Columbus City Schools Office of Internal Audit. Human Resources Operational Audit

Transcription

1 Human Resources Operational Audit Report Date: August 27, 2014

2 Table of Contents Title Page Executive Summary 3 Audit Objectives, Scope, and Methodology 6 Background 8 Results of Review Observation and Recommendations 13 Management Responses and Action Plans 24 2

3 Executive Summary The (OIA) has recently completed an operational audit of the District s Human Resources (HR) Department. As a result of our review, OIA found HR management controls over hiring and terminating employees are not adequate to provide assurance that District staff is effectively managing these processes. However, based on the results of our work in this area, it appears there are opportunities to achieve significant improvements in the process and procedures that support these hiring activities and terminating employees. A number of key control mechanisms that could have been solidly in place were instead loosely established and observed. A more structured and robust control environment would have resulted in a higher degree of consistency relative to the various steps in the hiring and terminating processes, as well as the collection of a more complete set of documentation in support of the activities leading to the completion of each hiring and terminating action. The following are OIA observations noted during the review: Risk Ratings, defined: 1 High/unacceptable risk requiring immediate corrective action; 2 Moderate/undesirable risk requiring future corrective action; 3 Low/minor risk that management should assess for potential corrective action. Risk Rating Observations Observation No. 1 Lack of written internal standard operating procedures over the hiring and terminating process. Observation No. 2 There is no comprehensive HR Personnel Policies and Procedures manual (Employee Handbook). X X Observation No. 3 There is no required or written training courses on the hiring process to teach employees the laws and regulations on how to interview. X 3

4 Observation No. 4 There are no written procedures in place for HR to maintain and/or review interview questions for departments conducting interviews. Observation No. 5 There is no standard universal checklist for new employees across all employee groups. Observation No. 6 There is a lack of conformity and consistency with the maintenance of personnel files. Observation No. 7 There are no written procedures over the entering and approving of electronic Personnel Action forms. Observation No. 8 There are no written job descriptions for Teachers. Observation No. 9 There are opportunities to enhance procedures over the Allocation Committee. Observation No. 10 There are no written procedures for tracking required certifications/licenses for District positions that are not issued through the Ohio Department of Education i.e. Internal Audit, Legal Department, Food Service Dietician, and Capital Improvements. Observation No. 11 There is no evidence of the Employee Reference Check Form being completed during the hiring of Administrators selected for testing. Observation No. 12 The HR department does not have an applicant tracking system in place for positions hired in the District. Note: The HR implemented an applicant tracking system for teachers in Fiscal Year Risk Rating X X X X X X X X X Observation No. 13 There are no written procedures over the process of scanning records. X 4

5 Observation No. 14 Potential risk to personnel files (Hard Copies) in the HR Department. Observation No. 15 OIA noted other isolated observations that pertain to specific employee groups i.e. Supplemental Contracts, Administrators, and Classified & Classified Supervisors. Observation No. 16 Network system access is not disabled timely. Observation No. 17 Twenty-five out of sixty new employees tested had a hire date prior to the Board of Education approval date. Risk Rating X X X X In conclusion, during the course of our review we made HR management aware of our observations and recommendations for improvement, and they have already begun to make efforts towards improvement. OIA would also like to acknowledge the cooperation extended to us during our review by employees of the Human Resources Department. 5

6 Audit Objectives The objectives of the audit were to: Evaluate the efficiency and effectiveness of Operations; Determine the existence and effectiveness of internal controls; Ensure compliance with law, regulations, and policies. Audit Scope Internal Audit established the scope of the review to include basic operational aspects of the hiring process, verification of academic or professional accreditation, applicable licensures, the termination process, and the maintenance of personnel data files currently in place with the District. The period of time of the review included all activity commencing July 1, 2012, and ending December 31, Methodologies To accomplish our objective, OIA: Interviewed Human Resources personnel; Observation of key hiring functions; Review of policies and procedures; Review of management reports; Review of CCS Board of Education minutes; Review of Human Resources files; Review of Ohio Revised Code Sections; Review of Columbus Administrators Agreement; 6

7 Review of Columbus Education Association Agreement; Review of Ohio Association of Public School Employee Agreement; Review of Columbus Civil Service Commission Rules and Regulations; Review of Columbus Schools Classified Supervisors Association Agreement; Review of Allocation Committee documents; Review of Employee Exit Checklist; Review of the Institute of Internal Auditors Handbook Series Auditing Human Resources; Review of the Institute of Internal Auditors Handbook Series Auditing Employee Hiring and Staffing; Obtained an understanding of the control environment. 7

8 Background The Human Resources Department employees provide a wide range of services to the District. The mission statement of the Human Resources Department is: Leverage, Empower and Support District Staff to Do What s Best for Students The Human Resources Department is responsible for serving approximately 10,000 employees that directly or indirectly serve over 50,000 students. Note: There are approximately 2,186 Supplemental Contract positions made up of both supplemental employees, and teachers who have a supplemental contract in addition to their teaching contract. An employee may be awarded a supplemental contract for various reasons, Girls Basketball, Peer Assistance and Review, and other committees. In general the word supplemental means supplemental to the teacher s contract under section of the CEA Master agreement. See Exhibit 1 for a breakdown of District employees across all employee groups. Exhibit 1: Percentage of Columbus City School Employees by Employee Group Source: MUNIS (HRIS) Data as of April

9 The Human Resources Department utilizes a human resources information system (HRIS) called MUNIS. The HRIS system MUNIS does interface with payroll. The enterprise resource planning software (MUNIS) went live in January The Human Resources Department consists of approximately 35 full-time employees, and 6 part-time employees. In November of 2013 and again in February of 2014, the Board of Education approved an administrative change of assignment to hire an interim Executive Director of Human Resources. Currently, the Manager of Workforce Planning and one personnel aide position are vacant. The Interim Director of Staffing is performing the duties of Director and Manager of Staffing. In May 2013, the Manager of Workforce Planning resigned and the position was not backfilled. The vacant position of Manager of Workforce Planning and the Manager of Compensation are funded through federal Race to the Top monies. Furthermore, HR will lose these critical positions at the end of July 2014; due to the loss of federal funding. The organizational chart of the Human Resources Department during our audit period is shown in Exhibit 2 below: 9

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11 The Fiscal Year 2013 budget for the Human Resources Department was $3,706,097 and $3,712,694 for Fiscal Year A percentage of full-time equivalent (FTE s) by HR Department Section is shown in Exhibit 3 below: Exhibit 3: Percentage of FTE s by HR Department Section Source: Human Resources Organizational Chart as of February 2014 Responsibilities by HR Department Section: Staffing Responsible for Allocations, Background Checks, Civil Service Personnel Actions, Existing Process, Hiring (interviewing/screening), Orientation, and Reappointment. 11

12 SEMS & Substitute Services Responsible for SEMS (Substitute Employee Management Services), and Substitute Recruiting. Teacher Recruiting Responsible for teacher recruiting. HR Administration Responsible for Administrator Onboarding, Licensing/Contracts, Peer Assistance Review (PAR), Performance Management, Supplemental Contracts, Evaluation Administration for Non-School Based Administrators & Classified Employees, Training & Organization Development, and Tuition Reimbursement. Employee Benefits Responsible for Benefits, Professional Leaves, Catastrophic Sick Leave, High Qualified Teacher (HQT) & Instructional Assistants, Leave of Absences, Wellness, Unemployment, and Workers Compensation. HR Data & Systems Responsible for HR Information Systems (MUNIS), Board Actions, Employee Verification, Employee Records/Files, Personnel Actions, Position Control Liaison, and Resignations/Retirements. Employee Relations Responsible for Contract Administration/Negotiations, EAP, EEO, Employee Discipline, Grievance Hearing & Appeals, Legal & Policy (Compliance), Mediation (Ombudsman), Misconduct Investigations, Section 504 plans, and Substance Abuse. Compensation Responsible for Compensation, Gain sharing, Job Analysis (Comp.), Job Audits, Jobs Descriptions, and Race to the Top Commitments. Workforce Planning Responsible for Senior Leadership Recruiting, Race to the Top Commitments, and Distribution of Talent. 12

13 Results of Operational Review of Human Resources Observation and Recommendations: Observation No. 1 Lack of written internal standard operating procedures over the hiring and terminating process. All aspects of the Human Resources Department should be clearly documented in an up-to-date procedures manual. Written procedures are beneficial for the training of current and new employees and are a valuable resource in the event that an employee leaves the department. The procedures should include sufficient information to permit an individual who is unfamiliar with Human Resources Department operations to perform the necessary activities. The lack of such documented procedures poses the risk that the processes are performed inconsistently, which can result in undesirable outcomes. Recommendation 1. OIA recommends the Human Resources Department develop written internal operating procedures manual for all its HR processes. The internal operating procedures should be updated as needed for any changes in the process, organization, systems, agreements, and regulatory guidelines. 2. OIA recommends the internal operating procedural manual should be communicated to all HR department employees, along with each employee s responsibilities in complying with the procedures. Observation No. 2 There is no comprehensive Human Resources Personnel Policies and Procedures manual (Employee Handbook). The purpose of a comprehensive personnel policy and procedure manual is to provide employees with a common reference to the basic information that governs an individual s employment with the District. The benefits of a comprehensive personnel policy and procedures include: 13

14 Provide uniform and sound personnel administrative systems throughout the District; Inform employees of the general policies and procedures of the District; Ensure all personnel actions are based upon employee qualifications, job performance, and comply with federal and state law; Serve as written documentation of commitment to fair employment practices and equal employment opportunities. Overall, the result of this effort would strengthen the internal control environment as it relates to the HR function. The lack of written policies and procedures manual and failure to effectively communicate them to staff, may lead to undesirable outcomes. Recommendation 3. OIA recommends the Human Resources Department develop a formal comprehensive personnel policy and procedure manual. 4. OIA recommends the comprehensive personnel policy and procedure manual be distributed to all District employees and/or have electronic access to the manual on District website. 5. OIA recommends the HR department develops a mechanism of having all employees acknowledge annually that they have received the comprehensive manual and are responsible for reviewing its content. 6. OIA recommends the HR department develop a written process for ensuring HR information on the District website is regularly reviewed and updated. Observation No. 3 There are no required or written training courses on the hiring process to teach employees the laws and regulations on how to interview. The Human Resources Department does not consistently train personnel throughout the District on interviewing techniques and hiring of employees. This could potentially be a liability if the interviewing process is not in accordance with required laws and regulations. 14

15 Recommendation 7. OIA recommends the Human Resources Department provide hiring managers a training course on the hiring process to teach employees the laws and regulations on how to interview. Observation No. 4 There are no written procedures in place for HR to maintain and/or review interview questions for departments conducting interviews. Although many interview questions may appear to be harmless, it is illegal to ask applicants questions that are not job related and personal in nature or that would otherwise solicit protected information. During our testing, it was noted that the HR department does not consistently review and maintain interview questions prior to departments conducting interviews of potential candidates. Recommendation 8. OIA recommends the HR department develop procedures for reviewing interview questions for all departments to ensure illegal questions are avoided. 9. OIA recommends the HR department develop a mechanism to maintain approved interview questions for all positions/departments of the District. Observation No. 5 OIA observed five different checklists for new employees across all employee groups being utilized. OIA observed the HR department utilizing five different New Hire Checklist. The majority of the checklist requires basically the same information. However, the checklists vary in nature. For example: One checklist requires the new employee to sign and date. Two checklists require the initials of HR personnel verifying the information. Three checklists do not require the signature/initials of either the new employee or HR. Multiple checklists may lead to new employees being processed inconsistently. 15

16 Recommendation 10. OIA recommends the HR department develop one standard universal comprehensive New Employee Checklist across all employee groups for consistency and completeness purposes. 11. OIA recommends the New Employee Checklist require the initials of the HR personnel verifying submitted information. Observation No. 6 There is a lack of conformity and consistency with the maintenance of personnel files. OIA noted several instances of inconsistent maintenance of personnel files. During our review of personnel files OIA noted the following: 5 out of 60 (8%) personnel files could not be located. 1 out of 2 (50%) personnel files (Classified Employee Group) did not have a copy of the required license in personnel file. Note: OIA did ensure the tested employee did have a valid license with Ohio Department of Education. 4 out of 31 (13%) (Classified, Classified Supervisor, Certificated) personnel files did not have a checklist present in file. Several personnel files contained inappropriate documentation i.e. Form I-9 s with relevant documentation, and background checks. 19 out of 31 (61%) (Classified, Classified Supervisor, Certificated) personnel files did not have a copy of the application present in file. Documenting the types of information that should be held and where it should be filed is important for both security and completeness purposes. Documentation should be filed away in date order (most recent at front) in a timely manner. This minimizes the chance of breaches of confidentiality and ensures that the file represents an up-to-date record on an individual s employment. Also, any files removed from the filing system should be returned as soon as possible. A tracer card system should be used when any file is removed from the system to ensure it can be easily located. OIA did note the HR department started a project in the second quarter of Fiscal Year 2014 to remove I-9 s with relevant documentation from personnel files. 16

17 Recommendation 12. OIA recommends HR to develop a standard criterion of all documentation to be filed, the location of the files, and the parties responsible for maintaining the various personnel files. 13. OIA recommends HR periodically monitor and review the maintenance of personnel files. Observation No. 7 There are no written procedures over the entering and approving of electronic Personnel Action forms. The system generated Personnel Action (PA) forms are utilized by the HR department to document changes. Personnel Action (PA) forms are electronic and prepared in the MUNIS system. The person who creates and enters the data into the MUNIS system has their user ID/date captured electronically and generated on the form. For effective segregation of duty purposes the person who creates/enters data for PA should not also approve the PA. During our review: 24 out of 60 (40%) PA s were approved by the same person who created/entered data. 2 out of 60 (3%) employees tested did not have a PA. OIA also noted that there are no procedures in place to assist personnel aides on the information to be verified on the PA before approved. Recommendation 14. OIA recommends as HR develops their written standard operating procedures they also include procedures over the entering of Personnel Actions. 15. OIA further recommends HR identify data to be verified and approved for various Personnel Actions. Observation No. 8 There are no written job descriptions for Teachers. Having up-to-date, accurate and detailed written job descriptions is critical to an organization s ability to attract qualified candidates, orient & train employees, establish job performance standards, conduct performance reviews, set goals and meet legal requirements. 17

18 Furthermore, job descriptions provide employees with clear direction as to how they contribute to and function within the organization. OIA found that 10 out of 10 (100%) teachers tested did not have written job descriptions on file. All other employees selected for testing had written job descriptions on file with HR. Lack of written job descriptions could affect employees job performance in a variety of ways. Recommendation 16. OIA recommends HR develop detailed written job descriptions for Teachers. Observation No. 9 There are opportunities to enhance procedures over the Allocation Committee. In February 2011, the District established an Allocation Committee and procedures for filling all positions, whether new or vacant, part-time, or full-time. All positions must go through the Allocation Committee, except for principal and teacher positions. Employees are required to complete an Allocations Request Form and submit to the Allocation Committee. After a recommendation has been made by the committee, the recommendation goes to the Superintendent for final approval/rejection. The Allocation Committee is made up of eight senior level directors. OIA testing revealed that many of the employees tested could not be located on the excel spreadsheet maintained as documentation of all the positions approved by the Committee and the Superintendent. In addition, the Committee does not typically track positions that are not approved either by the Committee or the Superintendent. In February 2014, the Committee established a new electronic allocation request form for better tracking Recommendation 17. OIA recommends that when positions receive final approval by the Superintendent that the Budget Office creates a position code at that time. 18. OIA recommends HR further develop the new electronic form to capture the entire approval process cycle. 18

19 Observation No. 10 There are no written procedures for tracking required certifications/licenses for District positions that are not issued through the Ohio Department of Education i.e. Internal Audit, Legal Department, Food Service Dietician, and Capital Improvements. The HR department currently has written procedures to ensure the renewal of required certification/licenses for District positions that are issued through the Ohio Department of Education. The HR department does not currently have written procedures or track required certifications/licenses not issued through the Ohio Department of Education. Recommendation 19. OIA recommends the HR develop written procedures for tracking required certifications/licenses for District positions that are not issued through Ohio Department of Education. Observation No. 11 There is no evidence of the Employee Reference Check form being completed for Administrators selected for testing. The HR department has an Employee Reference Check form to document the reference check of new employees. Per inquiry with HR management, reference checks are only conducted on Administrators. 15 out of 15 (100%) Administrators tested did not have evidence of completion of the Employee Reference Check form or any other relevant documentation that a reference check was performed. The time it takes to conduct reference checks is nominal compared to the time, cost and consequence of hiring the wrong person for the job. Recommendation 20. OIA recommends the HR department properly document the completion of the Employee Reference Check form and retain a copy as evidence that reference checks were performed. 19

20 Observation No. 12 The HR department does not have an Applicant Tracking system in place for positions hired in the District. Note: The HR implemented an Applicant Tracking system for teachers in Fiscal Year The HR department does not currently have in place an applicant tracking system. All applicants, except for teacher positions, are required to apply for positions by submitting required documents via US mail, , or by coming directly to the District to apply for positions. Recommendation 21. OIA recommends that HR implement an applicant tracking system to facilitate the hiring process for the hiring of all District positions. Observation No. 13 There are no written procedures over process of scanning records. Our testing revealed the HR department scanned various employee documentation files during our review. Inquiry with HR staff and OIA testing revealed noted inconsistencies of scanned documents across the different employee groups. Furthermore, there are no written procedures over the scanning of HR documents. Recommendation 22. OIA recommends HR management develop written procedures for scanning documents. Observation No. 14 Potential risk to personnel files (Hard Copies) in the HR Department. OIA noted that personnel records are kept in locked filing rooms and appear to be limited to only HR employees. However, the building in which the personnel records are stored is not equipped with a fire alarm and/or sprinkler system. Recommendation 23. OIA recommends HR management develop a strategy to safely secure personnel records. 20

21 Observation No. 15 OIA noted other isolated observations that pertain to specific employee groups i.e. Supplemental Contracts, Administrators, and Classified & Classified Supervisors. OIA testing revealed the following conditions: Supplemental Contract Employees 8 out of 11 (73%) Supplemental Contracts tested did not have copies of applicable certifications present in personnel file. 2 out of 12 (17%) Sport or Activity Appointment Forms were not properly completed by the Building Principal and Athletic Director. All supplemental contract employees received background checks; however two employees received background checks after their first day of employment. Administrators 5 out of 12 (42%) Administrator salaries in the offer letter in the personnel file did not agree with the starting salary in MUNIS or Board of Education minutes. Per the OIA testing, the one Administrator tested did not have proof of a valid Ohio Department of Education (ODE) Administrative Specialist in Pupil Service Administration license. The job qualification section of the job description of one administrators tested required a valid Ohio Department of Education (ODE) Administrative Specialist in Pupil Service Administration license. In addition, OIA searched ODE s website for applicable license for the tested employee that resulted in no person records matched your search criteria. Classified and Classified Supervisors 1 out of 5 (20%) of the Classified and Classified Supervisors tested had an hourly rate on the offer letter that did not agree with the starting rate in MUNIS or Board of Education minutes. 4 out of 21 (19%) Classified and Classified Supervisors tested HR could not retrieve archived background checks. 8 out of 18 (44%) of the Certification of Eligible List tested were not signed and/or dated by hiring manager. 21

22 Recommendation 24. OIA recommends HR ensure supplemental personnel files contain copies of all applicable current certifications. 25. OIA recommends HR ensure the completeness of Sport or Activity Appointment Forms submitted by Building Principals and Athletic Directors. 26. OIA recommends HR ensure that only complete and accurate information is maintained in personnel files. 27. OIA recommends HR to ensure the collection of required documentation to support conditional offers. 28. OIA recommends HR develop a mechanism to ensure all background checks can be readily retrievable. 29. OIA recommends HR maintain signed copies of the Certification of Eligible List. Observation No. 16 Network system access is not disabled timely. In order to prevent unauthorized access and misuse of District s systems, it is critical that network system access is promptly disabled upon an employee s termination. OIA found that significant delays in terminating former employees network system access, thus giving individuals continued access to the District s systems for weeks and even months after termination. Exhibit 4: Network System Access Removal Lag Time Lag Days # of Employees TOTAL 10 Note: The longest lag time reached up to 640 days before network access was terminated. Timely removal of former employees network access is critical in preventing misuse of District s systems, ensuring data integrity, and safeguarding confidential information. 22

23 Recommendation 30. OIA recommends HR ensure the District has an adequate process to ensure network access for separated employees is terminated as quickly as possible. 31. Furthermore, OIA recommends HR create a strictly enforced procedure that clearly states who is to notify whom when someone s employment is ending or has ended. Observation No. 17 Twenty-five out of sixty new employees tested had a hire date prior to the Board of Education (BOE) approval date. According to the Ohio Attorney General Opinion , August 22, 2005 states there exist the...authority of the governing board of an educational service center to ratify the actions of its superintendent By definition, the ratification of a contract is [a] person s binding adoption of an act already completed but either not done in a way that originally produced a legal obligation or done by a third party having at the time no authority to act as the person s agent. Black s Law Dictionary (7th ed. 1999); see also Garrison v. Daytonian Hotel, 105 Ohio App. 3d 322, 326, 663 N.E.2d 1316 (Montgomery County 1995) ( [a] ratification is a confirmation of a previous, voidable act that operates to give the act the effect it was originally intended to have. It is equivalent to a previous authorization and relates back in time to when the act ratified was done ). OIA testing revealed the following conditions: 25 out of 60 (42%) of new employees tested had a hire date prior to the BOE approval date. Note: The OIA performed testing by comparing the original hire date entered into MUNIS to the BOE minutes for hiring approval. Exhibit 5: Lag Days of New Employee Hire Dates Prior to BOE Approval Date Lag Days # of Employees TOTAL 25 23

24 The hiring of employees without prior proper approval of the BOE could present potential liabilities to the District. Recommendation 32. OIA recommends HR have the BOE ratify hiring actions taken earlier that was not a delegable action. Furthermore, the ratification makes the BOE bound to the contract back to the inception date of the contract (hiring date), even though it may have not been done properly then. 33. The OIA also recommends that there be a better tracking system of what contracts are necessary to get on the BOE agenda sooner so that future ratifications of contracts are diminished in time and eliminated altogether. Management Responses and Action Plans Recommendation #1 As the OIA's Operational Audit of Human Resources focused on the Hiring and Terminations of district employees, the HR Division of Employment and Staffing will develop Standard Operating Procedures for all aspects of hiring and discharging employees. While this work has begun and progress has been made, completion of this work will take place by the end of September Furthermore, quarterly checks will be conducted with administrative oversight for the verification of the utilization of established Standard Operating Procedures to ensure a more structured and robust control environment for a higher degree of consistency relative to the various steps in the hiring and terminating process. Quarterly reviews will occur during the last week of the months of December, March, June, and September annually. In addition to the HR Division of Employment and Staffing's development of Standard Operating Procedures, the Divisions of HR Administration, Employee Relations and HR Data & Systems will also have complete Standard Operating Procedures developed by the end of September 2014 with quarterly reviews conducted with administrative oversight to ensure that District Human Resources staff are effectively managing all of its HR functions and processes. Target Implementation Date: September 2014 Process Owner: Interim Executive Director Human Resources 24

25 Recommendation #2 Upon completion of all HR Standard Operating Procedures, each HR Division (Employment and Staffing, HR Administration, Employee Relations and HR Data & Systems) will conduct training sessions for their staff members during the month of October 2014 to ensure full understanding and application of the Standard Operating Procedures. Quarterly meetings will be conducted with each HR Division's employees to continue to ensure complete understanding and full implementation. Target Implementation Date: October 2014 Process Owner: HR Division Administrators Recommendation #3 As the Interim Executive Director has begun this work with all HR Division Administrators for the creation of an electronic set of formal comprehensive personnel policy and procedures manual for district administrators' use, further work will take place for the electronic publication of such policy and procedural manual with the CCS Office of Communications for use by all district employees by the end of September Quarterly reviews of materials electronically published for use by all district employees will be conducted during the third week of the months of December, March, June and September annually. Target Implementation Date: September 2014 Process Owner: Interim Executive Director Human Resources Recommendation #4 As the Interim Executive Director has begun this work with all HR Division Administrators for the creation of an electronic set of formal comprehensive personnel policy and procedures manual for district administrators' use, further work will take place for the electronic publication of such policy and procedural manual with the CCS Office of Communications for use by all district employees by the end of September Quarterly reviews of materials electronically published for use by all district employees will be conducted during the third week of the months of December, March, June and September annually. 25

26 Target Implementation Date: September 2014 Process Owner: Interim Executive Director Human Resources Recommendation #5 The Office of Human Resources will create a training module within the Public School WORKS online training system as a mechanism of having all employees acknowledge annually that they have accessed the comprehensive online manual and are responsible for reviewing its content. For SY , it is expected to have this training module completed by the end of December, with implementation for all district employees during the months of January and February Annually thereafter, the established timeline of having all employees acknowledge having reviewed the online personnel policy and procedure manual will be by the last work day of the month of October. Target Implementation Date: February 2015 Process Owner: Interim Executive Director Human Resources Recommendation #6 Quarterly reviews of materials electronically published for use by all district employees will be conducted during the third week of the months of December, March, June and September annually. Target Implementation Date: December 2014 Process Owner: Interim Executive Director Human Resources Recommendation #7 HR will use the Public School WORKS online training module "Hiring and Lawful Termination" which focuses on employment laws and hiring considerations, as a mandatory training for every interview panel member prior to serving on the panel. This is to be completed at least once a year. Additionally HR (HR Business Partner for the Hiring Manager) will hold a 30 minute training for all panel members prior to the start of interviews that will focus on best practices, and District interviewing protocols, questions 26

27 and answers. Training will begin by the end of September 2014 for each active interview panel. Quality checks will be conducted by the HR Business Partner for all Hiring Managers at the conclusion of each set of interviews. Target Implementation Date: September 2014 Process Owner: Interim Director Staffing Recommendation #8 HR will develop a set of Standard Operating Procedures for the entire hiring process that will be inclusive of interview questions review and database development. The Standard Operating Procedures will be completed by the end of September 2014 and the interview question database development will be completed by the end of October Quality checks will be conducted by the HR Business Partner for all Hiring Managers utilizing actual interview panel documents on a periodic basis according to the number of interview panels conducted by each Hiring Manager. Minimally, 10% of all interview panels conducted by each Hiring Manager will receive quality checks. Target Implementation Date: October 2014 Process Owner: Interim Director Staffing Recommendation #9 Quality checks will be provided on a periodic basis by reviewing filled positions with actual interview question database. Minimally, 10% of all interview panels conducted by each Hiring Manager will receive quality checks. Target Implementation Date: December 2014 Process Owner: Interim Director Staffing Recommendation #10 The Division of HR Administration currently maintains an employee checklist for supplemental contracts documentation. The Division of Employment and Staffing currently utilizes three (3) different checklists, Instructional 27

28 Assistants/Classified/Teachers, which have a variety of requirements for pre-hire. However a project team is in place to identify the similarities, differences that will result in one "universal" New Employee document to include a line for signature. This work will be completed by the end of September 2014 with quality checks of the checklist contents annually (June) as well as with any new local, state or federal guidelines. Quarterly reviews of full utilization of the universal checklist will be conducted quarterly during the second week of December, March, June and September annually. Target Implementation Date: September 2014 Process Owner: Interim Director Staffing and Director HR Administration Recommendation #11 Upon implementation of the universal checklists by the end of September 2014, quality checks will be performed to verify the initials of the HR personnel verifying submitted information. During the first quarter quality checks, a review for verifying initials will occur monthly (October, November and December) and then quarterly thereafter during the months of March, June and September annually. Target Implementation Date: September 2014 Process Owner: Interim Director Staffing and Director HR Administration Recommendation #12 Upon implementation of the universal checklists by the end of September 2014, quality checks will be performed to verify the initials of the HR personnel verifying submitted information. During the first quarter quality checks, a review for verifying initials will occur monthly (October, November and December) and then quarterly thereafter during the months of March, June and September annually. Target Implementation Date: September 2014 Process Owner: Interim Executive Director Human Resources and Interim Director Staffing 28

29 Recommendation #13 Quality checks with administrative oversight will be conducted monthly for the first three months (September, October and November 2014) and then quarterly to begin December 2014, March 2015, June 2015 and September 2015 using a quarterly review cycle annually. Quality checks will be conducted on 10% of all new hires during the review time period. Target Implementation Date: January 2015 Process Owner: Director Staffing Interim Executive Director Human Resources and Interim Recommendation #14 This is an immediate priority and currently (August 2014) there is a work plan in place for a Standard Operating Procedure to include procedures for the electronic entry of Personnel Actions within the District's MUNIS system. The final Standard Operating Procedures document will be completed by the end of September Target Implementation Date: September 2014 Process Owner: Manager HR Data & Systems Recommendation #15 As a part of the work for Recommendation #14 above, HR will identify the specific data to be verified and approved for various Personnel Actions within the established Standard Operating Procedures to be completed by the end of September Target Implementation Date: September 2014 Process Owner: Manager HR Data & Systems 29

30 Recommendation #16 In January 2014 the District implemented the use of Teacher Match for applicant tracking and hiring. Teacher Match currently has (44) Certificated Job Descriptions. These where used for the 2014 Teacher recruitment season. HR will add other job descriptions as the recruitment needs for specific areas occur. Employment and Staffing will implement a Teacher Job Description project for the remaining estimated 75+ Teacher descriptions. While this work has already begun, project continuation timeline will begin April Quality checks will be performed as job descriptions are developed for purposes of recruitment with Executive Directors, selected Principals and Department Heads. Target Implementation Date: April 2015 Process Owner: Interim Director Staffing Recommendation #17 The Office of Budget created a position control Budget Analyst position during Spring The Executive Director of Budget and his newly created staff position focused on position control sit as members of the District's Allocations Committee and notates approvals made by the Committee and Superintendent. It is at the time of the Superintendent's approval of positions that the Budget Office creates position codes and forwards to HR. Target Implementation Date: Spring 2014 Process Owner: Interim Director Staffing Recommendation #18 The current limitations of the E-Form (Perfect Form software) according to District IT Office does not allow for the extension of an approval process to the Superintendent as each request, often more than 10, would be sent separately for approval via to the Superintendent. However, in the effort to implement OIA's recommendation, HR will partner again with IT to determine if there are other tools, upgrades to existing tools that may assist the allocation approval process. Timeline for this work will be September

31 Target Implementation Date: Spring 2014 Process Owner: Interim Director Staffing Recommendation #19 The Interim Executive Director of HR will work with the Chief Operating Officer, Chief Communications Officer and the Internal Auditor by the end of September 2014 to identify all required certifications/licenses for District positions that are not issued through Ohio Department of Education. During this work, the establishment of a review cycle will be developed to determine specificity to how often each certification/license is required to be renewed. A database of all employees required to have job-specific licenses will be generated in addition to the timelines for each affected employee to renew such certification/licensure. Verifications of all required certifications/licensures will be completed prior to each affected employee's employment contract with the District. Target Implementation Date: September 2014 Process Owner: Interim Executive Director Human Resources Recommendation #20 Currently HR Employment and Staffing has implemented a process of ensuring and documenting reference checks are conducted for new hires. Currently all Teacher reference checks are housed in Teacher Match. For Administrators reference checks are completed and housed in a Reference Check database, that is maintained by Employment and Staffing. Quarterly reviews will be conducted of 10% of new hires during the first week of September, December, March and June. Target Implementation Date: September 2014 Process Owner: Interim Director Staffing 31

32 Recommendation #21 The current limitations of the E-Form (Perfect Form software) according to District IT Office does not allow for the extension of an applicant tracking system to facilitate the hiring process for the hiring of all District positions. However, in the effort to implement OIA's recommendation, HR will partner again with IT to determine if there are other tools, upgrades to existing tools that may assist to implement an applicant tracking system. In the meantime, the Division of Employment and Staffing, maintains a comprehensive and robust spreadsheet of positions for which the Allocations Committee and Superintendent's Office approve. Target Implementation Date: September 2014 Process Owner: Director Staffing Interim Executive Director Human Resources and Interim Recommendation #22 Effective SY , all new hire documents are being scanned into MUNIS. HR is no longer creating paper personnel files. HR is currently developing document mapping that identifies and outlines which documents should be scanned, and where in the employee electronic file the scanned documents should be housed. This work will be completed by the end of September 2014 and quality checks with administrative oversight will be conducted on a periodic basis for review of a sample group of electronic employee personnel files to ensure procedures are followed. Target Implementation Date: September 2014 Process Owner: Interim Director Staffing and Manager HR Data & Systems Recommendation #23 The Interim Executive Director of HR is currently working with staff members from her team and the Director of CCS Purchasing to have all personnel records of current employees, and all employees terminated after August 2011 (MUNIIS 'Go Live' School Year), safely and electronically stored within the District's MUNIS system. Employees terminated prior the August 2011 will have their personnel records stored at the District's Hudson Distribution Center Warehouse where there is a fire suppression system 32

33 (sprinkler system). Work has begun to establish the following timeline with the Director of CCS Purchasing: August 12 - Pre-Bid Meeting with potential vendors; August 19 - First Meeting of Project Evaluation Team; August 21 - Second Evaluation Team Meeting to Select Short List of Vendors for presentations; August 27 - Vendor Presentations; and work to begin with the selected and boarded vendor no later than the first week of October The completion of this work will be determined by vendor responses according to bid documents and appropriated funding for the initiative. Target Implementation Date: August December 2014 Process Owner: Interim Executive Director Human Resources Recommendation #24 HR will ensure all supplemental personnel files contain copies of all applicable current certifications. Quality checks with administrative oversight will be conducted on 25 of all new supplemental personnel files on a quarterly basis during the months of March, June, September and December. Target Implementation Date: September 2014 Process Owner: Director HR Administration Recommendation #25 HR Administration currently verifies all sport activity or activity forms and conducts peer reviews before approving associated personnel actions. Quality checks with administrative oversight will be conducted on 10% of all new Sport or Activity Appointment Forms on a quarterly basis during the months of September, December, March and June. Target Implementation Date: August 2014 Process Owner: Director HR Administration Recommendation #26 33

34 Supplemental contract files are all currently scanned into the employee's HR electronic file in MUNIS under HR documents. Target Implementation Date: August 2014 Process Owner: Director HR Administration and Interim Director Staffing Recommendation #27 Effective immediately, when business decisions are made, supporting documentation will be retained in the personnel file. Target Implementation Date: August 2014 Process Owner: Interim Director Staffing Recommendation #28 Background checks (FBI/BCII) ate stored electronically through the National Webcheck System. This system is a standalone system that is securely housed in the Fingerprinting Office in Human Resources. The FBI/BCII archives this information on a periodic basis, therefore all background checks can be retrievable either through National WebCheck or FBI/BCII in London Ohio, and unless they were "mailed results" in that case HR would have a copy. However HR will develop a Standard Operating Procedure that provides practices and procedure on the entire Fingerprinting process inclusive of process for retrieval. This work will be completed by the end of December 2014 with quality checks performed twice a year with test ability to retrieve results of an appropriate sample size of 10%. Target Implementation Date: December 2014 Process Owner: Interim Director Staffing Recommendation #29 Effective immediately, HR Division of Employment and Staffing will maintain signed copies of the Certification of Eligible Lists with monthly administrative verifications being 34

35 conducted as Personnel Analysts IIs prepare their monthly draft reports for the annual report to the City of Columbus, Civil Service Commission. Target Implementation Date: August 2014 Process Owner: Interim Director Staffing Recommendation #30 HR has implemented a process with the District's IT Office whereby network access for separated employees is terminated within 24 hours of the employee's last date of service. Target Implementation Date: Completed Process Owner: Manager HR Data & Systems Recommendation #31 Effective immediately, upon receipt of an employee's letter of resignation or retirement, the HR Data & Systems Manager, or the Personnel Information Systems Coordinator, will notify the immediate supervisor of the separated employee. If the separation is as a result of a disciplinary matter, the Director of Employee Relations shall notify the immediate supervisor of the separated employee and document. All such notifications will be documented on the scanned copy of the resignation or retirement letter. Quality checks with administrative oversight will be conducted on 10% of all new Sport or Activity Appointment Forms on a quarterly basis during the months of September, December, March and June. Target Implementation Date: September 2014 Process Owner: Manager HR Data & Systems and Director Employee Relations Recommendation #32 Effective immediately, the Interim Executive Director will work with CCS Legal Services to ensure that the BoE ratify hiring actions taken not as a result of delegable action. Reviews will be conducted by the Office of the HR Interim Executive Director prior to 35

36 each Board Briefing meeting to verify that each hire date falls after the intended BoE approval date, and if not, appropriate legislation will be introduced to ratify the hiring actions. Quality checks will be performed at the conclusion of each bi-weekly Board of Education meeting by the Office of the HR Interim Executive Director to verify that each hire date falls after the BoE approval date or appropriate ratifying language was contained within the Board of Education's personnel agenda. Target Implementation Date: September 2014 Process Owner: Interim Executive Director Human Resources Recommendation #33 The Office of Human Resources will work with District Hiring Managers to identify appropriate timelines throughout the year for the hiring of new employees and the renewal of existing employees' contracts. A system will be developed, with the support of the CCS IT Office, to track timelines for employment contracts and appropriate timelines for personnel actions taken by the Board of Education. Initial work on this recommendation will begin during the first quarter of the school year and collaborations with CCS IT Office will begin immediately thereafter. Target Implementation Date: October 2014 Process Owner: Interim Executive Director Human Resources and Director HR Administration 36