BALANCING A JOINT ACCOUNT-ABILITY

Transcription

1 BALANCING A JOINT ACCOUNT-ABILITY Human Resources Program Evaluation After Decentralization S t r i v i n g f o r E x c e l l e n c e 1

2 Presenters: Terry Gomez, Accountability Administrator Patrick Lowery, Accountability Asst. Administrator Jean Tozer, Staffing Administrator S t r i v i n g f o r E x c e l l e n c e 2

3 Overview Where we were - traditional central system A new vision leads to a plan Implementation The first year Results, maintenance and the future Lessons learned S t r i v i n g f o r E x c e l l e n c e 3

4 Background 60,000+ classified employees 40,000+ unclassified employees Social Services, Corrections, Universities, Hospitals, etc. Quasi-state agencies: Housing Authorities, Levee Boards, Ports, etc. S t r i v i n g f o r E x c e l l e n c e 4

5 Pre-Approval of all Transactions 10,000 transactions per month 15,000 transaction back-log Individual compliance review Error resolution/correction S t r i v i n g f o r E x c e l l e n c e 5

6 Existing Flexibility Direct hire for unskilled & highly specialized Certifiable scores Promotional contracts Pay options Allocation authority S t r i v i n g f o r E x c e l l e n c e 6

7 Compliance vs. Effectiveness Focus on individual compliance Extremely limited overall review Role of HR to agency and to Civil Service Customer satisfaction ratings People high ~~ Process low S t r i v i n g f o r E x c e l l e n c e 7

8 The Case for Change One size does NOT fit all Decentralization can work Decentralization intensifies need for support DSCS resources will remain limited Organize around customer not function Increased demand for accountability S t r i v i n g f o r E x c e l l e n c e 8

9 The Vision - ASCEND 2020 Decentralize approval authority Create Assistance Teams Establish HR Accountability Program S t r i v i n g f o r E x c e l l e n c e 9

10 PLANNING S t r i v i n g f o r E x c e l l e n c e 10

11 Talking with Customers Governor s Office Agency Heads Legislators HR Directors S t r i v i n g f o r E x c e l l e n c e 11

12 Work Flow Redesign Effort Steering Committee & Work Groups Mixture of representation Constitutional foundation Short & long term recommendations Pilot program S t r i v i n g f o r E x c e l l e n c e 12

13 Common Concerns Greater flexibility Greater accountability for results Need for manager/supervisor training S t r i v i n g f o r E x c e l l e n c e 13

14 Focus of Evaluations Compliance yes, but greatest emphasis on overall results of HR practices S t r i v i n g f o r E x c e l l e n c e 14

15 Evaluation Priorities Decisions with greatest impact on agency performance: Staffing - hiring & promotions Training Individual performance evaluation S t r i v i n g f o r E x c e l l e n c e 15

16 The Plan Three-year review cycle In-between Drop-In Visits Levels of review: Full Program vs. Basic S t r i v i n g f o r E x c e l l e n c e 16

17 Staffing and Starting Four full-time Evaluators Initial training Start with the basics but START! S t r i v i n g f o r E x c e l l e n c e 17

18 IMPLEMENTATION S t r i v i n g f o r E x c e l l e n c e 18

19 Getting Down To Specifics Who? What? How? When? Documenting S t r i v i n g f o r E x c e l l e n c e 19

20 Who To Review - Considerations 500+ entities vs. 4 Consultants Classified vs. unclassified Agency size: 1-5,000+ employees Locations: rural to metro Fulfilling our merit system role Cost vs. Benefit S t r i v i n g f o r E x c e l l e n c e 20

21 What To Review Human Resource programs only Avoid duplication with Legislative Auditor s financial audits (payroll items) HR issues arising from decentralization Special requests by Director S t r i v i n g f o r E x c e l l e n c e 21

22 How To Review Baseline assessment of HR programs Decisions impacting agency performance Training Individual performance evaluation Rule compliance on transactions sampled S t r i v i n g f o r E x c e l l e n c e 22

23 When To Review At least once every 3 years Avoid peak work times Checks in-between full reviews S t r i v i n g f o r E x c e l l e n c e 23

24 Levels of Review Full HR Program Evaluation Basic Compliance Review Drop-In Visits S t r i v i n g f o r E x c e l l e n c e 24

25 Full HR Program Evaluation Major state agencies Others with 50+ classified positions Usually a Director of HR position S t r i v i n g f o r E x c e l l e n c e 25

26 Basic Compliance Reviews Entities with classified employees Usually no Director of HR position S t r i v i n g f o r E x c e l l e n c e 26

27 Drop-In Visits Conducted at larger agencies in years when Full HR Program Evaluations not done Spot check of HR files S t r i v i n g f o r E x c e l l e n c e 27

28 Documenting: HR Program Evaluation Report Assesses HR program and compliance To HR Director, supervisor, agency head, Legislative Auditor, Civil Service Commission Oral report at public meeting S t r i v i n g f o r E x c e l l e n c e 28

29 Documenting: Basic Compliance Review Report Main focus is compliance Report to HR person and supervisor, agency head, Legislative Auditor, C.S. Commission Oral report at public meeting S t r i v i n g f o r E x c e l l e n c e 29

30 Documenting: Drop-In Visits Letter to HR Director and agency head Notes any problems or non-compliance Provides contact for Assistance S t r i v i n g f o r E x c e l l e n c e 30

31 Earning Immediate Interest Of Accountability Consultants Educate & train, make first year assignments Of DSCS Establish relationships with other Divisions Of agencies to be evaluated Initial visits and questionnaires S t r i v i n g f o r E x c e l l e n c e 31

32 Methodology Background research Agency submitted information On-Site records audit Report findings & recommendations S t r i v i n g f o r E x c e l l e n c e 32

33 Background Research Internal sources Agency supplied Public records - internet search S t r i v i n g f o r E x c e l l e n c e 33

34 Internal Sources of Info Contracts/agreements with DSCS Policies and special authorities granted Annual reports Generating computer reports S t r i v i n g f o r E x c e l l e n c e 34

35 Public Records - Internet Search Agency web-site Enabling statutes Budget allocations Public reports of other reviewing agencies Newspapers S t r i v i n g f o r E x c e l l e n c e 35

36 Agency Supplied Info Agency completes questionnaire Copies of agency policies and forms Discussions with HR Director by phone/ S t r i v i n g f o r E x c e l l e n c e 36

37 Developing Questionnaire 12 major areas of Human Resources Background information on agency HR practices, insight into level of development Involves HR staff early in the evaluation process Sent 1-2 months ahead of site visit Revised as needed S t r i v i n g f o r E x c e l l e n c e 37

38 Determine On-Site Sample Baseline, effectiveness & compliance Evaluation priorities & level of review Agency s big business Time constraints Special requests S t r i v i n g f o r E x c e l l e n c e 38

39 Compounding Interest Alert agencies to upcoming on-site evaluation Conduct 2-3 day on-site evaluation Analyze data and ask additional questions Issue draft report and allow agency response Issue final report Public review of report at Commission Mtg. S t r i v i n g f o r E x c e l l e n c e 39

40 On-Site Procedures Meet with HR Director on arrival Review documents and personnel files Consult with/interview HR staff as needed Exit interview with HR Director to discuss general observations and findings Report: time-frame and chance to respond S t r i v i n g f o r E x c e l l e n c e 40

41 Determining Report Format Review other types of audit reports Purpose and audience Appendices & attachments? Production and cost considerations Time considerations S t r i v i n g f o r E x c e l l e n c e 41

42 Determine Report Circulation Draft report to HR Director and supervisor w/deadline to respond Final report to the appointing authority, HR Director, supervisor, and HR Director of any parent organization Copies to Legislative Auditor,Civil Service Commission, Assistance team, on DSCS intranet (internal) S t r i v i n g f o r E x c e l l e n c e 42

43 Monthly Accrual Rate At any time, each consultant will be: Researching for next evaluation Writing report on review just completed Planning, conducting Drop-In Visits S t r i v i n g f o r E x c e l l e n c e 43

44 MAINTENANCE Determining When to Make Adjustments S t r i v i n g f o r E x c e l l e n c e 44

45 Adjusting Procedures Rules, Federal Laws, State Statutes change New goals set - end of first complete cycle New projects added Focus changes S t r i v i n g f o r E x c e l l e n c e 45

46 Report Format Procedure changes reflected in report format Change in emphasis on specific area Change in basic outline of report End of base line - new goals Hybrid reports to address follow-up S t r i v i n g f o r E x c e l l e n c e 46

47 Schedule of Evaluations Staffing levels Other demands: investigations, other projects Realistic goals Follow-up needs: good practices vs poorly run shop S t r i v i n g f o r E x c e l l e n c e 47

48 Goals of Division Staffing levels Improvements in efficiency Agency Strategic Plan S t r i v i n g f o r E x c e l l e n c e 48

49 What Surprised the Evaluated Statement of general facts about agency: agency did not like what the mirror showed Pass/Fail vs. development aid Recommendations vs. Rule violations Executive Officer involvement Appointing authority documentation Incomplete/inadequate records Lack of internal controls S t r i v i n g f o r E x c e l l e n c e 49

50 Specific Lessons that Evaluated Learned Their perception vs. reality of Accountability auditor Evaluator cared to win their trust Evaluator strove for balance S t r i v i n g f o r E x c e l l e n c e 50

51 What Surprised the Evaluators Knowledge level of HR staff varied greatly Agencies did not fully understand audit trail Agency resentment over increased workload Multiple HR software systems Confusion - more than 2 reports at once High adaptability & organizational skills needed S t r i v i n g f o r E x c e l l e n c e 51

52 Specific Lessons that Evaluator Learned The obstacles faced on the other side What your data is really telling you Best Practices really became mundane S t r i v i n g f o r E x c e l l e n c e 52

53 CONCLUSION S t r i v i n g f o r E x c e l l e n c e 53

54 LESSONS LEARNED Managing Expectations Communication Culture Shift Coordinating with Assistance Teams Sanctions Measuring ourselves Value to Administration S t r i v i n g f o r E x c e l l e n c e 54

55 Managing Expectations Preconceived notions Fear of being audited How to make 100 Environment: other audits, news, etc. Assessment vs. Assistance - fix it for me S t r i v i n g f o r E x c e l l e n c e 55

56 Communication - External Conversations with Director Meetings with HR Groups big and small Questionnaire on web-site Public Reports to Commission Best Practices on web-site Common Pitfalls on web-site S t r i v i n g f o r E x c e l l e n c e 56

57 Communication - Internal Among evaluators and with other staff Co-operation with Assistance Clarifying roles Feedback to policy-setters & trainers Singing from the same book S t r i v i n g f o r E x c e l l e n c e 57

58 Culture Shift For agency HR officers For agency executives For our own staff -- becoming change agents S t r i v i n g f o r E x c e l l e n c e 58

59 Value to Administration Consciousness raising Opening a dialog Managerial choices - cost/benefit Planning tool for agency S t r i v i n g f o r E x c e l l e n c e 59

60 Coordinating Assistance Maintaining objectivity of evaluations Review of reports w/team Items for attention Resolving serious problems together S t r i v i n g f o r E x c e l l e n c e 60

61 Sanctions Focus on agency responsibility Minor errors - day forward corrections Serious problems Public Hearing On Probation Power of the press S t r i v i n g f o r E x c e l l e n c e 61

62 Measuring Ourselves Follow-up visits Evaluating our systems & procedures Agency feedback S t r i v i n g f o r E x c e l l e n c e 62

63 FINAL BALANCE Decentralization works Merit is more than mechanics Future of HR profession S t r i v i n g f o r E x c e l l e n c e 63

64 BALANCING A JOINT ACCOUNT-ABILITY Human Resources Program Evaluation After Decentralization Questions?? S t r i v i n g f o r E x c e l l e n c e 64