HomeMy WebLinkAbout021411_PACKET Sandi Sterker OP Members:
Chair % j05 1 _ Lawrence Chaffin Jr.
�
Linda Faye Collins
Dirk Apao '`a
Vice-Chair
oP
COST CONTROL COMMISSION
MEETING NOTICE AND AGENDA
Monday'. February 14, 2011
1:30 p.m.
Mo'ikeha Building- Liquor Conference Room 3
4444 Rice Street, Lihu'e, Kauai 46766
Taking of Oath for Commissioners: Brant Fuchigami, G1ennTakenouchi and
Laurie Yoshida
CALL TO ORDER
APPROVAL OF AGENDA
APPROVAL OF MINUTES
Regular meeting minutes of December 13, 2010.
BUSINESS
CCC 2011-01 Update from County Auditor Ernesto G. Pasion, on the Pre-Audit
Assessment on the feasibility of converting the Department of
Personnel Services into a human resources function.
(a) Pre-audit Assessment, dated January 14,2011, from County Auditor
Ernesto G. Pasion.
CCC 2011- 02 Update from County of Kauai Energy Specialist Glenn Sato on the status
of the County's Energy Savings Performance Contract RFP.
CCC 2011-03 Discussion and possible decision making with IT Manager Brandon
Raines on various issues relating to the County's Internet Usage Policy.
(a) Cope of the County of Kauai Information Technology Team
Division Computer, Email and Internet Usage Policy.
CHAIR'S ANNOUNCEMENT
Next meeting, 1:30 p.m. on Monday, March 14, 2011, at the Mo'ikeha Building in
the Liquor Conference Meeting Room 3.
EXECUTIVE SESSION
Pursuant to Hawaii Revised Statues §92-7(a), the Commission may when deemed
necessary hold an executive session on any agenda item without written public notice
if the executive session was not anticipated in advance. Any such executive session
shall be held pursuant to Hawaii Revised Statues §92-4 and shall be limited to the
items described in the Hawaii Revised Statues §92-5(a).
ADJOURNMENT
PUBLIC COMMENTS and TESTIMONY
Persons wishing to offer comments are encouraged to submit written testimony at least
24 hours prior to the meeting:
1. Your name and if applicable,your position/title and organization you are
representing.
2. The agenda item that you are providing comments on; and
3. Whether you will be testifying in person or submitting written comments only.
4. If you are unable to submit your testimony at least 24 hours prior to the meeting,
please provide ten (10) copies of your written testimony at the meeting.
The length of time allocated to persons wishing to present verbal testimony may be limited
at the discretion of the chairperson or presiding member. Please send written testimony to:
The Office of Boards and Commissions
Attention: Boards and Commissions Support Clerk
4444 Rice Street, Suite 150
Uhu'e, Hawaii 96766
Phone: (808) 241-4920
Fax: (808) 241-5127
E-mail: myounCa,,kauai.gov
SPECIAL ACCOMMODATIONS
If you need an alternate format or an auxiliary aid to participate, please
contact the Boards and Commissions Support Clerk at (808) 241-4920 at
least rive (5) working days prior to the meeting.
t!' I
Regular Meeting of the Cost Control Commission - February 14, 2011
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OFFICE OF THE COUNTY AUDITOR
COUNTY OF KAUAI, STATE OF HAWAII
HALE PUMEHANA BUILDING
10MV 1 3083 AKAHI STREET, ROOM 203
LTHu'E,HAWAlf 196766-1102
Ernesto G.Pasion Telephone: (808)241-4178
County Auditor Fax: (808)241-6208 DYE
Email: auditor�kauai.gov
AA,N 14
January 14, 2011
TO: Cost Control Commission
FROM: Ernesto G. Pasion
County Auditor
SUBJECT: Pre-audit Assessment
Attached for your information is a pre-audit assessment by my office to determine the
feasibility of converting the Department of Personnel Services into a full-service human
resources function and consolidating employees performing personnel functions under the
human resources entity.
The pre-audit assessment concludes that such an audit is not feasible at this time because
there is no audit criterion that can be used to determine if the Department of Personnel
Services should be performing the full range of human resources activities. The existing
criterion defining the duties of the Department of Personnel Services is the Kaua'i County
Charter, which appears to limit the duties, and may not include the delivery of all the
human resources functions deemed necessary by the commission. Without legal guidance
regarding the department's charter authority, a performance audit to measure the
department's ability to perform as a full service human resources department is not
appropriate or feasible.
Please call me if you have any questions.
Attachment (1)
C: Jay Furfaro, Council Chair (w/o attachment)
CCC 2011-01 (a)
COUNTY OF KAUAI
PRE-AUDIT ASSESSMENT
Conversion of Personnel Services
Office of the County Auditor
1114/2011
[The pre-audit assessment was initiated to determine the feasibility of an audit regarding
whether the department or personnel services is or should be providing the full range of human
resources functions required by the county, and whether consolidating all county employees
who provide personnel-related functions would reduce costs and provide resources to provide
the expanded function.]
PRE-AUDIT ASSESSMENT
Pre-audit assessments are conducted only to determine the feasibility of audits. This
pre-audit assessment responds to the suggestion of the cost control commission for an
audit to determine whether the department of personnel services is or should be
providing the full range of human resources functions required by the county, and
whether consolidating all county employees who provide personnel-related functions
under the singular umbrella of the department would reduce costs and provide sufficient
resources to expand the department's functions.
Short Summary
The government auditing standards require that a performance audit to determine if the
department of personnel services is performing its required functions should measure
the department's performance "against stated criteria, such as specific
requirements, measures, or defined business practices..."
The department's authority under the Kaua'i County Charter may not include the
authority to provide the other human resource services contemplated or desired by the
commission. For this reason, there are no criteria or requirements against which to
measure whether the department is or should be providing the full range of human
resources functions needed by the county. Therefore, a performance audit is not
appropriate or feasible until the scope of the department's authority and jurisdiction is
defined.
Background
The department of personnel services consists of a director, a manager, four
professionals, a secretary, and a clerk. The secretary supports the department and the
civil service commission. The department has a ninth position, a clerk, which has been
kept vacant for cost-savings. Attachment A is a table of organization for the
department.
The pre-audit assessment was initiated by the cost control commission to provide it
information to determine whether the department of personnel services is or should be
providing the full range of human resources functions required by the county, and that
consolidating all county employees under the singular umbrella of the department would
provide sufficient resources to expand the department's functions.
Comparative Functions
A comparison of the functions performed by the Kauai department of personnel
services and its counterparts in the other counties is shown in the table below.
Function Hawaii County Maui County Honolulu Kauai County
Labor Relations X X X X
EEO X X X X
Recruiting X X X X
Classification X X X X
Employee X X X X
Assistance
Benefits X X
Training X X X Limited (most
conducted by
Mayor's Office
and Finance)
Sa aty_ X X
Workers'Comp X X
Civil Service I_X _X X X
Commission i
Health X
Workforce X X
Plannin
2
The Effect of Charter Lanquage
Since county personnel departments function according to the authority granted by
charter, it is not unexpected to find that counties with charters (and/or ordinances and
regulations) authorizing and requiring more personnel-related functions have personnel
departments that perform more functions. This may be the reason Hawaii County and
the City and County of Honolulu personnel departments perform more functions, as
shown above. Therefore, It can be argued that the services provided by the Kaua'i
personnel department are limited because it operates under less robust charter
language.
Kauai Charter Authority
The Kaua'i County Charter describes the duties of the department and the director of
personnel services in the language underscored below:
Department's duties: "Section 15.01. Organization. There shall be a
department of personnel services consisting of a civil
service commission, a director and the necessary
staff for the purpose of establishing a system of
personnel administration based upon merit principles,
devoid of any bias or prejudice and providing a
systematic and equitable classification of all positions
through adequate job evaluation."
Director's duties: "Section 15.04. Director of Personnel
Services......The director shall be the head of the
department of personnel services and shall be
responsible for the proper conduct of all
administrative affairs of the department, and for the
execution of the personnel program prescribed in this
charter and in the ordinances and regulations
authorized by this charter."
3
Comparisons With the Other County Charters
The following are excerpts from the charters of the other Hawaii counties relating to the
personnel departments and directors.
Maui County
Department's duties: No specific charter language
Director's duties: Heads the personnel services department,
responsible for the personnel management program
of the county, performs such duties as are established
under the State civil service laws (Charter section 8-
9.3)
Hawaii County
Department's duties: No specific charter language
Director's duties: Responsible for the human resources management
program with two duties. Major duties are equal
employment opportunity, personnel development,
personnel deployment, personnel relations and
personnel welfare including safety and workers'
compensation. Secondary duty is administration of
the civil services system. Also responsible for the
proper conduct of administrative affairs of the
department and for the execution of the human
resources management program prescribed by
charter, ordinances, laws and regulations (Charter
section 7-1.4)
City and County of Honolulu
Department's duties: Charter states the department's responsibilities are as
follows:
• establish a system of personnel
administration based on merit principles
and generally accepted methods
governing the classification of positions
and the employment,
• conduct, movement and separation of
public officers and employees,
• build a career service which will attract,
select and retain, on a merit basis, the
4
best qualified civil servants who shall
hold their offices or positions free from
coercive political influences with
incentives in the form of genuine
opportunities for promotions in order
that they may provide competent and
impartial service to the public according
to the dictates of ethics and morality.
In order to achieve these purposes, the
declared policy of the city states that the
personnel system be applied and
administered in accordance with the
following merit principles:
• equal opportunity,
• impartial selection,
• just opportunity for promotion,
• reasonable job security,
• systematic classification through
adequate job evaluation,
• proper balance in employer-
employee relations to achieve a
well-trained and productive
working force (Charter section 6-
1102)
Director's duties: Determines the applicability of city civil service
laws to employees or services in the executive
branch (Charter section 6-1103) and is
responsible for the proper conduct of the
administrative affairs of the department and for
the execution of the personnel program
prescribed in this charter and in the ordinances
and rules (Charter section 6-1105)
5
Analysis and Conclusion
The pre-audit assessment was initiated by concerns that the department of personnel
services is not performing the full range of human resources functions required by the
county or currently assigned as a responsibility of another department, and that
consolidating all county employees under the singular umbrella of the department would
provide it sufficient resources to expand its functions.
The Kauai County Charter requires performance audits to be conducted following the
Government Auditing Standards (also known as GALAS or the Yellow Book). The
relevant portions of charter section 32.02A.4 state:
".....The county auditor shall conduct or cause to be conducted all audits in
accordance with government auditing standards."
Under GALAS, a performance audit of the department to address these concerns
would be designed to "provide assurance or conclusions based on an evaluation of
sufficient, appropriate evidence against stated criteria, such as specific
requirements, measures, or defined business practices...so that management and
those charged with governance and oversight can use the information to improve
program performance and operations, reduce costs, facilitate decision making by
parties with responsibility to oversee or initiate corrective action, and contribute to public
accountability." GALAS section 1.25.
A performance audit to address the concerns about whether the department should or
could deliver the full range of human resources functions required by the county is not
advisable, because the department's authority under the Kauai County Charter appears
limited, and may not include the delivery of all the human resource services deemed
necessary by the commission. Without legal guidance regarding the department's
charter authority, a performance audit to measure the department's ability to perform as
a full service human resources department is not appropriate or feasible.
The commission could obtain a legal opinion about the scope of the department's
authority. If the opinion confirms that the department's authority is limited, the
commission could recommend a charter amendment to require the department to
provide the full range of human resource services required by the County. In addition to
changing the charter language, the commission could also request that the council pass
companion ordinances to further expand on the specifics of the desired human resource
function. When these additional requirements are codified in the charter and/or
ordinances, the department can be audited to determine whether it is fulfilling its duties
as required by the new charter language or ordinances.
6
. .
'
Other Considerations
Even if@Daudit is not conducted, the commission may be interested iOknowing the
level Of costs that may be necessary t0add services OF consolidate functions.
Attachment B, prepared bV the personnel services department, shows that personnel
functions are conducted bV employees iO other departments. The employees iOthe
various departments spend from 15 to 100 percent Of their time OO personnel matters,
but transferring this time resource to the personnel services department may result in
'
cost increases, �th8[than G8V(OgS.1 For BX8QOpl8' �@O8DlplOV88 spends the Dl8]O[it«
Df his OF her time doing non-personnel duties such 8S serving 8S8 fiscal officer O[
department head secretary, if would not make sense tO move the employee tothe
personnel services department and create a new position to perform the primary (non-
personnel) duties. For this reason, the likely positions available for transfer into the
personnel services department may b8 the five employees who spend 100 percent of
their time doing pe[SDDD8l work for the parks, police, public works, and VVGt8[
d8pa[fOO8DtS. Even if the five positions are added fO the personnel services department,
the total Of 14 pO8(fiODS may still be insufficient to pPDV(d8 the full [@Og8 of human
resource services. As shown below, the counties providing more services have far
greater budgets and pOSifiODG. I[ (S also noteworthy that the Maui personnel department
has more than 14 pOSif(OO5 (18 in total) 8VBD if it DPOVideG almost the S@Dl8 SG[ViQBS as
K3U8'[
POSITIONS AND BUDGETS OF COUNTY PERSONNEL DEPARTMENTS /P/ 10/11\
County Authorized Positions Budget
Ho iolulu 94.88 $5,770,568
Hawai'i 27 $1,757,889
Maui 18 $1,422,510
1 It should also be noted that although employees perform person nel-related functions, it is an open
question whether they are all qualified or trained to perform these functions.
c Budget figures for Kaua'i are adjusted to exclude employer contributions for social security, workers'
compensation costs, and pension and other benefit costs, since the budgets of the personnel
departments in the other counties do not include these costs.
7
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Information TechnoloLyv
Documentation
Team Division � Nnrnber:ITP4024
Computer, Email and
Internet Usage
Policy
County of Kauai
Last Recision irate: 021149/49
1. SCOPEIPURPOSE:
The scope of this policy covers the County of Kauai computer hardware, Internet
connection and email system. The Information Technology Division is responsible for
maintaining computers, providing Internet access and an email system to the computer
users of the County. The purpose of this policy is to define proper use of these systems
and is applicable to every user of County computers, which are for business usage only.
This policy supersedes the Internet and E-mail Policy dated March 15, 2001.
11, APPLICABILITY:
The Computer, Email and Internet Usage Policy of the County of Kauai is applicable to
all employees of the County of Kaua'i except employees in Bargaining Unit 1. Therefore,
no Unit 1 employee shall utilize the County's computer system to access the Internet or
email, except while on temporary assignment {TA) to a position in another bargaining
unit that provides the employee with access and use of the Internet and email. If a Unit
1 employee becomes subject to this policy because of a TA to another position outside of
Unit 1 and a violation of this policy occurs, discipline shall be taken in accordance with
the Unit 1 contract.
NI. DEFINITIONS:
Network - interconnected group of computer equipment
User- Computer user authorized to be on the County network
IV.RESPONSIBILITY:
Use of County of Kauai computers, networks, Internet and email is a privilege granted by
management and may be revoked at any time for inappropriate conduct including, but
not limited to:
• Engaging in private or personal business activities;
• Sending chain letters;
• Handling material with pornographic or sexual content;
• Misrepresenting oneself or the County of Kauai;
• Engaging in unlawful or malicious activities;
• Using abusive, profane, threatening, racist, sexist, or otherwise objectionable
language in either public or private messages;
• Religious or political causes;
• Causing congestion, disruption, disablement, alteration, or impairment of
County networks or systems;
• Infringing in any way on the copyrights or trademark rights of others;
Date last revised:£12/09/49
Prepared by: Fric i{nutzen Page Number:
Reviewed by : Wallace Rezentes.ir
Original release date: March 15,2001
1%pproved by: IT Steering Committee
CCC 2011-03 {a}
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Information Teciinolo y
Documentation
Ceara Division Number:ITP0024
` Computer} Email and
Internet Usage
Policy i
County of Kauai
Last Revision Date:(11/09/09
• Using recreational games;
• Defeating or attempting to defeat security restrictions on County systems and
applications; and/or
• Using another person's account;
• Virus creation or propagation.
V.PROCEDURE:
A. Computer Use:
The County of Kaua'i provides computers, peripheral devices, servers and networks
to the extent required for daily operations. This equipment is property of the County
and will be maintained and moved by the County IT Division. Users need to protect
against unauthorized access to the County computers in their area. Users are not to
share their passwords with anyone, and are responsible for any misuse of their
authentication information.
The County provides licensed copies of software that is installed on computers. The
IT Division must approve and install all software. No County owned software may be
installed on non-County computers. No unauthorized software shall be installed on
County computers.
Files stored on County computers must be related to the County's Mission. No mp3,
mp4, wav, mpg, .jpeg, audio or video files not related to work are to be stored on
County computers. The County of Kauai is subject to inspection if its network and
computers by such groups as the RIAA (Recording Industry Association of America).
As part of the County's efforts to have a workplace free of harassment, the County
prohibits the use of computers, email or the internet in ways that are disruptive,
offensive to others, or harmful to morale.
B. Electronic Mail:
Electronic mail is provided as a communication toot for County business purposes.
Email messages should be written in a clear, concise, businesslike style, as these
communications represent the County. When sending emait, ensure they are
addressed to individuals authorized to receive the information contained in it, does
not contradict County policy, and does not contain statements that could be
construed as racist, sexist, insulting or otherwise offensive. Information or
attachments that are considered confidential should not be sent outside the County
Date last revised: (12/09109
Prepared by: Eric Knutzen I Page Number:
I 2/
Reviewed by: Wallace Rezentes.Jr
Original release date: :March IS,2001
Approved by: IT Steering Committee
Information Technology,
Documentation
Team Division tiumber:1'l'P0024
". Computer, Email and
Internet Usage
Policy
County of Kauai
Last Revision Bate:€12,109 109
network. Data sent outside the County's secure network is not secure and may be
read by others.
Computer viruses can be contained in email attachments which could replicate
through the County network, pose a security risk to County data, or hinder daily
operations. Do not open suspicious email attachments, or attachments from persons
you do not know.
All email messages are the property of the County, are subject to periodic,
unannounced inspection and may be disclosed without user permission. This includes
attachments included with email.
No email shall be retained on the County systems longer than 90 days.
County mailboxes may not exceed the limit of storage space. Users are responsible
for deleting or archiving email messages from their mailbox. The email system will
send warnings as mailboxes approach their size limits. If mailboxes reach their
limits, they will be automatically disabled. Users must contact the helpdesk to
reopen the mailbox; and must immediately clean the mailbox to prevent it from
being locked again.
C. Internet Use:
The County of Kauai permits access to the Internet to those who require it for
business purposes. Department heads may request employee access to the internet
via the Internet Access Request Form, attached as Exhibit A. Before access is
granted, the employee and department head shall sign the County of Kauai Internet
Access Agreement, Exhibit B, and Acknowledgement of Receipt, Exhibit C. All
employees are held responsible for abiding by this and all subsequent internet
policies.
Every County computer user is responsible for ensuring that the internet servvice will
be used in an efficient, ethical and lawful manner. The information Technology
Division monitors web sites that users visit and may disclose this information without
user permission. Internet usage is regulated by the rules of conduct listed above.
The internet is largely unsecure, thus leaving the County vulnerable to attacks from
hackers or viruses. For this reason, only IT personnel are allowed to download
software from the internet, or install any software on County computers.
Date last revised: 02/09/09
Prepared by- Eric Knutzen Pale Number:
34
Reviewed by : Wallace Rezentes Jr
Original release date: March 15,2€01
Approved by: IT'Steering;Committee
rANN.
Information Technology
Documentation
,_w-. Team i)1v1Sitltl Number:ITPOO24
_ m Computer, Email and
x Internet Usage
Policy
County of Kauai
Last Revision Date:02/09/09
The County purchases services that provide bandwidth, or the capacity for data
transfer of an electronic communications system. Restrictions must be placed on
Internet usage for security purposes and to prevent communications reaching
capacity. Web filters are in place to regulate the sites that may be visited, according
to the rules of conduct, and which assists in preventing over-usage of bandwidth.
Any time you have the Internet open, you are using bandwidth. Streaming media
such as internet radio and on-line videos are restricted, unless expressly approved for
business purposes, by submitting Exhibit B to the IT Division.
D. ACKNOWLEDGMENT OF RECEIPT:
The Acknowledgment of Receipt is attached as Exhibit C. When a new hire joins the
County, the personnel representative in the respective department will provide a
copy of this policy to the new hire. The new employee will read the policy and sign
the Acknowledgment of Receipt. The original signed copy is then to be filed by the
department's personnel representative, who also makes a copy and forwards to the
Personnel Department for inclusion in the employee's personnel files.
E. ATTACHMENTS:
Exhibit A. County of Kauai Add/Detete farm
Exhibit B. Internet Access Request Form
Exhibit C. Acknowledgment of Receipt
VI. NON-COMPLIANCE:
Non-compliance with the County's Computer, Email and Internet policy, guidelines or
procedures may result in the revocation of the Internet or email privileges and/or other
appropriate disciplinary action, including reprimand, suspension and termination of
employment in accordance with applicable bargaining unit agreements, or if warranted,
criminal prosecution or civil liability.
I hate last revised: 02/09,019 I
Prepared by Eric kr►utzeu I 1'afe Number:
-t'4
Reviewed by: Wallace Rerentes Jr
Original inal release(late: vtarch 15,2001
kpproved by: IT Steering Committee