RCSD Audit Human Capital Initiatives

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OFFICE OF AUD ITOR GENERAL

Human Capital InitiativesAudit

June 16, 2008


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Office of Human Capital InitiativesIndex

Report Section Pages

Executive SummaryConclusion 2Summary of Recommendations 3

Observations, Recommendations and Action PlansPolicies and ProceduresNew Hire ProcessVerification of Credentials and ReferencesFingerprintingRecruitingCertification and Probationary TrackingPerformance EvaluationsTermination ProcessHardship LeaveEmployee InvestigationsOther OperationsConfidentiality Statements

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Human Capital InitiativesExecutive Summary

OBJECTIVETo evaluate Human Capital Initiatives operations including the internal control environment, policies, procedures and compliance todetermine whether controls are appropriately designed and operating effectively.BACKGROUNDEffective July 1,2008, Human Resources was renamed Human Capital Initiatives (HCI) and a new Chief was announced. This auditevaluated operating practices in place as of June 30, 2008. The Human Capital Initiatives (HCI) department uses the PeopleSoftHuman Resources Management (HRM) module as their system of record. This module was not updated with the financial systemsupgrade performed in 2007. The human resource process is not completely automated in the HRM module. Many operatingprocesses are tracked on various spreadsheets throughout the office. HCI is responsible for human resource functions for over 6,000District employees. Human Capital Initiatives includes recruitment, hiring, employee retention, disciplinary actions, legal complianceand the employee termination process for all employees. The Human Capital Initiatives department is heavily governed by EmployeeLaw and several Union Agreements.SCOPETo evaluate the policies, procedures and controls surrounding processes utilized for Human Resources Management. We observedoperating processes to assess the control environment and evaluated efficiencies. Transactions were selected for testing and theexistence of documentation was reviewed. We also evaluated the timeliness and accuracy of data entry into the system.Documentation was reviewed for existence and compliance for key activities such as recruitment, hiring, discretionary benefits andtermination. Policies were evaluated to ensure significant business risks are managed. We also evaluated the procedures to compileand communicate Human Resources information to internal and external parties.


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Human Capital InitiativesExecutive Summary

CONCLUSION

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Human Capital InitiativesSummary of Recommendations


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Human Capital InitiativesObservations, Recommendations and Action Plans

Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer.-Narlene Ragans, Senior Personnel Analyst Due Date: April 1,2009


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New Hire ProcessVer if ic a ti on o f c reden ti a ls and re fe rences

Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer; Daisy McFarland, Certification Specialist D ue Date: July 1, 2009


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Responsibility: James Sheppard. Director Security Due Date: June 30, 2010


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ResponsibUity: Michele Hancock, Chief Human Capital Initiatives Officer; Lowan Brown, Recruitment Director Du e D a te : June 30, 2009


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Responsibility: Miche l e Hancock , Ch ie f Human Cap it al In it ia ti ve s Of fi ce r ; Da isy Mcf 'a r land -Ce r ti fl ca ti on Speci al is t Du e D a te : July 1 , 2 0 0 9

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Probat ionary Track ingEmployees initially hired by the District are placed on probation. Several instances were noted where the probationary status was not entered intothe system; this frequently occurred with civil service appointments. The reason given for not placing the probationary status in the system wasthat the status was expected to change. The hire and used to establish eenentsand other nPtTlnf'nt matters,

RespODsibUity: Michele Hancock, Chief Human Capital Initiatives Officer Due Date: September 30,2009

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Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer Due Date: June 30, 2009


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Human Cap it al I n iti at iv esObservations, Recommendations and Ac ti on P lans

Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer; Jamie Warren, HeI Director Du e D a te : July 1,2009

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H ar ds hip L e av eHa rd sh ip Le av e i s g ra n te d wh en a spe c if ie d c o nd it io n d e vi at es f rom be ing r eg u la r a nd be come s a n e x tr eme h a rd sh ip o r un fo re s ee n c ir cum st an c e.Ac co rd ing t o t he d if fe re n t u n io n con tr ac ts , H a rd sh ip Le av e i s g ra n te d upon t he f in a l a pp ro va l by t he Ch ie f Human Capi ta l I n it ia ti ve s O f fi ce r .O th er th an th e u n io n c on tr ac t w o rd in g t he re is n o d oc um e nta tio n t o s up po rt th e g ra nt in g o f h ar ds hi p l ea ve .

R e sp on s ib il it y: M i ch e le Hanco ck . Ch ie f Human Capi ta l I ni ti at iv e s O ff ic e r; N ancy P al oz zi , B e n ef it s D ir e ct or Due Da te : J u ne 3 0, 2 0 09


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Employee InvestigationsEmployee investigations are shared by various departments throughout the District. The main departments for investigations include theemployee's school or department, Safety, Legal, and Human Capital Initiatives. A new procedure was created in June 2008 for processing ofemployee While an rather than sent home withwithout

Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer; Alpha Daly-Majors. HCI Director Due Date: March 30, 2009


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Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer; Alpha Daly-Majors, HC! Director D ue Date: May 2009

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Other Operations

Management Responses:

Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer. Due Date: April 30, 2009


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/. '-"" " #, " '

" .. " '" . '" ~. .. " . ptionsJob Descrip t ions

Responsibility: Michele Hancock-Chief Human Capi ta l I n it ia ti ve s O f fi ce r; Lowan B rown , R e crui tm e n t D ir e ct or ; A l ph a Da ly -Ma jo rs , HC IDirector. Du e D a te : Decembe r 31 ,2009

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Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer; Narlene Ragans, Senior Personnel Analyst Due Date: April 30,

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Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer; Jamie Warren, HeIDirector D ue Date: March 31, 2009

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Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer Due Date: December 1,2009

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Responsibility: Michele Hancock, Chief Human Capital Initiatives Officer; Graciela Perez, HCI Director Due Date: March 1,2009

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RCSD Audit Human Capital Initiatives

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