Lauren Sundararajan, CFE, Internal Audit Manager

Transcription

1 Interdepartmental Correspondence Sheet Date: November 6, 2014 To: From: Copies to: Harry Black, City Manager Lauren Sundararajan, CFE, Internal Audit Manager Scott C. Stiles, Assistant City Manager William E. Moller, Assistant City Manager Lisa Knapp, Acting Director of Emergency Communications Pam King, Acting Director of Citizen Complaint and Internal Audit Subject: Attached is the (ECC) audit report. The objectives of this performance audit were to ensure the ECC had the resources to effectively dispatch calls, staffing and overtime costs were minimized, and ECC performance was properly overseen by management. This audit was completed in accordance with Internal Audit s current work plan. We would like to thank the staff for their assistance and cooperation during this audit. If you need any further information please contact me. Attachment

2 Emergency Communications Center Audit November 2014 Lauren Sundararajan, CFE Internal Audit Manager Austin Lubbers CPA, CFE Senior Internal Auditor

3 Table of Contents Executive Summary I. Introduction Background Audit Selection Audit Objectives Audit Scope and Methodology Scope Limitations Statement of Auditing Standards Commendations 1 2 II. III. IV. Audit Findings and Recommendations Conclusion Response i

4 Executive Summary Internal Audit (IA) performed an audit of the (ECC). The audit objectives were to ensure the ECC had the resources to effectively dispatch calls, staffing and overtime costs were minimized, and ECC performance was properly overseen by management. The main issue that prevents the ECC from meeting its goals and objectives is understaffing. The ECC is currently understaffed by 14 FTEs. The lack of staff has caused several issues for the ECC such as: significant overtime costs, lengthy call wait times, and high call abandonment rates. One of the most significant constraints to achieving and maintaining a fully staffed call center is the hiring process. New employees must undergo a comprehensive training process which takes several months. Due to the significant strain on resources, only 10 employees can go through each training session. Additionally, retaining employees is becoming increasingly difficult due to the recent changes in pension benefits and the inherently stressful nature of the profession. Training is a vital tool for maintaining a high-performing staff. Ongoing training is not provided to operators and dispatchers on a regular basis. In addition, recently promoted supervisors have not received the necessary supervisory training. Training could help improve interpretation of policies, discipline, and oversight. Management can improve oversight with access to quality data. IA found that the call and dispatch software s reporting function does not accurately report statistics. When corrected, data can serve as a useful resource for scheduling staff, managing performance, and improving customer service. The emergency communications industry relies on methods for using data analytics to determine staffing levels and shift schedules for emergency call centers. IA found that the ECC does not use these methods to determine current staffing complements. Although union agreements limit the ability to immediately implement staffing and scheduling changes, future opportunities may exist to help improve customer service and efficiency. The ECC provides a vital service to the citizens and visitors of Cincinnati. They are the lifeline for citizens when police, fire, and medical services are needed. IA found that opportunities exist for the ECC to improve operations. IA recommends hiring staff, providing training, fixing database errors, and using analytics to improve staffing, scheduling, and customer service. 1

5 I. Introduction Background The (ECC) is the public safety answering point for 911 calls placed within the City of Cincinnati. It is their mission to act as a link between the citizens of Cincinnati and the public safety departments that serve them. Citizens can dial 911 for emergencies or (513) for non-emergencies. The ECC not only processes emergency 911 calls, but also dispatches Police, Fire and EMS incidents and relays pertinent information to the field and other agencies. The ECC is staffed 24 hours a day, seven days a week. In 2013, the handled 755,680 calls, of which, 508,700 were 911 calls. The ECC also dispatched 666,532 police incidents and 81,955 fire incidents. The ECC is currently budgeted to staff 130 employees. Nearly 100 of those employees are operators and dispatchers, whom have been trained by instructors certified by the Association of Public Safety Communications Officers (APCO). The ECC also employs 6 typists that process information for auto thefts, missing persons, etc. There are 14 supervisors that directly oversee call center operations. The remaining 10 employees make up the management and support function. Audit Selection IA conducted this audit as part of the current audit agenda. Audit Objectives The primary objectives of this audit were to ensure the ECC had the resources to effectively dispatch calls, staffing and overtime costs were minimized, and ECC performance was properly overseen by management. Audit Scope and Methodology This audit encompassed pertinent city staff, records, and IT systems related to the ECC. Events occurring between January 1, 2011 and June 30, 2014 were reviewed. To accomplish the objectives of this audit, IA used the following methodologies: interviewed city staff, reviewed policies and procedures, examined emergency call data, reviewed professional standards, and researched practices of other cities. To identify best practices in the industry, Internal Audit cited the following source in this report: Association of Public-Safety Communications Officials (APCO) International. Staffing and Retention in Public Safety Communications Centers: A Follow-up Study. January Scope Limitations During the audit IA found that system-generated reports did not accurately produce the requested information. Due to the lack of credible data, IA was unable to fully analyze performance data and accomplish all audit objectives. 2

6 Statement of Auditing Standards As required by Article II, Section 15 of the City of Cincinnati Administrative Code, this audit was conducted in accordance with the Generally Accepted Government Auditing Standards (GAGAS), except for standard 3.96 pertaining to external peer review requirements. This exception did not have a material effect on the audit. Audit fieldwork was performed between July and September of Commendations Internal Audit commends the staff of the on their cooperation throughout the audit. 3

7 II. Audit Findings and Recommendations The ECC is understaffed. Emergency call centers have the sole mission of serving as the public access point to citizens for emergency services. Providing quality customer service is critical to achieving the mission of the ECC. This requires the ECC to be effective and efficient in their duties; therefore, employees must be well-trained and available to answer calls and dispatch incidents when needed. The most critical issue that the ECC faces is understaffing. The ECC has been chronically understaffed for many years; early retirement incentives, changes to pension benefits, and inherently stressful working conditions caused employee turnover to increase and staff retention to decrease. As of July 2014, the ECC had 14 vacant positions, of which 11 were operators, dispatchers, or typists positions that deal directly with the public. The primary constraint on staffing is the hiring and recruiting process. The ECC indicated that they can only train 10 employees during each recruit class due to the lack of certified instructors employed by the City, and each recruit class takes over 6 months to fully train. Additionally, the ECC claimed it was difficult to attract and train successful candidates. The success rate of the training program is only 60%; therefore, the new employees hired each year barely cover the annual turnover. IA was informed that the ECC has recently implemented changes to the candidate screening process to help improve the success rate of the training program. One impact of understaffing is the reliance on overtime. IA found that operators and dispatchers worked over 15,500 hours of overtime costing more than $545,000 in The ECC utilizes mandatory overtime when necessary to accomplish minimum staffing levels. Not only is this practice less cost-effective than fully staffing the ECC, but mandatory overtime has qualitative repercussions. IA found that ECC employees do not always have the freedom to use the vacation and compensatory time that they accrue. These factors have led to burnout and reduced morale, likely exacerbating employee turnover. IA commends the efforts of the ECC to improve morale by allowing voluntary overtime and shift swapping; however, fully staffing the call center will significantly reduce the need for overtime. Another impact of understaffing is that operators are unable to answer calls as they come in. The ECC strives to answer 90% of calls within 10 seconds a goal that is similar to the standard established by the National Emergency Number Association, a professional group dedicated to the industry. In the last 3 fiscal years, the ECC reported that they answered calls within 10 seconds 78%, 79%, and 80% of the time. Additionally, call wait times and the abandoned call rates exceeded industry averages. For fiscal year 2014, the average call wait time was about 8.9 seconds. An industry study shows that half of the emergency call centers reported an average wait time of 5 seconds or less. 1 Meanwhile, about 16.8% of calls were abandoned a figure generally correlated to wait times 2. Research shows that half of emergency call centers reported an abandoned call rate of 5% or less. 3 Recommendation 1: The ECC should take extra measures to hire operators and dispatchers to immediately staff the call center. These measures may include temporarily hiring additional retirees and part-time employees until fully staffed with permanent employees. 1 APCO, p APCO, p APCO, p.11. 4

8 Department Response: Agree. The ECC has employed 10 former ECC employees through a temp service since 2011 working to fill vacant Operator and Dispatcher positions. Currently we are still utilizing three of those temporary employees and will continue with the current temps until we have adequate staffing. Recommendation 2: The ECC should work with the Human Resources Department to develop methods to increase recruit class size. These measures may include temporarily hiring external or retired instructors and increasing training resources. Department Response: Agree. The ECC worked with Human Resources to increase the amount of CTO incentive pay as well as adding a compensatory time incentive for instructors. We have been utilizing external instructors for the CPR and EMD certifications. New Certified Instructor courses are scheduled for current employees in late 2014/early 2015 to assist in the recruitment of new CTOs. When additional CTOs are trained we will have the ability to increase the amount of recruits. ECC is fully committed to reaching full complement by increasing the size and frequency of our training classes. Since November 2012, there have been thirty-one employees trained in the position of Assistant Operator Dispatcher with nine trainees slated to begin the on-the-job phase of their dispatch training in December We have remained consistent with the public safety industry with a 50% retention rate. However our last class of trainees to complete all phases of their dispatch training had a success rate of 70% which is an encouraging sign that we are making some solid changes to increase trainee success. It is our belief that recent changes to our hiring process will increase the compatibility of our candidates to the demanding skills necessary to be an effective emergency telecommunicate. The ECC has vacant supervisor positions. Supervisors play a vital role in supporting emergency call center operations by monitoring and assisting ECC staff. IA found that the ECC is understaffed by 2 supervisors. Due to the lack of supervisors, they are unable to provide relief for staff when breaks are needed, effectively oversee operators and dispatchers, and regularly complete quality reviews of their staff. According to ECC policy, each operator and dispatcher are to receive quality reviews twice per week. Additionally, there is a significant amount of overtime charged due to the lack of supervisory staff. In 2013, supervisors worked nearly 1,200 hours of overtime costing over $52,000. Supervisors, like their employees, are also subject to mandatory overtime on a weekly basis to meet minimum staffing levels. Although the quantity of overtime worked by supervisors is significantly less than operators and dispatchers, this cost could be minimized by hiring additional staff. Recommendation 3: The ECC should fill the 2 vacant supervisor positions to achieve approved staffing levels. Department Response: Agree. The ECC is awaiting the results of the supervisor interviews that were completed the week of October 20th 2014 in order to fill the 2 of our vacant positions. We have 2 more vacant positions that we are waiting to fill after our Operator Dispatcher staffing levels have increased. 5

9 By filling these vacant supervisory positions, ECC will be in a better position to consistently complete quality reviews and to provide timely feedback to employees which will benefit the public and field personnel by insuring efficient and professional response to emergency situations. Employee training is inadequate. Training is a formal process used to develop employees attitudes, knowledge, and skills. New employees go through a lengthy training program by certified instructors before they are permanently hired; however, that is the extent of the training currently offered by the ECC. Over the last 4 years, tenured employees have received training on emergency medical dispatch (EMD) and updates to the computer aided dispatch (CAD) system due to changes in job requirements. IA found that the ECC does not provide ongoing training to employees on a regular basis. Employees promoted to supervisor positions are given additional administrative and oversight responsibilities; however, additional training is not provided for these new supervisors. Assuming new positions without proper knowledge of the new duties can lead to misinterpretation of policies, inconsistent discipline, and inadequate oversight. As a result, disciplinary actions, performance evaluations, grievances, and other human resources activities are potentially performed improperly. Human Resources Department management stated that EEO complaints from the ECC were slightly higher than other City departments. The lack of supervisor training is caused by the City temporarily stopping internal training of newly appointed supervisors, thereby forcing the ECC to seek outside training with little funding. Recommendation 4: The ECC should provide ongoing training for all employees on a regular basis to introduce and reinforce policies, procedures, and industry standards. Department Response: Agree. When our supervisory vacancies are filled we will be able to commit supervisory staff to assist with continuing education for APCO, EMD and upcoming training needed for our new CAD and Text to 911 training and implementation. Extra supervisor staffing should be completed in the early half of Recommendation 5: The ECC should work with the Human Resources Department to find ways to provide supervisory training when employees are promoted to supervisors. Department Response: Agree. The ECC has budgeted for training for 2014 and 2015 and have contracted with an outside agency to provide online and local classroom instruction for our supervisory personnel. The Human Resources Department has been consulted and we were advised they are in the process of organizing a training program for city supervisory personnel. The ECC has also utilized the Public Sector Leadership training offered by Xavier University. Due to current staffing, that has been limited to one supervisor per semester. The Human Resource staff has been involved in providing some supervisory training to our ESDS staff. 6

10 Employees % of daily call volume City of Cincinnati Data is not properly utilized. All call and dispatch activity is computerized, enabling the ECC to track and record data. This provides the ability to gauge the strengths and weaknesses of ECC s operations. In order to effectively manage the performance of the call center, data must be accurate and complete. IA found that the tracking software does not generate accurate reports. Identical call volume data was queried in different reports, but the reports did not match. For example, one report totaled 37,400 calls for January 2014, and another 40,074 for the same period. This could indicate a significant data integrity issue, making data analysis unreliable. Data analysis provides insight on how to improve operations and better serve the public. Notwithstanding the reporting errors, IA found that ECC management does not utilize data to its potential. ECC management generates reports as needed, but does not extensively evaluate operations on an ongoing basis. Analyses of operator downtime, call volume, call wait time, abandoned calls, and other performance indicators can assist management with improving operations. IA also found that the ECC has not performed a staffing calculation in recent years, even though call volume and demand have increased. The use of statistical data to determine call center staffing levels is prevalent in the industry. Models such as the Erlang formula are beneficial in calculating the number of staff needed to provide desired service to citizens. Although the ECC has not reached budgeted staffing levels, accurate staffing calculations may justify adding resources and modifying hiring practices. Scheduling can provide a strategic means of maximizing production of established staffing levels. Other cities analyze call data and assign higher staffing levels during peak hours, and fewer staff during non-peak hours. IA found that the ECC does not perform scheduling analyses on a regular basis. The following chart shows the ECC s staff schedule as it compares to call volume. 25 Staffing Levels and Call Volume Scheduled complement Call volume Hour of day As depicted by the chart, shift schedules do not account for the increased demand between 1100 and 2300 hours. Additionally, the ECC maintains relatively similar staffing complements between 2300 and 1100 hours even though demand is significantly lower. Analyzing daily and monthly call volume data will also yield similar trends. Other cities utilize advanced scheduling 7

11 software to determine how to effectively schedule staff. They also use strategies such as staggering and overlapping 8 hour shifts to maximize efficiency. The ECC; however, is bound by union agreements which require inflexible 12 hour shifts. Extensive analysis of staffing and scheduling data could justify reverting back to 8 hour shifts, adding new shifts, and modifying staffing complements. This may result in improved performance, increased efficiency, and reduced overtime costs. Although opportunities to improve efficiency exist; union agreements, employee buy-in, and capital investment must be considered before an overhaul of the scheduling process is realized. Recommendation 6: The ECC should work with the software manufacturer to improve the accuracy of system-generated reports. Department Response: Agree. The ECC contracts with Cincinnati Bell to provide our 911 phone service. The Microdata software company has been contacted reference the discrepancy in the reports generated. The ECC had a recent vacancy of the employee who managed the reports. While the ECC is awaiting the incumbent to replace the vacancy estimated to be filled by the end of 2014, a current supervisor is in training and working with the software company to resolve the discrepancies in the report. Recommendation 7: The ECC should analyze statistics on a monthly basis to improve operations. Analyses may include operator downtime, call volume, call wait time, abandoned calls, and other performance indicators. Department Response: Agree. Monthly call taker statistics are being provided to management and supervisory staff in order to analyze the data and make adjustments in staffing levels as needed. In July 2014 the call taking staffing level minimums were increased. At the same time some adjustments were made in the Cincinnati Bell phone system in order to decrease wait times for callers and abandoned phone calls. Current reports are still being analyzed by management to determine the effectiveness of these adjustments. Recommendation 8: The ECC should identify future opportunities and create long-term goals to creatively align shifts and schedules to better serve demand. Department Response: Agree. As staffing levels are increasing through the release of recruits we will utilize our current phone and CAD software reports to look for the opportunities to create some swing shifts to provide extra coverage during our peak work hour periods. We are currently under an MOU with the AFSCME union for 12 hour shifts which was voted in by the majority of the AFSCME staff. This staffing configuration has created difficulty in filling overtime as employees are then sometimes required to work 16 hours mandatory overtime in order to fill in on staff shortages not covered by voluntary overtime. With our current 13 vacancies for Operator/Dispatchers we estimate that we will need two more recruit classes to fill these positions barring losing any further employees to retirement, transfers, etc. during that time period. Estimated time to fill these positions is six to nine months. We have scheduled a meeting with Human Resources to look at the possibility of increasing our staffing allowance for call takers and dispatcher to assure that we are able to keep up with normal attrition rates for employees working in stressful public safety operations. 8

12 III. Conclusion The provides a vital service to the citizens and visitors of Cincinnati. They are the lifeline for citizens when police, fire, and medical services are needed. Above all else, they must provide quick and quality service. The ECC does a respectable job at serving the public. Unfortunately, low staffing levels and other issues have prevented them from performing at the highest level possible. It is critical that ECC management address the low staffing levels which have beleaguered operations. Additionally, IA recommends providing training to staff and supervisors, fixing database reporting errors, and using analytics to improve customer service, staffing, and scheduling. 9

13 IV. Response Recommendation 1: The ECC should take extra measures to hire operators and dispatchers to immediately staff the call center. These measures may include temporarily hiring additional retirees and part-time employees until fully staffed with permanent employees. Department Response: Agree. The ECC has employed 10 former ECC employees through a temp service since 2011 working to fill vacant Operator and Dispatcher positions. Currently we are still utilizing three of those temporary employees and will continue with the current temps until we have adequate staffing. Recommendation 2: The ECC should work with the Human Resources Department to develop methods to increase recruit class size. These measures may include temporarily hiring external or retired instructors and increasing training resources. Department Response: Agree. The ECC worked with Human Resources to increase the amount of CTO incentive pay as well as adding a compensatory time incentive for instructors. We have been utilizing external instructors for the CPR and EMD certifications. New Certified Instructor courses are scheduled for current employees in late 2014/early 2015 to assist in the recruitment of new CTOs. When additional CTOs are trained we will have the ability to increase the amount of recruits. ECC is fully committed to reaching full complement by increasing the size and frequency of our training classes. Since November 2012, there have been thirty-one employees trained in the position of Assistant Operator Dispatcher with nine trainees slated to begin the on-the-job phase of their dispatch training in December We have remained consistent with the public safety industry with a 50% retention rate. However our last class of trainees to complete all phases of their dispatch training had a success rate of 70% which is an encouraging sign that we are making some solid changes to increase trainee success. It is our belief that recent changes to our hiring process will increase the compatibility of our candidates to the demanding skills necessary to be an effective emergency telecommunicate. Recommendation 3: The ECC should fill the 2 vacant supervisor positions to achieve approved staffing levels. Department Response: Agree. The ECC is awaiting the results of the supervisor interviews that were completed the week of October 20th 2014 in order to fill the 2 of our vacant positions. We have 2 more vacant positions that we are waiting to fill after our Operator/Dispatcher staffing levels have increased. By filling these vacant supervisory positions, ECC will be in a better position to consistently complete quality reviews and to provide timely feedback to employees which will benefit the public and field personnel by insuring efficient and professional response to emergency situations. 10

14 Recommendation 4: The ECC should provide ongoing training for all employees on a regular basis to introduce and reinforce policies, procedures, and industry standards. Department Response: Agree. When our supervisory vacancies are filled we will be able to commit supervisory staff to assist with continuing education for APCO, EMD and upcoming training needed for our new CAD and Text to 911 training and implementation. Extra supervisor staffing should be completed in the early half of Recommendation 5: The ECC should work with the Human Resources Department to find ways to provide supervisory training when employees are promoted to supervisors. Department Response: Agree. The ECC has budgeted for training for 2014 and 2015 and have contracted with an outside agency to provide online and local classroom instruction for our supervisory personnel. The Human Resources Department has been consulted and we were advised they are in the process of organizing a training program for city supervisory personnel. The ECC has also utilized the Public Sector Leadership training offered by Xavier University. Due to current staffing, that has been limited to one supervisor per semester. The Human Resource staff has been involved in providing some supervisory training to our ESDS staff. Recommendation 6: The ECC should work with the software manufacturer to improve the accuracy of system-generated reports. Department Response: Agree. The ECC contracts with Cincinnati Bell to provide our 911 phone service. The Microdata software company has been contacted reference the discrepancy in the reports generated. The ECC had a recent vacancy of the employee who managed the reports. While the ECC is awaiting the incumbent to replace the vacancy estimated to be filled by the end of 2014, a current supervisor is in training and working with the software company to resolve the discrepancies in the report. Recommendation 7: The ECC should analyze statistics on a monthly basis to improve operations. Analyses may include operator downtime, call volume, call wait time, abandoned calls, and other performance indicators. Department Response: Agree. Monthly call taker statistics are being provided to management and supervisory staff in order to analyze the data and make adjustments in staffing levels as needed. In July 2014 the call taking staffing level minimums were increased. At the same time some adjustments were made in the Cincinnati Bell phone system in order to decrease wait times for callers and abandoned phone calls. Current reports are still being analyzed by management to determine the effectiveness of these adjustments. 11

15 Recommendation 8: The ECC should identify future opportunities and create long-term goals to creatively align shifts and schedules to better serve demand. Department Response: Agree. As staffing levels are increasing through the release of recruits we will utilize our current phone and CAD software reports to look for the opportunities to create some swing shifts to provide extra coverage during our peak work hour periods. We are currently under an MOU with the AFSCME union for 12 hour shifts which was voted in by the majority of the AFSCME staff. This staffing configuration has created difficulty in filling overtime as employees are then sometimes required to work 16 hours mandatory overtime in order to fill in on staff shortages not covered by voluntary overtime. With our current 13 vacancies for Operator/Dispatchers we estimate that we will need two more recruit classes to fill these positions barring losing any further employees to retirement, transfers, etc. during that time period. Estimated time to fill these positions is six to nine months. We have scheduled a meeting with Human Resources to look at the possibility of increasing our staffing allowance for call takers and dispatcher to assure that we are able to keep up with normal attrition rates for employees working in stressful public safety operations. 12