parent op por-tu nity for th os e o n th&registra do n list to Ne a chance of be Ing interviewed. 2) We pond uafed th o foil o f ng tri ini ng sem ions pedoin ng to th a hiring process; * `'How to Co n-d u ct on Effective Jo b I ntorvi "-7 sessio risr 15 employees cation ded-, * "SVIII Set Deveiopr'ne of and Evaruation" -3 sessions; 40 employe-as attorid ad.: "Developing Interview Qi uestiom _2 sessi=,' 42 ern pi oyees attended; * 1 4 Devel oiling Assessr'r ie It Exerai s es"—2 sessions;35 em pI ogees ot-ten reed. 3) Development of HR Best Practices on d HR Org anizotlonal Goals [enclosed)- 4) enclos )-4) Filler n ented guidelines and prooe5s for the ou dit of interview pockets. In terview pcaa Dots were oudi teal for the 1'Wowing departments i nitia IIy ou dited by the Lei illative Avd itor, Env ronmen to I Management Fincancer Pam & Recreation,. and Public Works. Hama i ri Cm 'is am G Eqwtf CIpumnay Imo wwi D npkyzr 1 9 Attachment 1 Bonnie Nim5r Legislative Audi rg #or November 14,2018 Po ge 2 of 2 5) Mo n1toring of t he ref erre d lis t M N eoC�ov cortin ues with en d of month rernin dors to ou r d epar tm ents of roterred lists sc hodu led to expire the tollo it g ma nth� requesting exlensionis of th a refered lisS wh a r)their departr rent c annot ria ke a selectio r with in the 90 day period inn Iu di rig justification for the requ t-foll'ovAing up With depo tmerts or their it mandotory documen to flora of referred list a ctrons-reportir g-of Iii res on a timely and accurate basis 6) Development of a whistle blower policy and program iS under review ifh org of rig d iSCUS51 ons Vaith vo rious resources_ Thio rk you for t he opportunity to provide a post-cud it progress report for 2018. GMC/WVB-Agy Er c Iosure�; xc; Harry Kim, Mayor Wil Okob-e,Managing Director Valerie Poi ndexterr C oun iM Chain David Nah ul na.C ho ir{, Merit Appea Is Boa rel Attachment 1.1 2 0 octowr.,2018 COUNTY OF HAWAII HUMAN RESOURCES BEST P RACK ES Hawai'i Cou nfy ("County") is an Eq ual Opportu n1ty Provider and Employes-. The Counf y does not discdmi October,2018 TJX rrnrrt t frl PC ncip#e is the foundation of our humors resourced d i si-o ns. A5 5uc h deporiment a nd a gencies shall ensure compliance YAth the follo l rig hu m an m5curcos best practices, 1. Clcu5 5pecifiraWn5 and position descriptions are reviewed prior to falling a vacant poition and amendments are made accordingly, 2. Classification of positions is based on opercifional n d5- Focus on the pcdfion and not the per on. Wdance is sm ghat from the rassifiica tion&Ray Division for non-routi n&position ch a nge5 s uc h as a ll shorn,. permanent feal l000itionsr tra nsfer5..reorgo niza do n s, etc- 3. Confinuous m�oru itme rpt i mprovemarib ar-a comidered and implemented to strwr aline th a recruitment process so that i tions cire M led in the most fain, econamirc.. afficlant, and exile-difious manner pons" _ 4- Training is conducted to employees on proper Job interviewing, skill set developrnent and evaluation, and the development of effective interview qu.astiom and as5es5ment exercises so that each depar-imenJ and agency's process is fair,limparficil, and relevant to the po�itio n- 5. Departme n t�cind 096nci ' int i a n-d ion piroceduras are reviewed and it of interview packets am conducted by DH.R. 6. Consideration of all q uafified applicant referred to o depart rent or cigency by DH R without any inferference from other persons ur sources. 7, Recuse on&serf when a confit is#s or to avoid the-appearance of any im propriOtyr especially when im,,-data fa r-ni IV members of bust r�ess partners are involved, 8. Uf ze a whole-person opproaah to assessment and seleclion of clea li Fed a ppl i nts for the fiilling a f a civil s ine posit-der), Appropr'cite pe,!rsonnel assessmerif t0015 are utilized in a purposeful man nw, r 9, electia ns are'Impartial and are based ars a n ail plfcanf's fitness,. kn ow1edge, Skil Is, and a bility to perform the essential dut-de&of the position, 0. ReasonaUle accommoda lion is provided to quo lifiecl a ppl icants or em ployees, as appropriate to the situatia n,.fa enable tho i person to partici pal e in the jab application process, to perlorm the essential functions of o Jeb,<x f enjoy ben eff tt and privileges of eMployment equal to th ose enjoyed k yr those without a disak�ilii-�. Attachment 1.3 2 2 OctoW'2018 1, The confid-antiaRy of applicant i dentitius. applicoffm, ami nation materfC Is" interview questions, assessment exercises, Personnel fQrr s. and other related HR hforrratio n are secured-o nd rnai ntained a f al I tires, 12. Records of empl meet-rely tel #I fti , ire l l inn examination stctistic4 and interylew and assess me rpt SCCr85r Cre accurate and are retained in occordance with each departmenf and agency's record retention sch,�=,du1L_ 2 3 Attachment 1.4 October,2018 COUNTY OF HA A1`1 H It ORGANIZATIONAL GOALS I- Develop and Maintain a safe, healthy, and strong organizational culture based on the following-- 0 � i rt cind f te r ruiti rig of a pplica n is 0 effeCtiVe or%k ardrng C)f JaM ploye r tWe training and personnel devellopmeni job perfwma nce ma riage ent and review a reasonable and foir benafib program. 2.. Develop and me intoln In teg6ty,good moral con duct a n d concem for the public interest based on the follo i n g; * honesty in legrity . prof omi alism of h ics 3. Develop and maintain positive ernpl oye rnployer relation hips fo5faring a better work environment and pro idi ng efficfent service to the public through the * opera corn muni tion harmonious warping relationships mutual respect and trust ■ fair and consistent treatment • greater productivity. Attachment 1.5 24