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Home My WebLink About2023_0207_CSC_Packet_Open1.pdfCIVIL SERVICE COMMISSION BEVERLY GOTELLI, CHAIR FRANCIS KAAWA, VICE CHAIR JEFFREY IIDA, COMMISSIONER SHELLEY KONISHI, COMMISSIONER LAUREN O’LEARY, COMMISSIONER VONNELL RAMOS, COMMISSIONER Pursuant to Hawai'i Revised Statutes Section 92-3.7, which codified Act 220, SLH 2020 the meetings of the Civil Service Commission will be conducted as followings: • In addition to attendance in-person, the public may also attend the meeting by phone using the AUDIO Connection by Microsoft Teams and dialing the telephone number and conference ID provided on the agenda. • The public may also attend the meeting with Remote Access VIDEO by Microsoft Teams using the link provided on the agenda. • Written testimony may be submitted on any agenda item to smuragin@kauai.gov or mailed to the Civil Service Commission, c/o Office of Boards and Commission, 4444 Rice Street, Suite 300, Lihue, Hawaii 96766. Written testimony received by the Committee on the Status of Women at least 24 hours before the meeting shall be distributed to all members prior to the meeting. Any testimony received after this time and up to the start of the meeting will be summarized by the Clerk of the Commission during the meeting and added to the record thereafter. • Oral testimony will be taken during the public hearing portion of the meeting in-person at the public meeting location, by audio connection using the Microsoft Teams telephone number, or with video remote access by Microsoft Teams using the link and conference ID number as listed on the agenda. o All testifier audio and video will be disabled until it is your turn to testify. o If there are temporary technical glitches during your turn to testify, we may have to move on to the next person due to time constraints; we appreciate your understanding. • If the remote telephone or link connection is lost and cannot be restored within 30 minutes during the meetings, the Civil Service Commission will continue all matters and reconvene at the next scheduled Civil Service Commission Meeting. SPECIAL ASSISTANCE IF YOU NEED AN AUXILIARY AID/SERVICE, OTHER ACCOMMODATION DUE TO A DISABILITY, OR AN INTERPRETER FOR NON-ENGLISH SPEAKING PERSONS PLEASE CONTACT THE OFFICE OF BOARDS AND COMMISSIONS AT (808) 241-4917 OR ASEGRETI@KAUAI.GOV AS SOON AS POSSIBLE. REQUESTS MADE AS EARLY AS POSSIBLE WILL ALLOW ADEQUATE TIME TO FULFILL YOUR REQUEST. UPON REQUEST, THIS NOTICE IS AVAILABLE IN ALTERNATIVE FORMATS SUCH AS LARGE PRINT, BRAILLE, OR ELECTRONIC COPY. CIVIL SERVICE COMMISSION – February 7, 2023 PAGE 2 COUNTY OF KAUA’I CIVIL SERVICE COMMISSION MEETING NOTICE AND AGENDA Tuesday, February 7, 2023 3:00 p.m. or shortly thereafter Remote Access VIDEO by Microsoft Teams Click on the URL below or type the URL into your computer or smart phone https://bit.ly/3Qwu8li AUDIO Connection by Microsoft Teams Phone: 1-469-848-0234, Conference ID: 916 394 438# CALL TO ORDER IN OPEN SESSION (Open to the Public) ROLL CALL APPROVAL OF AGENDA PUBLIC COMMENTS AND TESTIMONY Individuals may orally testify on any agenda item at this time or wait for the agenda item APPROVAL OF MEETING MINUTES a) Open Session Minutes of January 3, 2023 COMMUNICATION CSC 2023-06 Memorandum from Managing Director Michael A. Dahilig dated December 27, 2022, regarding Meeting format (in-person, virtual or hybrid) DIRECTOR OF HUMAN RESOURCES REPORT CSC 2023-07 December 2022/January 2023 period, February 7, 2023 Meeting a) Grievances, Grievance Arbitration Hearings b) Workday c) HR Trainings d) Monthly Report from HR Divisions/Sections a. Administrative Services and Benefits b. Employee Development and Health Services c. HR Manager, Classification and Pay and Labor Relations d. Recruitment and Examination e. Payroll f. EEO/ADA CIVIL SERVICE COMMISSION – February 7, 2023 PAGE 3 BUSINESS CSC 2023-08 Discussion and decision-making concerning Memorandum from Managing Director regarding meeting formats to be in-person, virtual or hybrid. CSC 2023-09 Director of Human Resources Goals and Objectives for period July 1, 2022 to June 30, 2023. (on-going) a) Review updated report b) Discussion and possible decision-making on other related matters CSC 2023-10 Discussion and decision-making on possible changes to the format and/or contents contained in the Director of Human Resources Monthly Report. [Deferred 6/7/22, Cancelled Meeting 7/5/22, Deferred 8/2/22, Not on Agenda 9/6/22 and 10/4/22, Deferred 11/1/22, 12/6/22,1/3/23] CSC 2023-11 Discussion and decision-making on possible changes to the Goals and Objectives for period July 1, 2023 to June 30, 2024. a) Review Audit Report No. 15-01 and Audit Report No. 18-01 b) Possible formation of a permitted interaction group (PIG) pursuant to Hawai‘i Revised Statutes §92-2.5 (b) (1-2) to draft the Goals and Objectives for period July 1, 2023 to June 30, 2024. c) Discussion and possible decision-making on other related matters CSC 2023-12 Discussion and decision-making on possible amendments to the DHR Performance Evaluation Form a) Possible formation of a permitted interaction group (PIG) pursuant to Hawai‘i Revised Statutes §92-2.5 (b) (1-2) to amend the performance evaluation form. b) Discussion and possible decision-making on other related matters EXECUTIVE SESSION Pursuant to Hawaii Revised Statutes §92-4, the commission may hold executive meetings closed to the public upon an affirmative vote, taken at an open meeting, of two-thirds of the members present; provided the affirmative vote constitutes a majority of the members to which the board is entitled. Any meeting closed to the public shall be limited to matters exempted by section 92-5. The reason for holding such a meeting shall be publicly announced and the vote of each member on the question of holding a meeting closed to the public shall be recorded and entered into the minutes of the meeting. Pursuant to Hawaii Revised Statutes §92-7(d), after posting of the commission meeting agenda the commission may add an item to the agenda, including an executive meeting closed to the public, by an affirmative two-thirds recorded vote of all members to which the board is entitled; provided that no item shall be added to the agenda if it is of reasonably major importance and action thereon by the board will affect a significant number of persons. Items of reasonably major importance not decided at a scheduled meeting shall be considered only at a meeting continued to a reasonable day and time. CIVIL SERVICE COMMISSION – February 7, 2023 PAGE 4 ENTER INTO EXECUTIVE SESSION (Closed to the Public) CALL TO ORDER IN EXECUTIVE SESSION BUSINESS ES-04 Executive Session Minutes of January 3, 2023. Pursuant to Hawai‘i Revised Statutes §92-4, §92-5(a)(4), §92-9 (a)(1-4) and (b), the commission requests an Executive Session to approve or amend the executive session minutes of January 3, 2023, where consideration of matters affecting privacy will be involved and to consult with the Deputy County Attorney on issues pertaining to the Commission’s powers, duties, privileges, immunities, and/or liabilities of the Commission as they relate to this agenda item. ES-05 Deputy County Attorney Guidance on Commission interactions with a department head Pursuant to Hawai‘i Revised Statutes §92-4, §92-5(a)(4), and §92-9 (a) and (b), the commission requests an Executive Session to consult with the Deputy County Attorney on issues pertaining to the Commission’s powers, duties, privileges, immunities, and/or liabilities of the Commission as they relate to interactions with the department head, and permitted interactions under County and Hawai‘i law. ENTER OPEN SESSION (Open to the Public) CALL TO ORDER IN OPEN SESSION RATIFY ACTIONS Ratify actions taken by the Civil Service Commission in executive session for ES-04 and ES-05. ANNOUNCEMENTS: Next Scheduled Meeting: Tuesday, March 7, 2023 – 3:00 p.m. ADJOURNMENT cc: Deputy County Attorney Mark Ishmael cc: Director of Human Resources Annette Anderson COUNTY OF KAUAI Minutes of Meeting OPEN SESSION Board/Commission: CIVIL SERVICE COMMISSION Meeting Date: January 3, 2023 Location Boards and Commissions Conference Room with video remote access and audio connection by Microsoft Teams. Start of Meeting: 3:00 p.m. End of Meeting: 4:04 p.m. Present Chair Beverly Gotelli. Commissioners: Shelley Konishi, Lauren O’Leary, and Vonnell Ramos. Deputy County Attorney Mark Ishmael. Director Human Resources Annette Anderson (left at 3:15 p.m.). Office of Boards and Commissions Staff: Administrator Ellen Ching (left at 3:22 p.m. and rejoined the meeting by Teams at 4:02 p.m.) and Commission Support Clerk Sandra Muragin Excused Vice Chair Francis Kaawa and Commissioner Jeffrey Iida Absent SUBJECT DISCUSSION ACTION Call To Order Roll Call Chair Gotelli called the Open Session meeting to order at 3:00 p.m. and requested a roll call. Commission Support Clerk Sandra Muragin verified attendance and requested a verbal response of present or here; Commissioner Iida was excused Commissioner Konishi replied here. Commissioner O’Leary replied here. Commissioner Ramos replied here. Vice Chair Kaawa was excused. Chair Gotelli replied here. Deputy County Attorney Ishmael replied here. Director Human Resources Anderson replied present. Administrator Ching replied here. Support Clerk Muragin replied here. Quorum was established with four commissioners present. Approval of Agenda Ms. Konishi moved to approve the agenda, as circulated. Mr. Ramos seconded the motion. Motion carried 4:0. a) Civil Service Commission Open Session January 3, 2023 Page 2 SUBJECT DISCUSSION ACTION Public Comments and Testimony Ms. Muragin reported there was no one from the public in the audience, there was no one on Teams and she did not receive any written testimony. Business CSC 2023-01 Discussion and review of Roberts Rules of Order §4. The Handling of a Motion. Administrator Ellen Ching read the memo dated January 3, 2023, from Commission Support Clerk Sandra Muragin. With no questions or clarification Chair Gotelli moved on to the next agenda item. Approval of Meeting Minutes a) Open Session Minutes of December 6, 2022 Mr. Ramos moved to approve the Open Session minutes of December 6, 2022, as circulated. Ms. O’Leary seconded the motion. Motion carried 4:0. Director of Human Resources Report CSC 2023-02 November/December 2022 period, January 3, 2023, meeting. a) Grievances and Grievance Arbitration Hearings b) County Council Meetings c) Workday d) HR Trainings e) Holiday Parades f) Monthly Report from HR Divisions/Sections a. Administrative Services and Benefits b. Employee Development and Health Services c. Other d. HR Manager, Classification and Pay and Labor Relations e. Recruitment and Examination f. Payroll g. EEO/ADA Director of Human Resources Annette Anderson briefed the commission on the Civil Service Commission Open Session January 3, 2023 Page 3 SUBJECT DISCUSSION ACTION November/December 2022 period, January 3, 2023, report. (Report on file) Ms. Anderson shared the following updates; • All grievances are looked at for any root causes or similar incidences that would benefit from a training plan. • Workday was the largest contract project in the county’s history. HR has trained 1,300 employees. • Highlighted page 4 HR Manager, Classification and Pay and Labor Relations. She appreciated the tedious work that HR Manager’s Janine Rapozo and Jill Niitani put in for the annual vacancy report needed for the 2024 fiscal budget. Ms. Anderson suggested bringing her division heads from the HR department beginning at the next meeting. The commission could put a face to the name and the division heads would introduce themselves and explain which division they oversaw. The commission liked the idea. With no questions from the commission Ms. Anderson left the meeting at 3:15 p.m. and Chair Gotelli moved on to the next agenda item. Business CSC 2023-03 Director of Human Resources Goals and Objectives for period July 1, 2022 to June 30, 2023 (on-going) a) Review updated report b) Discussion and possible decision-making on other related matters Chair Gotelli said the commission was not bound to reuse the same forms and recommended they review the evaluation and goals and objectives and make suggestions to update or change the form at the next meeting. Ms. Ching suggested the commission form a Permitted Interaction Group (PIG) at the next meeting to develop new goals and objectives for period July 1, 2023 to June 30, 2024. Ms. Konishi moved to receive CSC 2023-03 DHR Goals and Objectives for period July 1, 2022 to June 30, 2023, for the record. Mr. Ramos seconded Civil Service Commission Open Session January 3, 2023 Page 4 SUBJECT DISCUSSION ACTION the motion. Motion carried 4:0. CSC 2023-04 Discussion and decision-making on possible changes to the format and/or contents contained in the Director of Human Resources Monthly Report. [Deferred 6/7/22, Cancelled Meeting 7/5/22, Deferred 8/2/22, Not on Agenda 9/6/22 and 10/4/22, Deferred 11/1/22, 12/6/22] Mr. Ramos moved to defer CSC 2023-04 Discussion and decision-making on possible changes to the format and/or contents contained in the Director of Human Resources Monthly Report. Ms. O’Leary seconded the motion. Motion carried 4:0. CSC 2023-05 Update on vacant commissioner positions a) Administrator Ellen Ching to share updates Ms. Ching shared that due to the holidays she was not successful in contacting a potential volunteer; however, with the new year she would follow up. Ms. O’Leary asked how many open positions were vacant. Ms. Ching replied one. Executive Session Ms. Ching read the Hawai‘i Revised Statutes to move the meeting into Executive Session. Pursuant to Hawaii Revised Statutes §92-4, the commission may hold executive meetings closed to the public upon an affirmative vote, taken at an open meeting, of two-thirds of the members present; provided the affirmative vote constitutes a majority of the members to which the board is entitled. Any meeting closed to the public shall be limited to matters exempted by section 92-5. The reason for holding such a meeting shall be publicly announced and the vote of each member on the question of holding a meeting closed to the public shall be recorded and entered into the minutes of the meeting. Pursuant to Hawaii Revised Statutes §92-7(d), after posting of the commission meeting agenda the commission may add an item to the agenda, including an executive meeting closed to the public, by an affirmative two-thirds recorded vote of all members to which the board is entitled; provided that no item shall be added to the agenda if it is of reasonably major importance and action thereon by the board will affect a significant number of persons. Items of reasonably major importance not decided at a scheduled meeting shall be considered only at a meeting continued to a reasonable day Civil Service Commission Open Session January 3, 2023 Page 5 SUBJECT DISCUSSION ACTION and time. Chair Gotelli asked for a motion to enter executive session. Ms. Konishi moved to enter Executive Session. Mr. Ramos seconded the motion. Motion carried 4:0. Open session ended at 3:22 p.m. Call To Order In Open Session Chair Gotelli called the Open Session meeting back to order at 4:02 p.m. Ms. Ching rejoined the open session meeting by Teams. Quorum was established with four commissioners present. Ratify Actions Ratify actions taken in executive session for ES-01, ES-02, and ES-03. Mr. Ramos moved to ratify actions taken in executive session for ES-01, ES-02, and ES-03. Ms. O’Leary seconded the motion. Motion carried 4:0. Announcements Next Meeting: Tuesday, February 7, 2023 – 3:00 p.m., in the Boards and Commissions Conference Room, Piikoi Building, 4444 Rice Street, Suite 300, Līhu‘e, HI 96766 Adjournment Chair Gotelli asked for a motion to adjourn. Ms. O’Leary moved to adjourn the meeting. Mr. Ramos seconded the motion. Motion carried 4:0. Chair Gotelli adjourned the meeting at 4:04p.m. Civil Service Commission Open Session January 3, 2023 Page 6 Submitted by: ________________________________________ Reviewed and Approved by: _________________________________________ Sandra Muragin, Commission Support Clerk Beverly Gotelli, Chair ( ) Approved as circulated. ( ) Approved with amendments. 4444 Rice Street, Suite 235 • Līhu‘e, Hawai‘i 96766 • (808) 241-4900 (b) • (808) 241-6877 (f) An Equal Opportunity Employer OFFICE OF THE MAYOR DEREK S.K. KAWAKAMI, MAYOR MICHAEL A. DAHILIG, MANAGING DIRECTOR 000000 MEMORANDUM TO: All Board, Commission, and Committee Chairs FR: Michael A. Dahilig Managing Director DATE: December 27, 2022 RE: Meeting format (in-person, virtual or hybrid) ______________________________________________________________________________ In the early months of 2020 and at the start of COVID-19, County functions pivoted in variety of ways to maintain County operations and to safeguard public health and safety. As we learned more about how to mitigate the impacts of COVID-19 and the Governor ended the last emergency proclamation related to COVID-19 in March 2022, we started a return to our normal operations. Since then, the County’s Boards, Commissions, and Committees have conducted in-person meetings, virtual meetings, or a hybrid of both – and both types of meeting formats are allowed under a newly revised Chapter 92, Hawaii Revised Statutes. We understand each Board, Commission, Committee, and its members are unique and have unique needs. Thus, rather than issue a blanket directive fr om our office on how meetings should be conducted, it is prudent to leave that decision to each individual Board, Commission and Committee to determine what works best for your members as a body to be able to conduct business accordingly whether it be hybrid, all digital, or only in-person. If you have any questions, please do not hesitate to contact myself or Ellen. Happy New Year and Mahalo for your service! CSC 2023-06 DEPARTMENT OF HUMAN RESOURCES DIRECTOR’S REPORT TO THE CIVIL SERVICE COMMISSION February 7, 2023 Meeting Report Covering December 2022/January 2023 Grievances and Grievance Arbitration Hearings Pending grievance arbitration hearing scheduled for February 6 – 17, 2023. If it goes forward, HRD will not be able to attend the February 7, 2023 Civil Service Commission (CSC) meeting. HR Staff will attend, introduce themselves to the Commissioners and briefly describe their job duties. One union continues to submit numerous grievances and notices of intent to arbitrate. Since last CSC meeting two grievances and two notices of intent to arbitrate have been submitted. The allegations of some grievances pertain to one department that does not timely produce requested information within seven days from receipt of the grievance. DHR has talked to the division head and changes in procedures will occur so that Department can better track the timelines for producing requested information, schedule grievance meetings, and issue grievance responses. Overall, the allegations in these grievances and the pending arbitrations do not reveal evidence of any frequent root causes that would benefit from a training plan for departments. [Goal 4, Objective G4A., Success Measurement 1 – ongoing] Workday: We successfully issued payroll checks from the new Workday system on January 13, 2023. The HRD attended numerous Workday meetings, approximately twenty-three since the last Civil Service Commission report was submitted. At the request of UPW, a second presentation and training workshop was presented on January 5, 2023 to the leadership of UPW (State Director and Deputy from Oahu), the local Kauai union agents, and the Chief Stewards to address additional questions posed by membership concerning Workday. The union made various suggestions for future trainings for all members, which is being considered. [Goal 2, Objective G2A., Success Measurements 1 and 2. – ongoing] [Goal 3, Objective G3A & G3B., Success Measurements 1, 2, 3.– ongoing] CSC 2023-07 2 HR Trainings: Although not in person, we continue to provide all employees with Workday trainings through “Wiki” newsletters that give updates/tips. Safety training was provided by our Safety and Security Officer to one department that had previous issues with an employee yelling and pounding fists at the work location. ADA/EEO Coordinator conducted two trainings in December, HR and KPD. [Goal 3, Objective G3A & G3B., Success Measurements 1, 2, 3.– ongoing] 3 Monthly Report from HR Divisions/Sections Administrative Services and Benefits: • Provided guidance to departments on various personnel issues, including internal investigations, disciplinary actions, performance reviews and improvement plans, employee assistance program (EAP), conflict/complaints, attendance/leave, benefits, drug/alcohol testing, ADA accommodations, etc. • New Hires 1 Councilmember (elected) 1 COVID-19 Response & Recovery Support Asst. (exempt) 1 Liquor Licensing Clerk (exempt) 2 Ocean Safety Officer I (exempt) 1 Program Specialist I (exempt) 1 Wastewater Chemist (exempt) • Exit Interviews (Retirees): 11 of 11 • TDI Applications None • Family Leave: 5 approved • Leave Sharing: None • Reference Checks: 20 • Employment Verifications: 1 • Transactions Totals: New Hires 7 Separations 10 Reallocations 8 Promotions 10 Demotions 1 Transfers 26 Pay Increase 10 Suspension 0 Leave Without Pay 0 *Misc. Change Forms 10 **Other 188 89-Day 12 Seasonal 0 *Miscellaneous Change Forms include expense distribution changes, schedule changes, personal data changes, etc. **Other includes end of/extension of TR, add/delete add pay codes, amended PCs, extension of initial probation, rescinded PCs, term of contract/contract appointment PCs, etc. Employee Development and Health Services: • Provided guidance to department supervisors and employees on various safety-related issues and concerns. 4 • Three (3) new workers’ compensation claims were filed this month: Three (3) indemnity claims. • Next bi-monthly reviews of selected workers’ compensation claims scheduled for February 7, 2023. • Bloodborne Pathogens Training provided Kaua‘i Fire Department new hires (2). Training was held on December 7, 2022 and conducted by James Stevens. • Equipment/Driver Training: Clipper Training (2 Parks and Recreation employees) Mini Excavator (1 Parks and Recreation employee) Bucket Truck Training (2 Public Works employees) Forklift training (3 Kauai Police Dept employees) Mini Backhoe cemetery (1 Parks and Recreation employee) Skid steer Training (1 Public Works employee) Other: HRMS Project: • County went live with Workday on December 19, 2022. • In final preparation for Go Live, staff completed post validation audits of the Gold tenant. Staff continued to maintain three (3) systems in preparation of our Go Live (i.e., current CentralSquare system, Workday Training Tenant, and Workday Gold Tenant). Completed catch-up transactions and continuing to provide support to the departments and employees. • Last paychecks in the legacy CentralSquare system issued on December 30, 2022. • First paycheck in Workday was January 13, 2023. HR Manager, Classification and Pay and Labor Relations: • An additional five (5) “Workday Wikis” have been sent out to all employees on topics which included how to input holiday administrative leave, Workday’s application downtime, what to expect on Workday’s first paycheck, elimination of the overtime request form and clarification on the clear function on timesheets. • Change Ambassadors meeting continue to be held monthly to provide updates to all departmental representatives as well as to hear from all departments on how their Associates are doing with Workday. • A labor-management meeting was held with SHOPO to finalize nine (9) supplemental agreements and to discuss a variety of topics including temporary hazard pay, alternate work schedules, subsidized vehicles, critical incident protocols and retention bonuses. • Budget review meetings will be started later in the month with all departments. • Reallocations Processed: Aging and Disability Services Technician to Community Service Program Assistant Building Permit Clerk I to Code Enforcement Inspector Computer Systems Support Technician I to Information Technology Specialist V Customer Relations Assistant to Customer Service Representative II DMV Service Representative II to Senior Clerk Engineering Drafting Technician II to Civil Engineer V Fire Fighter Trainee to Ocean Safety Officer I Grant Accounts Specialist to Real Property Valuation Analyst I 5 Janitor II to Plant Electrician Janitor Working Supervisor to Code Enforcement and Permit Operations Clerk Ocean Safety Officer I to Ocean Safety Officer II Program Support Assistant II to Field Operations Clerk Refuse Collector to Wastewater Plant Operator II Refuse Collector to Wastewater Plant Operator III Sanitary Chemist II to Wastewater Chemist Sewer Maintenance Repairer I to Sewer Maintenance Helper Solid Waste Operations Superintendent to Solid Waste Operations Supervisor TAT Tax Clerk to Compliance Assistant Water Services Investigator II to Water Services Investigator I • Desk Audits: Solid Waste Operations Supervisor • New Classes Adopted: None • Administrative Reviews: None • Class Amendments Completed Accountant IV Construction Inspector III County Landfill Worksite Supervisor Equipment Operator I Equipment Operator II Equipment Operator III Equipment Operator IV Landfill Working Supervisor Procurement & Specifications Specialist VI Solid Waste Operations Supervisor Supervising Construction Inspector Recruitment and Examination • New HR Specialist I started work January 16, 2023 • Met with KPD command staff to discuss a standardized process for the recruitment of Officers for specialized units • Recruitment: Account Clerk Accountant IV (Exempt) Background Investigator (Exempt) Bus Driver (Substitute) (Exempt) CIP Coordinator (Exempt) Code Enforcement Inspector (Exempt) Community Service Assistant Compliance Assistant (Exempt) Customer Service Representative I Customer Service Representative II 6 Detention Facility Worker (Exempt) Emergency Management Staff Officer Emergency Management Staff Specialist I Emergency Management Staff Specialist II Emergency Management Staff Specialist III Emergency Management Staff Specialist IV Evidence Custodian Assistant (Exempt) Executive Operations Manager (Exempt) Fire Fighter Trainee Heavy Vehicle & Construction Equipment Mechanic II Housing Self-Sufficiency Specialist I (Exempt) Landfill Operations Assistant Legal Clerk I Legal Clerk II Parks and Recreation Administrative Aide (Exempt) Pipefitter Plant Electrician Police Records Technician I Principal Project Manager Project Assistant Project Manager Project Coordinator PW GIS Program Specialist (Exempt) Recycling Program Coordinator Senior Project Manager Sexual Assault Forensic Nurse Examiner (SANE) (Exempt) Van Driver (Substitute) (Exempt) Waterworks Inspector III • Lists Referred to Departments: Accountant II Accountant IV (Exempt) Automotive Storekeeper I (Exempt) Background Investigator (Exempt) Battalion Fire Chief Beautification and Parks Maintenance Supervisor Bus Driver (Substitute) (Exempt) CIP Coordinator (Exempt) Clerk-Dispatcher I (Exempt) Code Enforcement Inspector III (Exempt) Compliance Assistant (Exempt) Detention Facility Worker (Exempt) Driver License Examiner II Evidence Custodian Assistant (Exempt) Executive Operations Manager (Exempt) Housing Assistance Specialist III (Exempt) Housing Self-Sufficiency Specialist I (Exempt) 7 Information Technology Specialist V Ocean Safety Officer I Park Caretaker I Park Security Coordinator Parks and Recreation Administrative Aide (Exempt) Police Sergeant/Detective Process Server Public Housing and Development Specialist III (Exempt) PW GIS Program Specialist (Exempt) Senior Clerk Sexual Assault Forensic Nurse Examiner (SANE) (Exempt) Utility Worker (Exempt) Van Driver (Substitute) (Exempt) Veteran’s Cemetery Caretaker Water Microbiologist IV Water Service Investigator I Winter Fun Program (Exempt) • Written Exams Administered: Assistant Water Plant Operator Beautification & Parks Maintenance Supervisor Highway Construction & Maintenance Supervisor I Landfill Operations Assistant Park Security Coordinator Park Security Officer I (2) Pipefitter Helper Police Services Officer Scale Attendant I (2) Solid Waste Worker I (2) • Performance Exams Administered: Ocean Safety Officer I • Administrative Reviews: None Payroll: • HRMS System/Project ❖ Continued clarification with Core Workday Team on processes and upkeep/audit ❖ Continuing standing Meetings with Accenture/Payroll Support Staff to go over questions ❖ Continued Multiple Weekly Meetings with Project Team & Accenture, Absence, Benefits, Payroll, Data Team, and Time Track ❖ Tracking system of current and future changes in anticipation of Gold Tenant ❖ Ongoing security groups/access discussions ❖ Addressing Issues with EUTF to obtain complete files ❖ Accenture consultant came to Kauai for one week to assist payroll with implementation and addressing issues with Workday • December 2022 Gross Payroll: 8 15th 4,684,889$ EOM 4,110,288$ EUTF ACTIVE 771,365$ EUTF ACTIVE - DOW 46,948$ EUTF OPEB 537,421$ EUTF RETIREE 903,746$ ERS (RETIREMENT)2,308,967$ SOCIAL SECURITY 329,720$ MEDICARE 121,482$ PTS SS SAVINGS 6,732$ EEO/ADA Employee Investigations KPD ADA Technical Guidance Provided to Office of Pros. Atty, Public Works, Parks & Recreation Training Provided Two trainings in December, HR and KPD On-Going Projects 1. Monitoring ADA & EEO policy changes 2. Creating ADA training specifically for different departments 3. Department of Health, Office of Language access COK CSC DHR Goals & Objects 2.16.21 to 2.15.22 06.30.22 (Approved 04.06.21) (Extension Approved 03.01.22) 1 | Page Goals and Objectives Report – COK Civil Service Commission Director of Human Resources Annette Anderson – Period July 1, 2022 to June 30, 2023 Goal #1 – Conduct review of Human Resources policies to determine if policies should be revised and/or new policies created. Develop communications action plan for staff, including any future updates on policies. Objectives Success Measurements Desired Outcome Status G1A. Identify and create a plan to address any outstanding items from “Follow-up Audit of County Hiring Practices: Report No. 18-01 G1B. Identify any Human Resources policies that should be revised and any gaps in existing policies. G1C. Draft and implement revised and/or new policies as deemed necessary to include a communications action plan. 1.Outstanding issues from “Follow-up Audit of County Hiring Practices: Report No. 18-01 are addressed. 2. Revised and/or new policies as implemented as needed. 3. Revised and/or new policies are successfully communicated to County personnel. 4.Quarterly reports are provided to the CSC to include update on outstanding audit issues and list of policies to be revised and/or created. Policies reflect best industry practices and meet the legal/operational needs of the County of Kauai. Policies are continually reviewed and amended to meet evolving circumstances and are successfully communicated to County personnel. 07/05/22-G1A-2&4: As was briefly discussed in a past commission meeting, news outlets continue to report on The Great Resignation, causing businesses to be understaffed and negatively impacting operations. SHRM (Society for Human Resource Management) reported on June 1, 2022 that April was the eleventh consecutive month that more than four million workers left their jobs, representing 2.9% of the labor force. Fortunately, the County of Kauai is not experiencing a greater number of voluntary resignations or retirements than in years past. The following tables provide the numbers of resignations and retirements and, as can be seen, there was no dramatic change since the beginning of COVID-19 in March 2020 through present. Total resignations (non-retirees) through May 31, 2022: Year Total Resignations 2017 43 2018 46 2019 47 2020 46 2021 48 2022 YTD 23 Total retirements through May 31, 2022: Year Total Retirements 2017 53 2018 64 2019 30 2020 52 2021 49 2022 YTD 6 This data supports the view that it is currently not necessary to recommend the creation of new policies that would address staffing needs and enhance retention. 11/01/22 (Sept/Oct) G1B-2: A meeting was held on September 28, 2022 with all public sector HR directors and their staff along with the head of Hawaii’s Employees Retirement System (ERS) and his staff to discuss various issues regarding compensation that may be credited for pension benefit calculations. More information will be forthcoming from ERS. The HRD was invited to a meeting with attorneys from the public sector jurisdictions, along with one of the County’s deputy county attorneys, to discuss other issues pertaining to ERS. More information will be forthcoming. The HRD accepted an invitation by the police union, SHOPO, to attend a presentation on September 28, 2022 to share the results of its survey of SHOPO members regarding working conditions, morale, staffing needs, and leadership by the police chief. SHOPO indicated it would provide HRD with a copy of the survey questions and answers but it has not yet been received. These meetings did not reveal a need to draft or revise any existing HR policies. 12/06/22 (Oct/Nov)-G1B-2: A meeting was held on October 12, 2022 with all public sector HR directors and their staff to discuss various issues stemming from the meeting with UPW regarding non-cost items. State will contact UPW regarding next steps. A meeting was held on October 20, 2022 with all public sector HR directors to discuss a ruling by the Intermediate Court of Appeal. HR directors will submit testimony when the case is transferred back to the Hawaii County Merit Appeals Board. A meeting was held on November 9, 2022 with all public sector HR directors to discuss a response to HFFA Unit 11 regarding its request to meet regarding salary schedule changes following arbitration award. These meetings did not reveal a need to draft or revise any existing HR policies. 01/03/23 (Nov/Dec)-G1B-2: Attended the County Council meeting on December 14, 2022 for approval for a vendor agreement regarding preparation of promotional examination and source materials for Ocean Safety Officers that included an attorney fees provision. Council approved. CSC 2023-09 a) COK CSC DHR Goals & Objects 2.16.21 to 2.15.22 06.30.22 (Approved 04.06.21) (Extension Approved 03.01.22) 2 | Page Goal #2 – Review and monitor the HRMS Human Resources Management System (HRMS) Project; assist with any multi-department issues. Objectives Success Measurements Desired Outcome Status G2A. Complete the process of implementing new HRMS. 1. Timelines and benchmarks are established and met for the completion of the work. 2. Monthly progress updates are provided to the CSC. Complete the migration to the new HRMS in order to realize the benefits of the project. 07/05/22-G2A-1&2: The HRD continues to attend the numerous HRMS meetings, which average four to six per day, Monday through Friday. Some meetings start as early as 6:00 a.m. due to the vendors’ international workforce. Testing of the various employment and payroll scenarios is close to completion. It will inform if we have met the thresholds established for variances so that the final tenant for Go-Live can be built. “Roadshows” for each department, which provide an overview of the Workday system, are happening in June with HR staff attending each department’s first Roadshow. July will entail reviewing and testing the “job aids” (how to use features in Workday) in preparation for training all employees, hopefully beginning in August. There will be in-person training, virtual training, frequently asked questions, and job aids. In addition, during the last quarter of the calendar year, employees will be able to enter their work schedules and timesheets into the new system, as if it were live. The information will then be moved over to the current payroll system which will continue to issue paychecks through December 31, 2022. This will give employees many weeks of practice prior to the go-live date. 11/01/22 (July/Aug)-G2A-1&2: The HRD continues to attend the numerous HRMS meetings, approximately thirteen since the last Civil Service Commission report by the HRD was presented on September 6, 2022. Modifications and amendments regarding implementation details are being made as necessary. Training continues throughout the month of September. As of September 19, 2022, 1,103 employees have been trained out of a total workforce of 1,337. Of those are yet to be trained, some are on long term leave and will be trained once they return from leave. 11/01/22 (Sept/Oct)-G2A-1&2: The HRD continues to attend the numerous HRMS meetings, approximately twenty-five since the last Civil Service Commission report presented on September 22, 2022. Modifications and amendments regarding implementation details are being made as necessary. The Kauai Police Department (KPD) has the most challenges due to their unique work schedules, extensive types of differentials that may change based upon a schedule, etc. An advance schedule program that was procured as part of the overall HRMS project (Humanity/TCP) was not totally compatible with Workday and thus was not beneficial for KPD. The HRMS core team, as well as KPD, are exploring other options for the future. The HRMS core team and KPD are working closely with Accenture (implementation vendor for the Workday product) to address various configuration changes with Workday in order to better serve KPD. Beginning October 1, 2022, there will be a phased in “live drill” of Workday. Certain departments will begin on October 1, 2022, followed by other departments on October 16, 2022 and November 1, 2022. This live drill will result in all employees using Workday for the remainder of the year rather than paper timesheets and leave requests. This will give employees (and managers) the ability to learn how to successfully use Workday before the January 2023 go-live date when paychecks will be issued through Workday. 12/06/22 (Oct/Nov) G2A-1&2: The HRD continues to attend the numerous HRMS meetings, approximately sixteen since the last Civil Service Commission meeting on November 1, 2022. Modifications and amendments regarding implementation details are being made as necessary. The phased in “live drill” of Workday is on-going and allows us to learn from issues that are raised by employees and managers. The Kauai Police Department (KPD) continues to have the most challenges due to their unique work schedules, extensive types of differentials that may change based upon a schedule, etc. The HRMS core team and KPD are working closely with Accenture (implementation vendor for the Workday product) to address various configuration changes with Workday in order to better serve KPD. On November 3, 2022, at the request of UPW, a presentation and training workshop was presented to the leadership of UPW (State Director and Deputy from Oahu), the local Kauai union agents, and the Chief Stewards to address questions posed by membership. Another meeting is tentatively scheduled for early January at UPW’s request. Unfortunately, an employee of Accenture made a mistake the week of November 14, 2022 and transferred data from one portal to the wrong portal, resulting in the system not working on the day that managers were to approve time entries. The HRMS core team and Accenture had multiple meetings to diagnosis and fix the error. Managers were given an extra day to input their approvals. Accenture has advised that the problems have been resolved. We have communicated with all Associates to keep them apprised of the problem and the fixes that have been implemented. 01/03/23 (Nov/Dec)-G2A-1&2: We successfully went live with Workday on December 19, 2022 and paychecks will come from the new system on January 15, 2023. The HRD attended numerous Workday meetings, approximately twenty-three since the last Civil Service Commission meeting on December 6, 2022. The managing director called for a full cabinet meeting on December 15, 2022 to assure that department heads and deputies were aware of the need for employees and COK CSC DHR Goals & Objects 2.16.21 to 2.15.22 06.30.22 (Approved 04.06.21) (Extension Approved 03.01.22) 3 | Page supervisors to timely submit the time entries into Workday in order to assure the successful transition from the training drill tenant to the actual go live tenant. At the request of UPW, a second presentation and training workshop will be presented on January 5, 2023 to the leadership of UPW (State Director and Deputy from Oahu), the local Kauai union agents, and the Chief Stewards to address questions posed by membership concerning Workday. COK CSC DHR Goals & Objects 2.16.21 to 2.15.22 06.30.22 (Approved 04.06.21) (Extension Approved 03.01.22) 4 | Page Goal #3 – Identify training priorities for Department of Human Resources staff and/or staff from other departments including developing plan for delivery of the training. Objectives Success Measurements Desired Outcome Status G3A. Work with HR Department staff and/or other departments to assess where they feel training is needed to address gaps in knowledge/skills. G3B. Based on assessment, develop a training program for HR Department staff and/or other departments to address improvements in knowledge/skills. 1. For HR staff training, each HR staff member is surveyed to determine needs. 2. For staff in other departments, work with department/division heads to identify training needs for the Department. 3. A training program is developed to address the priority training needs. 4. Quarterly progress reports are provided to the CSC. County Staff are better equipped to meet the needs of the County of Kauai. 07/05/22-G3A&G3B-1,2&3: The HRD continues to attend the numerous HRMS meetings, which average four to six per day, Monday through Friday. Some meetings start as early as 6:00 a.m. due to the vendors’ international workforce. Testing of the various employment and payroll scenarios is close to completion. It will inform if we have met the thresholds established for variances so that the final tenant for Go-Live can be built. “Roadshows” for each department, which provide an overview of the Workday system, are happening in June with HR staff attending each department’s first Roadshow. July will entail reviewing and testing the “job aids” (how to use features in Workday) in preparation for training all employees, hopefully beginning in August. There will be in-person training, virtual training, frequently asked questions, and job aids. In addition, during the last quarter of the calendar year, employees will be able to enter their work schedules and timesheets into the new system, as if it were live. The information will then be moved over to the current payroll system which will continue to issue paychecks through December 31, 2022. This will give employees many weeks of practice prior to the go-live date. 07/05/22-G3A&G3B-1,2&3: EEO Coordinator provided two accommodation trainings for new hires during each month. Also provided ADA technical guidance to seven departments 11/01/22 (July/Aug)-G3A&G3B-1,2&3: The HRD continues to attend the numerous HRMS meetings, approximately thirteen since the last Civil Service Commission report by the HRD was presented on September 6, 2022. Modifications and amendments regarding implementation details are being made as necessary. Training continues throughout the month of September. As of September 19, 2022, 1,103 employees have been trained out of a total workforce of 1,337. Of those are yet to be trained, some are on long term leave and will be trained once they return from leave. As mentioned above, there is a massive amount of HRMS trainings that began in early August and will continue through end of September. 11/01/22 (Sept/Oct)-G3A-1,2&3: The HRD continues to attend the numerous HRMS meetings, approximately twenty- five since the last Civil Service Commission report presented on September 22, 2022. Modifications and amendments regarding implementation details are being made as necessary. The Kauai Police Department (KPD) has the most challenges due to their unique work schedules, extensive types of differentials that may change based upon a schedule, etc. An advance schedule program that was procured as part of the overall HRMS project (Humanity/TCP) was not totally compatible with Workday and thus was not beneficial for KPD. The HRMS core team, as well as KPD, are exploring other options for the future. The HRMS core team and KPD are working closely with Accenture (implementation vendor for the Workday product) to address various configuration changes with Workday in order to better serve KPD. Beginning October 1, 2022, there will be a phased in “live drill” of Workday. Certain departments will begin on October 1, 2022, followed by other departments on October 16, 2022 and November 1, 2022. This live drill will result in all employees using Workday for the remainder of the year rather than paper timesheets and leave requests. This will give employees (and managers) the ability to learn how to successfully use Workday before the January 2023 go-live date when paychecks will be issued through Workday. 11/01/22 (Sept/Oct)-G3A&G3B-1,2&3: On October 6 and 10, 2022, members of the HRMS Core Team presented HR management with follow-up training on Workday 12/06/22 (Oct/Nov) G3A&G3B-1,2&3: The HRD continues to attend the numerous HRMS meetings, approximately sixteen since the last Civil Service Commission meeting on November 1, 2022. Modifications and amendments regarding implementation details are being made as necessary. The phased in “live drill” of Workday is on-going and allows us to learn from issues that are raised by employees and managers. The Kauai Police Department (KPD) continues to have the most challenges due to their unique work schedules, extensive types of differentials that may change based upon a schedule, etc. The HRMS core team and KPD are working closely with Accenture (implementation vendor for the Workday product) to address various configuration changes with Workday in order to better serve KPD. On November 3, 2022, at the request of UPW, a presentation and training workshop was presented to the leadership of UPW (State Director and Deputy from Oahu), the local Kauai union agents, and the Chief Stewards to address questions posed by membership. Another meeting is tentatively scheduled for early January at UPW’s request. Unfortunately, an employee of Accenture made a mistake the week of November 14, 2022 and transferred data from one portal to the wrong portal, resulting in the system not working on the day that managers were to approve time entries. The HRMS core team and Accenture had multiple meetings to diagnosis and fix the error. Managers were given an extra day to input their approvals. Accenture has advised that the problems have been resolved. We have communicated with all Associates to keep them apprised of the problem and the fixes that have been implemented. 12/06/22 (Oct/Nov) G3A&G3B-1,2&3: As noted above, members of the HRMS Core Team presented UPW staff with a presentation and training on Workday on November 3, 2022. COK CSC DHR Goals & Objects 2.16.21 to 2.15.22 06.30.22 (Approved 04.06.21) (Extension Approved 03.01.22) 5 | Page 01/03/23 (Nov/Dec)-G3A&G3B-1,2&3: We successfully went live with Workday on December 19, 2022 and paychecks will come from the new system on January 15, 2023. The HRD attended numerous Workday meetings, approximately twenty-three since the last Civil Service Commission meeting on December 6, 2022. The managing director called for a full cabinet meeting on December 15, 2022 to assure that department heads and deputies were aware of the need for employees and supervisors to timely submit the time entries into Workday in order to assure the successful transition from the training drill tenant to the actual go live tenant. At the request of UPW, a second presentation and training workshop will be presented on January 5, 2023 to the leadership of UPW (State Director and Deputy from Oahu), the local Kauai union agents, and the Chief Stewards to address questions posed by membership concerning Workday. 01/03/23 (Nov/Dec)-G3A&G3B-1,2&3: Although not in person, we continue to provide all employees with Workday trainings through “Wiki” newsletters that give updates/tips. Newly promoted KPD Sergeants (5) and Lieutenants (2) as well as a Unit 13 supervisor from the Crime Scene section were provided training by HR staff which covered supervisor roles and responsibilities, pertinent laws, policies, rules and processes, (employment laws, collective bargaining agreements, County policies, ADA, EEO, harassment, discrimination and retaliation, drug and alcohol testing, workers’ compensation, workplace violence and ethics policy) how to best handle employee issues (performance evaluations, discipline, investigations, and employee assistance program) and “how to stay out of trouble”. COK CSC DHR Goals & Objects 2.16.21 to 2.15.22 06.30.22 (Approved 04.06.21) (Extension Approved 03.01.22) 6 | Page Goal #4 – Review employee complaints in an effort to identify common root causes and implement appropriate training programs designed to address the most frequent root causes. Objectives Success Measurements Desired Outcome Status G4A. Review complaints filed over the past five years, if possible, to identify most frequent root causes. G4B. Work with Department Heads and key management personnel to review most frequent root causes and assess related training needs. G4C. Based on assessment, develop a training program for County of Kauai departments to address highest priority root causes. 1. Five year, if possible, review is completed and frequent root causes identified. 2. Department Heads and key management personnel participate in the development of the training plan. 3. A training plan/schedule is developed and implemented. 4. Claims are reduced over time. 5. Quarterly progress reports are provided to the CSC including statistics on the number of HR related litigation/lawsuits and settlements or awards that they are aware of. Report shall also include statistics by category on separation, termination, retirements, etc. to identify trends. Employee complaints are reduced for the County of Kauai, saving money, time and resources and creating a more positive work environment for all employees. 07/05/22-G4A-1: The HRD attended a grievance arbitration hearing from June 14, 2022 through June 16, 2022 that pertained to a termination from employment. The matter did not conclude so it was rescheduled to resume on Saturday July 16, 2022. The HRD is scheduled to attend a grievance arbitration hearing from July 18, 2022 through July 22, 2022 pertaining to an unpaid disciplinary suspension. The HRD attended a step 2 grievance on June 8, 2022 pertaining to a disciplinary written warning. The allegations in these grievances do not reveal evidence of any frequent root causes that would benefit from a training plan for departments. The incidents are from different departments and divisions and the conduct is not similar. 11/01/22 (July/Aug)-G4A-1: A Step 3 grievance meeting pertaining to a transfer request by an employee was heard on August 31, 2022. Thereafter, a decision was issued denying the grievance. A Step 2 grievance meeting pertaining to the termination of an employee for misconduct was heard on September 14, 2022. A written decision is being drafted. Three other grievances that pertain to the terminated employee were also filed, one as a class grievance regarding the discipline policies and the two others pertaining to responses to requests for information. Three separate Grievances meetings are being scheduled. A Step 3 class grievance pertaining to temporary hazard pay was submitted and will be heard in the next few weeks. The allegations in these grievances do not reveal evidence of any frequent root causes that would benefit from a training plan for departments. The incidents are from different departments and divisions and the conduct is not similar. The HRD is currently the lead investigator regarding a number of matters: • The Police Commission requested that an investigation be conducted regarding a complaint from a non- employee that was submitted to the Commission. The investigation is on-going. • An internal complaint that is required to be submitted to the HRD was investigated. It concerned an internal candidate who was informed she did not meet the minimum qualifications for the position. Following further clarification of information submitted, it was determined that the candidate did meet the minimum qualifications. • An internal complaint that is required to be submitted to the HRD was investigated. It concerned a department that withdrew a conditional offer of employment that was made to an outside candidate. The HRD issued a decision that allowed the candidate to continue with the recruitment process. • An internal complaint that is required to be submitted to the HRD is currently being investigated. It concerns an internal candidate who was informed that he did not meet the minimum qualifications for the position because of lack of County certification on two vehicles/equipment. A decision by the HRD will be issued shortly The allegations in these complaints do not reveal evidence of any frequent root causes that would benefit from a training plan for departments. The incidents are from different departments and divisions and the conduct is not similar. 11/01/22 (Sept/Oct)-G4A-1: A follow-up Step 2 grievance meeting pertaining to the termination of an employee for misconduct was heard on September 26, 2022. A written decision was issues denying the grievance. A related class grievance regarding the discipline policies was also heard, and the union will be providing additional information to DHR before a decision is issued. The HR directors from the various public sector employer jurisdiction met with UPW to discuss non-cost times from the last round of negotiations to attempt to reach agreement on some issues. The allegations in these grievances do not reveal evidence of any frequent root causes that would benefit from a training plan for departments. The incidents are from different departments and divisions and the conduct is not similar. The same is true of the meeting with UPW to discuss non-cost items. The HRD is currently the lead investigator regarding: • An internal complaint that is required to be submitted to the HRD was investigated following a meeting on September 20, 2022 with the complainant. Although the internal candidate did not meet the minimum qualifications for the position because of lack of County certification on two vehicles/equipment, he was provided with information as to how he can apply for positions that will allow for training on such equipment in the future. A decision was issued following the meeting. The allegations do not reveal evidence of any frequent root causes that would benefit from a training plan for departments. 12/06/22 (Oct/Nov)-G4A-1: Prepared for and testified at Civil Service Commission Appeal Hearing on October 4, 2022 regarding appeal from Internal Complaint investigation. Attended council meeting on October 19, 2022 for final approval of BU 12 and BU 15 cost bills for pay increases from arbitration awards. Heard two UPW Step 2 Grievances on October 20, 2022 regarding the same Grievant pertaining to return to work conditions and providing information pursuant to union’s request. Decision issued denying one grievance and sustaining in part, and in denying in part, the other grievance. COK CSC DHR Goals & Objects 2.16.21 to 2.15.22 06.30.22 (Approved 04.06.21) (Extension Approved 03.01.22) 7 | Page The allegations in these grievances and the appeal hearing do not reveal evidence of any frequent root causes that would benefit from a training plan for departments. The incidents are from different departments and divisions and the conduct is not similar. One of HRD’s investigators was tasked with conducting an investigation into a department employee wherein a non- employee alleged inappropriate behavior by the employee. The investigation is on-going. The allegations do not reveal evidence of any frequent root causes that would benefit from a training plan for departments. 01/03/23 (Nov/Dec)-G4A-1: Met with County Attorney, Deputy County Attorney, and Managing Director on December 12, 2022 regarding a pending grievance arbitration hearing. Heard two Step 2 Grievances on December 14, 2022, one regarding a written warning and another as a class grievance concerning a departmental reorganization. The allegations in these grievances and the pending arbitration do not reveal evidence of any frequent root causes that would benefit from a training plan for departments. The incidents are from different departments and divisions and the conduct is not similar. Goal #5 – Optimize payroll division functions and staffing related to eventual 100% centralized payroll and in connection with future automation with new HRMS system. Objectives Success Measurements Desired Outcome Status G5A. Identify any changes necessary within the payroll division in order to meet the needs of a 100% centralized system integrated with the new HRMS system. G5B. Implement necessary changes. 1. Develop timeline for movement of all county payroll functions to the HR Department. 2. Payroll functions are successfully integrated with HRMS in accordance with the implementation plan. 3. Quarterly progress reports are provided to the CSC. Payroll functions are consolidated within HR and automated to the greatest extent possible. Payroll is efficient and accurate, and meet the needs of the County of Kauai and its various departments. CSC 2023-11 a) Follow-Up Audit of Counfy Hiring Practices Submitted by Office of the County Auditor County of Kaua'i State of Hawaioi Report No. 18-01 CSC 2023-11 a) PREFACE This follow-up performance audit ofthe County of Kaua'i's Hiring Practices was desigred to examine the County's implementation of recommendations made in 20 1 5 regarding hiring practices. Spire Hawaii LLP ("Spire conducted this follow-up audit, as well as the 2015 audit, for the Office of the County Auditor. We would like to thank all who contributed data to this report, especially the County Departnent of Human Resources, the Deparunent of Public Works, and the Departrnent ofParks and Recreation. TABLE OF CONTENTS PREFACE EXECUTTVE SUMMARY C}IAPTER I I 3 6 6 6 8 8 lntroduction Audit Methodology CHAPTER 2 Audit Findings and Recommendations Finding 2. Documentation of Persorurel Actions Has Improved but Opportunities for Improvement Still Exist. Finding 3. Lack ofAdequate Documentation Proving Policies and Legal Requirements Have Been Followed Regarding Excluded Managerial Positions Creates Risk for the County AUDITEE RESPONSE Appendices I -3 - Job Description Examples Attachment I - Auditee Response 8 l3 l4 19 2 Finding L DHR Has Improved Its Processes but Has Not Completed Comprehensive Recruitnent Policies. EXECUTTVE SUMMARY This report presents the results of a follow-up audit of the County of Kaua'i's implementation of recommendations made in 2015 regarding hiring practices. Follow-up audits provide the necessary oversight of the County's progress toward implementing audit recommendations, which are intended to improve goverffnent accountability and efficiency. A performance audit of the County's hiring practices from January 1,2009, to December 31, 2013 was conducted in 2015 ("Hiring Audit").r The audit was desigrr.ed to answer the following questions: Is the County in compliance with applicable rules and regulations related to the hiring ofcivil service and exempt personnel? Does the County have sufficient controls in place to eflsure fair, uniform, and transparent selection of the best qualified employee for the position? The audit resulted in three findings and eight recommendations, which described the County's path to developing complian! clear, and well- communicated policies, processes, and procedures governing the recruitnent and hiring process. On behalf of the County, the Departnent of Personnel Services, now known as the Departrnent of Human Resources ("DHR"), agreed to the findings and recommendations. We found that after almost three years, the conditions described in the findings have not substantially changed because the County has not fully implemented five of the eight recommendations. Although the County, though the initiative ofDHR, has centralizd recordkeeping and reassessed certain hiring processes, it has not comprehensively reviewed and modified compliance with best practic€s and legal and collective bargaining requirements as described in recommendations 7.,2.,4., and 7. As a result, the County still lacks the comprehensive policies, procedures, and monitoring necessary to ensure compliance with Hawai'i Revised Statutes ("HRS") and County requirements when hiring and conducting promotions, transfers, and reallocations. t The audit report wa s ertitled Autlit ol County Hiring Practices, Report No. I 5-0 I . This rePort can be fouod through thc following link h@://www.kauai.gov/Government/Couaty-Counciyoffice-of-the-County- Auditor/Reports. 3 RECOMMENDATION STATUS 1. DHR should reassess current procedures and controls to ensure compliance with the HRS and Coturty policy to establish fair and consistent hiring, promotions, transfers and reallocations. PARTIALLY IMPLEMENTED 2. Internal policies should be reviewed for best practices, clearly written, regularly communicated to DHR stafi and held to the same standard of authority as HRS. NOT IMPLEMENTED 3. DHR should monitor the appointing authority to ensure all procedures are sufficiently followed. IMPLEMENTED 4. DHR should maintain an audit tail of sufficient documentation to support all personnel activity during an employee's career with the County. PARTIALLY IMPLEMENTED 5. Al1 documents should be aggregated and maintained in a single, secr.red file for each employee. IMPLEMENTED 6. The files should be kept on hand for record-keeping purposes and not be replaced with updated versions or discarded after an employee terminates. IMPLEMENTED 7. DHR should consult with the County Attomey to implement a comprehensive policy that ensures compliance with document retention ald maintenance requirements at the federal, state, and county levels. PARTIALLY IMPLEMENTED 8. DHR should ensure sufficient controls and procedures are in place for all types of persomel actions, in particular for those that allow civil service requirements to be bypassed as these subjects the County to the greatest amount ofrisk. NOT IMPLEMENTED 1 Additional actions are needed to fully implement the prior recommendations. To ensure the County's efforts to comply with requirements governing the hiring process, it should fully address the remaining five recommendations from the 2015 Hiring Audit. The auditee's response, included as Attachment l, was considered in finalizing this r€port and is discussed in greater detail on page 19. 5 lntroduction Follow-up audits monitor the County's implementation of audit recommendations. Audit recommendations, if followed, are intended to result in accountability and transparency, reduced costs, increased revenues, stengthened controls and safeguards, and improved seryices. These benefits can only be realized if audil recommendations are in fact implemented. Monitoring the County's implementation enables the public and policymakers to stay informed of the County's progress and to understand what is needed for full implernentation. Audit Methodology The Hiring Audit examined County policies, procedures, and practices during recruiting and hiring, and found the County did not consistently adhere to HRS and County policies when hiring and conducting promotions, tsansfers, and reallocations. This follow-up audit reviewed the changes made by the County to ad&ess the findings and recommendations and whether the changes addressed the audit findings. We issued a written survey to DHR to asc€rtain whether the audit recommendations were implemented. Because of the limited scope of the follow-up audit, we narrowed our testing to personnel activity from January l, 2017 to Decernber 31,201'1 , in the largest departments, the Department of Public Works ('DPW) and Department of Parks and Reoeation ("Parks").2 We issued questioffiaires to DPW and Parks regarding civil service hires, exempt hires, exempt hires for personal service conhacts, temporary hires, reallocations, and transfers. We sampled civil service hires and reallocations and utilized substantively the same procedures from the Hiring Audit to test for compliance and the implementation of intemal controls.3 2 Thc Watcr, Police and Fire Dcpartncnts werE trot included in the Hiring Audit or this follow-up audit ] The documents and repofls were [st€d on pages 9 to ll ofR€pofi No. l5-01. 6 CHAPTER 1 For the purposes of evaluating achievemsnt, we used the following definitions: IMPLEMENTED - where the departnent or agency provided sufficient and appropriate evidenc€ to support all elements of the recommendation. PARTIALLY IMPLEMENTED - where some evidence was provided but not all elements of the recommendation were addressed. NOT IMPLEMENTED - where evidence did not support meaningfiil movernent towards implanentation and/or where no evidence was provided We conducted lhis follow-up audit in accordance with generally accepted government auditing standards and the County Audit Manual, where practicable. Divergence from GAGAS and the County Audit Manual was required in the audit review process, because the County Auditor position is cuffently vacant. Information deerned confidential under the State open records law (HRS Chapter 92F) was omitted from this report. The detemrination of whether information was confidential was based on Office of Information Practices (OIP) Guideline No. 3, effective Septonber 7, 201 1 and OIP memorandum dated May I, 2002, "OIP Cuidance Regarding Disclosure of Agency Records and Information to Auditors." Under the guidance of these documents, the following were omitted as confidential: employee social security numbers and actual base rates ofpay and gross salaries for ernployees covered by or included in bargaining units as defined in the State collective bargaining law (HRS Chapter 76). 7 CHAPTER 2 Audit Findings and Recommendations Finding 1. DHR Has Improved lts Processes but Has Not Completed Comprehensive Recruitment Policies. RECOMMENDATIONS AI\D STATUS: This finding pointed out that the County did not consistently adhere to HRS and County policies when hiring and conducting promotions, hansfers, and reallocations because it lacked compliant, clear, and well-communicated policies, processes and procedures, and effective monitoring of compliance. In response, DHR states that it ensures continued compliance and internal controls by tacking bills during the legislative ssssion and by participating in collective bargaining negotiations and arbitrations. DHR states policy reviews and changes take place during weekly staffmeetings and monthly recruitnent divisional meetings. Minutes are taken at the meetings, the status of past follow-up topics are discussed, and futue follow-up tasks are identified. DHR provides a list of the changes it has implernented in response to the audit: 8 RECOMMENDATION STATUS l. DHR should reassess current procedures and conbols to ensure compliance with the HRS and County policy to establish fair and consistent hiring, promotions, transfers, and reallocations. PARTIALLY IMPLEMENTED 2. Internal policies should be reviewed for best practices, clearly written, regularly communicated to DHR stafl and held to the same standard of authority as HRS. NOT IMPLEMENTED 3. DHR should monitor the appointing authority to ensure all procedures are sufficiently followed. IMPLEMENTED a a Changed testing admissions procedures (need for admission ticket, use of phone, etc.) o Prior to this change, candidates who did not bring a physical copy of their admission ticket would be denied immediately. This was potentially seen as unfair for candidates who had tavelled to Kaua'i for the interview. Now, candidates are allowed to show the admission ticket on their phone if they don't have the hard copy. Clarified "progressively responsible" positions - ansure consistency in revlew o The term "progressively responsible" has historically been used to describe minimum qualifications for candidates. For example, "a candidate's work history has shown progressively responsible duties." DHR is in the process of specifically definhg experience in its Classification specifications. For example, pegging experiense to specific years ofsupervision would reduce some of the subjectivity of reviewers determining what experience qualifies as "progressively responsible." Reviewed all Section 3 hires weekly to ensure compliance o A Section 3 hire is a special second hte on an existing position number. These are utilized in special, unique situations such as succession planning, person out with an injury or on leave, etc. o DHR now reviews all Section 3 hires on a weekly basis to make sure the positions are filled appropriately. For example, they monitor if the injured person is retuming to work, etc., to ensure these special hires do not overstay their intended hiring. Reviewed interview form to check for discrepancies and ensure correct selection based on suitability and relatively equal standards o DHR now reviews the interview forms completed by the deparfnents to ensure the correct selection was made based on suitability and relatively equal standards. This includes adding information regarding total interview points available so the five percent "relatively equal rule" can be assessed. Reviewed interview form to ensure diversification of interview panel o DHR also reviews interview forms to ensure diversification of interview panel (e.g., ensuring a mix of gender and ethnicities are on the panel). 9 a o DHR created a chart for comparable levels across BUs to ensure Return to Work applicants are properly placed when retuming from an injury and are not ia line for an effective promotion because they retumed to work in a different BU. Clarified use of internal vs. intra-deparhnent recruitsnents o DHR clarified the definitions of internal, intra, and inter-department recruitments, and ultimately decided "intemal" meant the same as "inra." Created one location to receive job applications to eliminate confusion between internaUextemal applicants a o Previously, there were separate locations for application submission based on whether the applicant were internal or external users. Users were sometimes disqualified for submitting applications in the wrong location. To prevent such technicalities from undermining the recruitrnent process, DHR changed the system so only one location receives applications. DHR is to be commended for making these changes, which improve consistency and compliance. In doing so, they have made sigrificant progress toward developing a more sfuctuled and compliant recruitrnent system. However, challenges remain. We found no evidence that County policies, processes, and procedures havebeen systematically rcviewed and revised to ensure compliance with legal and collective bargaining requiranents concerning recruitnent and hiring. For example, while DHR did issue the NeoGov Insight Policy in 2015, a comprehensive County Recruitrnent Manual remains in &aft form since 2014. The DHR Director said she hopes to have it issued this year. Further, in reviewing DHR meeting minutes, it appears that while DHR tackles a number ofissues on a weekly basis, the focus appears to be more on "putting out fires" rather than completing comprehensive policies. For example, the Rules of the Director have not been updated since 2015 and still reference the Department of Personnel Services. The Internal Departrnental Competitive Recruitrnent Policy dated Novernber 29,2011has not bem updated, even though DHR has since eliminated the use of the term "intemal" when doing intra-departnental hiring. Created chart for comparable levels across bargaining units C'BU) - Standardization for Retum to Work applicants 10 Weaknesses in policies and procedures and the County's cenfralized approach to recruifinent and hiring may be the source ofpotential risk including lawsuits against the County caused by improper hiring. The County should consider deploying resourc€s to engage in a tansparent process to comprehensively review and document personnel policies and procedures to ensure decisions are legally compliant, adequately docurnented, and tansparent. A merit-based hiring and promotions system is necessary for efficient government operations. Consistent and compliant recruitrnent and hiring will maintain and strengthen the merit system. DHR is required to administer a civil service system that is based on the merit principle pursuant to HRS Chapter 76. As such, because DHR has begun to reassess its procedures but has not yet completed revisions to its internal policies, we concluded that recomrnendation I was partially implemented and recommendation 2 was not implernented. Recommendation 3 stated that DHR should monitor the appointing authority to ansure all procedures are sufficiently followed. During the 2015 Hiring Audit, we found DHR monitoring was lacking, creating risk of non-compliance and inconsistency. For that reason, we recommended increased DHR monitoring as an internal contol over the departrnents' recruitment and persormel activities. l1 Best practices for maintaining intemal controls in recruiting and hiring involve l) a process to build and maintain knowledge of relevant employment laws through regular legal and regulatory reviews, 2) legally compliant policies and procedures, and 3) a solid training program for managernent and staffon policies and procedures and legal obligations ofemployers. The County's review process for hiring, as described by DHR, falls short because it is internal to DHR, reactive and not systematic, and may overlook changes, especially in federal law and best practices. Additionally, while DHR did conduct training ovfi the use ofNeoGov, there is no evidence of systernatic training of anployees involved in the hiring process. To address these shortfalls, DHR could consider developing additional written or "how to" guidelines for each step of the hiring process. These could include standard operating procedures for each step, exceptions, and documentation requirements for key decisions. ln the process of developing the guidelines, deficiencies in the existing policies or processes could be identified and addressed. When the guidelines are developed, they could be used in a training progam, so DHR and departrnental staff are well-informed of the applicable requirernents. Additional written guidelines and training will contribute to hansparency. Ifpolicy and process requirements are widely discussed, non- DHR employees can understand the reasons for the requirements and changes. In addition, DHR should continue to familiarize themselves with HRS Chapter 76 and provide training (potentially through a contract with an expert in the field) on civil service law for themselves as well as other County departrnents. According to its response, DHR said it took the following steps after the 2015 Hiring Audit was completed: Conducted a tsaining for departrnental liaisons on the expanded use ofthe NeoGov online recruiting system Funneled all initial recruitrnent and hiring decisions through NeoGov for all civil service and exempt hires to allow for documented approvals by departnent heads, the DHR staff and director, and the Mayor Required the Applicant Interview and Evaluation Summary form to be completed and attached to the NeoGov record when processing an applicant for hire Instituted an additional hire approval step so DHR recruiEnent staff reviews the Applicant Interview Evaluation Summary Sheet to ensure all applicants on the eligible list are contacted for an interview and the selected applicant either had the highest interview score or was relatively equal to the applicant with the highest interview score Required attachment of the Request for Services Exernpt from Civil Service form to the NeoGov record to complete the firll documentation of the hire record Assumed responsibility for completing all reference checks, except for KPD hires Assumed responsibility for reviewing and preparing the Personnel Action Form for hire processing, including appropriate salary level ifoutside the collective bargaining agreement starting ratea Assumed responsibility for contacting the selected applicant with a conditional offer of employment and schedules all necessary pre- employment requirements including drug tests, physicals, background checks (except KPD anployees) The changes made by DHR to utilize the NeoGov system to improve documentation in personnel processes and improve pre-employment compliance are the reasons we found recommendation 3 to be implernented. DHR should continue to work with the deparErents to ensue that the new changes made by DHR do not go beyond monitoring. The hiring process should not be structured so that a single unit, eitlrer the hiring deparfrnent or DHR, takes so much control that it loses independence, and the ability to monitor. In other words, DHR should not centalize too much authority in itself, and instead serve the important role ofmonitoring decisionmakers so they comply with civil service and otho legal requirernents. a We clarified with the DIIR Dircctor tbat although DHR stated that it assumed responsibility for rcvicwing aud prcparing the Personnel Action Form, DHR still coders with the appointing authority and receives approval from d€parhetrt heads prior to the finalization ofpcrsonnel actions. t2 a a a a RECOMMENDATION STATUS 4. DHR should maintain an audit tail of sumcient documentation to support all personnel activity during an employee's career with the County. PARTIALLY IMPLEMENTED 5. All documents should be aggregated and maintained in a single, secured file for each ernployee. 6. The files should be kept on hand for record-keeping purposes and not be replac€d with updated versions or discarded after an employee te,rrninates 7. DHR should consult with the County Attomey to implernent a comprehensive policy that ensures compliance with document retention and maintenance requirements at the federal, state, and county levels. PARTIALLY IMPLEMENTED Fiuding 2. Documentation of Personnel Actions Has Improved but Opportunities for Improvement Still Exist. RECOMMEITDATIONS AND STATUS: In response to this audit finding, DHR cites the following improvements: Recruitsnent and hiring documentation is now filed through the NeoGov recruiting software, which allows for approvals to be documented electronically All employee files related to ernployment and pay and benefits are now centrally maintained at DHR in a single, secure file All past and current employee forms and documents are maintained as part of an employee's record Personnel files are kept for 30 years after an employee's separation date while olher HR files are kept for seven years However, as further discussed in recommendation 8, documentation related to the justification for certain reallocations to excluded managerid ("EM") positions could be improved in DHR's files. For this reason, we could not give full credit to the County for implernenting recommendation 4. a t a l3 IMPLEMENTED IMPLEMENTED We validated these remedial steps by testing supporting documentation for civil service hiring and reallocation procedures, noting all requested information was present. As such, we have concluded that recommendations 5 and 6 have been implemented. DHR states it has consulted with the County Attomey but is still waiting for a comprehensive docrlDent retention and maintanance policy that complies with federal, state, and county requirements. In the meantime, DHR is utilizing the State of Hawaii Departrnent of Accounting and General Services' document retention guidelines. As such, we found that recommendation 7 was partially implemented as the County policy is yet to be finalized. Finding 3. Lack of Adequete Documentation Proving Policies and Legal Requirements Ilave Been Followed Regarding Excluded Managerial Positions Creates Risk for the County. RECOMMENDATIONS AND STATUS: DHR responds that: r The Coung's compensation plan is updated on an annual basiso All current job classes are reviewed at this time to ensure all new classifications have been included and abolished classes have been deletedo In addition, positions designated as "Unskilled" are reviewed to ensure these positions romain in this category. When new job classifications are established, a designation of "Skilled" or "Unskilled" is completed on the'Notice of Final Action" form that is routed to all jurisdictions r All positions, including exernpt positions must complete a County of Kaua'i exempt application form. Exempt hire selections now go through the NeoGov approval process with policies and procedures contained in the NeoGov Insight Policy 2015o The County Charter minimum qualifications for departnent heads are vetted by DHR and are the only requirermentso In other jurisdictions, exempt hires are not scre€ned for minimum qualifications unless specified by Charter or other authorityo The County requires all exempt hires to submit a job application form documenting their education, skills, and experience o Exempt hires go through the same posfoffer pre-employment screenings as do civil service unployees RECOMMENDATION STATUS 8. DHR should ensure sufficient controls and procedwes are in place for all types ofpersonnel actions, in particular for those that allow civil service requirements to be bypassed as these subject the County to the greatest amount ofrisk. NOT IMPLEMENTED t4 These are positive steps in improving the audit trail for personnel actions but do not go far enough to address audit recommandation 8. During fieldwork testing, we noted fow positions thal were reallocated from regular civil service positions to EM positions. EM positions are governed by HRS 89C Pubfic Oficers and Employees Excluded from Collective Bargarning. The purpose of HRS 89C is to grant appropriate authorities the necessary flexibility to adjust the wages, hours, benefits, and other te,rrns and conditions of employment for the respective excluded public officers and employees. The intent of HRS Chapter 89C was to enswe individuals who held these EM positions would have treatnent comparable to bargaining rmit employees when it came to adjusting their wages, hous, benefits, or other terms and conditions of ernployment. However, despite the fact that they do not have bargaining unit representation, EM positions have become desirable in many cases because ofhigher salary levels and a less rigorous process for sefting job qualifications and pay. We identified two fundamental problems with the EM position process: 2. This potential for abuse is heightened because DHR does not maintain adequate documentation over the reallocations it has performed. DHR states it determines the EM level to reallocate positions based on State- wide classification guidelines but it does not include any further documentation, correspondence, or other justification within the position files. When asked about individual reallocations to EM positions in our testing sample, the DHR Director was able to recall the particular circumstances for each action. The DHR Director knew the name of the employee and generally what happened with the position, including prior position descriptions and classifications. l5 l. The lack of comprehensive policies and procedures over documentation of the EM process make it a potential avenue for abuse. For example, the existing classification and pricing policies do not provide clear standards or benchmarks that would aid in clearly identifying and deciding whether and when to change a position from a BU civil sewice position to an EM civil service position. ln addition, the lack of comprehensive policies surrounding EM positions creates the risk that they could be used to place pre-identified employees in favorable positions, and makes it difficult to prove without question that the selection process for the EM positions comply with merit principles. This increases County risk. However, the DHR Director stated there is no documentation kept within employee files because it is a position action and not an employee action, and it is unlikely there is any other documentation regarding the decision to reallocate positions to EM. While there may be some ernail correspondence, the DHR Director said the decision-making process is often done verbally. Reallocations are approved by the respective departnent head, the Mayor, and the DHR Director.5 We recommend that appropriate documentation is maintained over the decision-making and review process involving EM positions, as relfng on oral history is poor practice and is difficult, if not impossible, to substantiate. This practice once again puts the County at risk for discrimination and equal employment opportunity complaints or iawsuits. During testing, we noted the reasons for the reallocation requests were lacking for all but one of the four EM reallocations in our sample. For example: 1. One ofthe reallocations involved a change from a SR-26 Principal Project Manager position iil DPW to an EM-05 Executive Assistaot to the Mayor in April 2017. There is insufficient documentation to support the new position title, because the position appears to be for a secondary deputy in DPW. See Appendix 1 for the job descriptions of the SR-26 and EM-05 positions. 2. Another reallocation in January 2017 chuge.d a SR-24 to an EM-03 with a 27 percent salary increase. The DHR Director explained that the prior incumbent held the position at an EM-03 but the new hire did not meet the minimum qualifications related to the administrative experience of an EM- 03, so the position was changed to a SR-24. Once the new hire met the adminishative experience requiranents of an EM-03 (by performing at the adminishative level provided by the SR-24 position), the position was reallocated back to an EM-03. The Record of Classification Request and Action form only provided the following reason for the request: "Reallocating position." See Appendix 2 for the job descriptions of the SR-24 and EM-05 positions. 3. A third reallocation in July 2017 changed a SR-24 to an EM-03 with a l0 percent salary increase. The Record of Classification Request and Action form only provided the following reason for the request: "Changes in duties/responsibilities." See Appendix 3 for the job descriptions of the SR- 24 and EM-03 positions. 5 We noted that each ofthe four EM reallocatioos was approved by the relevant department head, the Mayor, and DllR Dirc.ctor. However, thc dctails of lhe approval proccss are unclear, as we noted that for two of the EM reallocations, the DHR Director approved the reallocation one or two minutes aftcr the Mayor's approval. The Mayor approved a separate EM reallocation requisition at 3:45 a.m. l6 This recommendation states that to decrease County risk, DHR should ensure "sufficient controls and procedures are in place for all types ofpersonnel actions, in particular for those that allow civil service requirements to be bypassed." Without clear, complete documentation and substaotiation of personnel actions, DHR will have difficultly defending itself from suspicions ofwrongdoing in the recruitrnent process. Put another way, without appropriate documentation ofpersorurel actions, it is difficult to prove wrongdoing hasn't occurred. The reallocation process in example 2 above appears to be for the purpose of allowing the employee to gain the necessary administrative experience. Documentation to establish a valid purpose for the reallocation could avoid the action being seen as preferential treatment by the DHR and the respective departrnent head, subjecting the County to criticism or risk. A requtement to maintain clear and complete documentation for all persorurel actions creates an intemal control environment that prevents the circumvention of procedures and discoruages abuse of authority. While DHR has begun to make changes to its recruitment processes, we recommend DHR implement stronger documentation requirements to ensure personnel and position records are complete and all personnel actions are appropriately justified. In addition, we inquired about the County's Vacancy Review Committee ("VRC") which was formed in 2014 by the Mayor to evaluate and review all vacant positions as a result ofboth anticipated and non-anticipated attrition, with the goals of: I . Reducing the size of govemment, where appropriate; 2. Re-describing vacant positions to create efficiencies; and 3. Serving as a sounding board to explore organizational, personnel, and technological alternatives. The VRC was composed of the DHR Director, the Assistant Chief Procurement Officer ('ACPO"), a Civil Service Commissioner, the Director of Finance, and the Managing Director as an ex-ofEcio member who would break ties in voting. The VRC met l3 times in fiscal year ("FY) 2015, 24 times in FY 2016, seven times in FY 2017, and once so far in FY 2018. During the height of the VRC's activity, the VRC reported to have made changes to positions that resulted in approximately $1,168,000 in financial savings. According to the DHR Director, the ACPO would review requisitions to fill various vacant positions, and confer with the Mayor to decide whether to @nvene the VRC. The DHR Director stated that the VRC rarely meets anymore, but the ACPO still does an initial review of requisitions and with the Mayor's consultation, decides whether to convene the VRC. t'7 While this process created an additional step in the hiring process, it also enabled a small group of adminisfators to exen contol over position vacancies and personnel decigions opening the County up to risk and possible lawsuits. While we did not analyze the VRC's decisions, the underlying risk is ensuring that the VRC is composed of administrators who will provide objective insight on the vacancy decisions by appropriately balancing the needs of the departnents with the desire to reduce personnel costs. Since some individuals that sit on the VRC hold key positions in the personnel system of the County (such as the DHR Director, departnent head and Civil Service Commission member), they could be seen as having a conflict, as they could have possibly decided on a matter (on ttre VRC) and then in their ofEcial other capacities, would have to decide on the same matter again. The County should reevaluate the use and composition of the VRC to ensure personnel actions are free from actual, potential or perceived conflicts of interest.6 6 The County ofHawai'i disbanded a comparabte version ofthe VRC, the Staffing Review Committee, bccause ofthe "perceived or actual hiring practices that promoted preferential treatnent to certain identified applicants." County of Havai'i's Department of Hunan Resources Hiring Pracrr'ces, Report No. 2017-03, S?tcmbcr 7, 2017. We did not review the VRC actioas and therefore cannot stste whether prefereotial treshent was aD issue. However, the County of Hawai'i's experieacc ideotifies an additional source ofrisk from utilizing such corDDrittees - The DHR failed to recogr ze that the membership of the VRC created a situation where the County could be faced with significant liability. The fact that a member of the Civil Service Commission, the DHR Director, the ACPO, and Director ofFinance served and participated on the VRC is of great concent. When a civil service employee of the County feels that a violation occured with regard to their rights as an employee, they are entitled pursuant to HRS Chapter 76, to filo an Intemal Complaint. This lntemal Complaint process involves the tespective departrnent head (which could be one of the members of the VRC) as well as the DHR Director. If the Intemal Complaint is not resolved to the satisfaction ofthe employee, the ernployee can appeal to the Civil Service Commission. The Civil Service Commission also hears and decides on matters from the general public who have applied for vacant positions, etc. 18 AUDITEE RESPONSE The County Administration, as auditee, was provided an opportunity to respond to our findings and recommendations. Tbe Administration's response is included as Attachment I . The Administration generally disagreed with our findings, and raised concems about the overall integrity, faimess and intent of the audit process. Not only do its points indisate a basic misrurderstanding of the audit scope, process and findings, it is counter-productive to addressing the risks raised in the report. The Administration's primary points of contention are related to the findings over EM reallocations and the VRC. We address the Administration's concems over the EM reallocations first. The Administration questioned why EM reallocations were included in the follow-up audit because they are not a hiring practice and were not a finding from the Hiring Audit. The Administration attempts to paint a picture that EM reallocations were scoped into the report only after findings over unskilled labor or exanpt positions could not be found. This is simply not true. The original audit covered civil service hires, exernpt hires, hansfers and reallocations [emphasis added]. Reallocations were reviewed, because they involve hiring and employee placement as required by collective bargaining laws and County policies. As stated in the 2015 Hiring Audit Report, reallocations involving vacant positions require a recruitment process (hiring) for the newly reallocated position. Additionally, if the position is already filled, DPS reassesses whether the incumbent meets the minimum requirements of the updated position.T Inclusion ofreallocations in the follow-up audit was stated in the kickoff meeting with DHR on January 11, 2018, and reiterated in an email on January 16, 2018, which transmitted the Follow-Up Audit Questionnaires to DPW and Parks. Further, on February 14, 2018, the DHR Director was sent an Excel document identifoing the positions to be sampled and the information to be reviewed in the sampling. No objections to the inclusion ofreallocations were noted after these communications, during fieldwork when we discussed the sampled EM reallocations in detail, or in the exit teleconference on April 18, 2018. The first objection was received in an email from DHR Director on May 3, 2018, upon receipt ofthe draft report. 1 Hiring Audit Report, page 7 19 Further, the original audit was designed to answer the following questions: Is the County in compliance with applicable rules and regulations related to the hiring ofcivil service and exempt personnel? And, Does the County have sufficient conEols in place to ensure fair, uniform and transparent selection ofthe best qualified employee for the position? Under these questions, all categories ofCounty ernployees in the audited deparEnents were within the audit scope, including EM ernployees. The purpose of the follow-up audit was to detennine whether the findings of the original audit still exist, and the extent to which audit recommendations were implemented. To this end, the same process used in the original audit covering civil service hires, exonpt hires, exempt personal service hires, temporary hires, and reallocations was used to identifo and test compliance.8 The contested finding in the follow-up audit conceming EM ernployees is aligred with the findings in the original audit. In the original audit, we found that: Finding 2: The amount of supporting docurnentation maintained by DPS is inconsistent and could expose the County to the risk ofnon- compliance with bargaining unit agreements, internal policy and HRS. (Audit Report, page 4) a o In the follow-up audit, we determined that the risk still existed, because there was little documentation to ensure compliance, and the Administration agreed that the documentation should be kept in the position file. The AdminisEation points out that there are policies and procedures and that any documentation would be kept in the position file, not the personnel file. We agree and have updated language in the report. The Administration spends most of its efforts disputing the inclusion of EM reallocations in this follow-up audi! but does not address or dispute the overall finding that the lack ofdocumentation over the EM reallocation process poses a risk to the County. The classification and pricing policies over EM positions require that one of the following criteria is met for EM positions: E The differsnce in employee coverage betweetr the origiDal and follow up audits was that the original audit covered employees in all departments (excluding the police, fire, and water dcpartuents), thc follow-up audit w8s limited to employees oflhe two largest depaturents, DPW and Parks. Ia addition, transfcrs were not reviewed, as they would have beeu covcred in either thc civil service hiring or exempt transaction counls. z0 o Is a division head or an assistant division head; o Is at or near the top of an ongoing, complex agency or major program and formulates or determines policy for that agency or program; r Directs the work of a major program or agency or a major subdivision thereof with considerable discretion to determine means, methods and personnel by which the agency or program policy is to be carried out; o Is a central agancy position involved in the preparation for and conduct ofnegotiations or has a major role in the administration of agreements or in personnel administration or meets and confers with union representatives as required under HRS $89-9(c), provided that, such role is not routine or clerical in nature and requires the exercise of independent judgrnant. While these criteria provide a framework to identiff EM positions, they are nonetheless open to broad interpretation and subjectivity. This is the crux of our finding that proper documentation ofcompliance with these criteria justifoing EM reallocations is needed to reduce risk to the County. This may be a potartially significant issue since there arc oyer 25 EM positions in the County in Fiscal Year 2018, without even including the Water, Police and Fire departrnents. Regarding the VRC, the Administration takes the position that the VRC is not a part of the hiring process because its intent was to: However, this is a very narrow view. The VRC was convened when Departrnents submitted requisitions to fill the vacant positions. In order to realize any cost savings, that means that a position was eliminated, re- described, or transfened to a different deparEnent upon receiving the request to fill. Eliminating vacant positions, or even re-describing vacant positions, may take away promotional opportunities for current civil servants. Further, re- describing positions to absorb the duties of the eliminated position could, and quite possibly would, put an rurdue burden on existing civil servants. These situations would create an opportunity for existing civil servants to grieve. This is consistent with the statements in the audit report about risk, conflicts and lawsuits. 2t 1. Eliminate vacant positions for possible cost savings; 2. Possibly re-describe remaining positions to absorb the duties ofthe eliminated position; 3. Re-describe a vacant position to a new position that was needed by the Departnent and therefore eliminate the need to create a new position; or' 4. Fill the position as described due to the needs of the Deparfrnent. While we did not investigate whether any of the eliminations of vacant positions resulted in a reorganization that would have required Union consultation, any such occurrence would pose additional risk to the County. Finally, DHR takes issue with items that were discussed in the April 18, 2018 exit meeting and revised prior to the draft report. For example, at the exit meeting, we stated that recommendation number 3 was partially implemented. However, upon receiving clarification over DHR's initial response that they had properly conferred with the appointhg authority and received approval from departrnent heads prior to the finalization of personnel actions, we changed the finding to implernented. Likewise, we redsed our initial assessment ofthe VRC upon receiving clarification from DHR over the review process ofrequisitions. It is unclear why the Administration felt the need to include these discussions in their response when they were already changed in the draft report. Also, the Adminiskation takes issue that it was not commended for providing us with all the information we requested for testing, showing significant improvement over the 64 instances of missing information from the original audit. Recommendations 5 and 6 were determined to be fully implemented, so again, it is unclear why this was a "serious concern" ofthe Administration. In summary, we incorporated DHR's comments when supported by adequate evidence. Although DHR disputes our characterization of their progress implonenting the recommendations of the 2015 Hiring Audit, there is no substantial challenge to the main findings of this audit; that the lack of systematic and comprehensive policies, procedures, and documentation may increase risk for the County. We ancourage the Administration to continue its implanentation efforts to address all audit findings. )') D EPARTMENT OF PERSONNEL SERVICES COUNTY OF ](AUAI PRINCIPAL PROJECT MANAGER SR-26,8U.13 Appendix I 2,325 'Dutles Sumrnarv: Serves as principal manger over capital construction, renovation or maintenance projects for an assigned department; directs, admlnisters and coordinates work performed for maJor proJects; and performs other related duties as required. Dlstin gu ishl n g ChAfA gterlstitri: The Princlpal Project Manager ls distinguished by its responslbllity to plan, monitor, budget, schedule and coordlnate highly complex and/or sensltlve capltal projects, longer ln duratlon and more costly to complete than those managed by the lower level. Examoles of'Dutle$: (The followlng, are examp/es of dutles and are not necessarlly descriptlve of any one position in thls class. Ihe omlsslon of speclfic dutles statements does not preclude managementfrom assignlngsuch duties if such duties are a logglcal asslgln ment for the position.) Performs contract adrnlnistration on engineering, planning and/or construction contracts for renovation, maintenance and other County projects from lnception, deslgn, award, construction and through the warranty perlod; a Directs and may evaluate assigned professionaland paraprofessionaltechnlcal staff; a Provides direction, guidance and assistance to employees, contractors and work groups; r Coordinates daily work activities; o Organizes, prioritizes and assif,ns work; o Monitors status of work ln progress and inspects completed work; . Ensures compliance wlth Fedbral, State and County codes; r Assists with development of proJect scopes, budgets and schedules and im plementation of such; o Monitors expenditures to ensure compliance with approved budget; a Princlpal Project ManaEer Provides technlcal advlce, information and asslstance with issues related to assigned projects; 2 2.325 Prepares reports, analyses and records; Asslsts wlth development and lmplementation of departmental policies and procedures; . Coordinates process for bidding and contracting of services; e Prepares Requests for Proposal(RFPS); . Prepares bid packages; r Conducts pre-bid and pr+constructlon meetlngs; o lssues addendums to clarify questionable lssues; r Pa rticipates ln negotiations of scope of services and fees for service agreements; r Makes recommendatlon for selection of vendors and awardlng of contracts; e Complles contract language, lncluding speciflcations package; . Coordlnates acquisltlon and/or maintenance of reguired permitting; r Researches code requlrements and coordinates efforts between multiple departments a nd/or consultants; and r Operates a motor vehicle, personal computer and other equipment as necessary, including use of computer applications. Mlnlmum Qgallfication Reoulrements for tho Class: fraining-and Exoerience: A combination of education and experience substantially equivalent to graduation from an accredited college or unlversity with a baccalaureate degree in project management, engineering, construction administration or a related fleld; supplemented by four (4) years of experlence that demonstrated competency in pro]ect management, budget administration, contract administration, and responsible experience in the speciflc area of assignment. License Requlrement Possession of a valid motor vehicle operator's license (Hawai'i Type 3 or equivalent). KnowledEe of project management principles, technlques and tools; cost a a Principal Project Manager A 2f,l2' beneflts analysis, plannlng and budgetlng techniques; engineering principles and practices; publlc administration and management principles, incltiding general admlnlstration, hurnan resources management and fiscal management and accounflng; Federal, state, and locsl regulatory codes related to acflvltles and operations ofthe assigned area; contract negotiations and administration; current technolos/ and trends in the profession. Ablliffto: coordinate, manage and track multiple project activitles on severalprojects concurrently; utillze computer-based project management tools; manage multl- discipllnary project teams; assign, monitor, supervise and evaluate staff work p-",,forr"a; antlcipate and evaluate project risks, identiry mltlgating factors, and resolve pioblems; communicate effectlvely both orally and in wriflng; establish and maintain efiective working relations and communlcations with others; analrze and project consequences of decisions and/or recommendations. Heatth and Phvsical Condition Reoulrements: Persons seeking appointment to posltions in this class must meet the health andphysical condition standards deemed necessary and proper for performance of the duties. Thls ls an amendment to the speclflcation forthe class, pRlNClpAL PROJECT MANAGER, which was approved on December 1, 2009, amended on December 30' 2009 and effective on December 29, 2009, and is to be substituted for thatspecification. APPROVE NOv I I20t3 (Date)THOMAS T, TAKATSUKI Acting Director of Personnel Services DEPARTMENT OF PERSONNEL SERVICES COUNW OF KAUAI DGCUTME ASSISTANT TO THE MAYOR EM.5 Dutles Summary: Provides top-level stafF and executive assistance to the Mayor in matters affecting the county; renders executive direction and control over functions and programs as assigned by the Mayor; and performs other related duties as required. Distin gu ishlng Cha racteristlcs This class is dlstinguished by its responsibility for providing totrlevel staff and executive asslstance to the Mayor and for rendering executive direction and control over functions and programs as assigned by the Mayor. Examplas of Duties (The followlng are exampl* of dutles and are not necessarrry descrlptive of any one positlon in thr:s class. rhe omlssion of spectflc duues statjrnents does not preclude management from asslgnlngsuch dutles lf such dutles are a log,icat assignment tor the position.) Reviews materials, reports, policies, resolu ons, records and other communlcations relating to the general administrative matters and makes recommendatlons for thelr disposition based upon the knowledge of the polices of the Mayor; Advises the Mayor by provlding pertinent information or polnflng out workable solutions; a Reviews and recommends reduction or addltion of speclflc programs based upon the knowledge of the Admlnistrailon,s goals; Conducts administratlve investigations and management, legislative or other highly speclalized studies and makes appropriate reports and recommendations; Prepares administrative directives and memoranda in behalf of the Mayor; Prepares testimonies, reports and testifles before legislative commlttees; Obtains lnformation and progress reports of asslgned departmental programs and activlties from executive agencles of the County, State and Federal governments as requlred; a a 15A2060 Exacutive Assistant to the lVayor 2 a t a a 15A2060 Serves on varlous admlnistratlve committees as assigned by the Mayor and represenG the Mayor before civic, community and other publlc groups to explain county progra ms and goals; Supervises the functions and activities as assiElned by the Mayor; Prepares public statements, press releases and speeches for the Mayor; Prepares drafts, analyses and comments on proposed bills and other reports for the legislature or the Council; Reviews legal decislons, opinions, rules and ofthe County Attorney and keeps the Mayor informed of thelr signiflcance and effect in administrative and legislatlve matters; Coordinates the activities between the Administration, Council and departments of the County and with other governmental Jurisdictio ns and their departments as assigned by the Mayor; and Su pervises assigned employees. TrainlnE and Aoorience: A combinatlon of educatlon and experience substantlally equivalent to graduation from an accredited college or university with a baccalaureate degree in th6 field of public or business administration, economics or a related fleld and six (6) years of responsible administrative experience in government or in private business. Knowledg€ of: governmental organizatlon and functions; principles and practlces of public adminlstration, organization and managementi prlnciples and practlces of public relations; research methods and techniques; adminlstrative analyses; governmental flnance administration and budgetlng; report wrltlng; public speaking, statutes and ordinances relating to government functions and operations; pertinent Federal laws and regulations. Abilitv to: conduct studies on and prepare top-level management recommendations relating to operations, organizations, administrative standards, finance administration and budgeting; obtain, analyze and evaluate facts; prepare reports; make sound management decisions; coordinate varied and complex work programs; analyze legal decisions, lnterpretations and directives; deal tactfully and effectively with other governmental officials and the public. Mlnlmum Ouallfication Reoulrements for the Class: Executive Assista nt to the Mayor 15A2060 Health and Phvsical Condition Reoulrements: Persons seeking appointment to posltions in this class must meet the health and physical condition standards deemed necessary and proper for performance of the d uties. This is an amendment to the specification for the class EXEfiUTIVE ASSISTANT T0 THE MAYOR, which was approved on November 29, 1999, and is to be su bstituted for that speclfi cation. Nov 1 4 z0r3 APPROVED: (Date)THOMAS T. TAI$TSUKI Actlng Dlrector of Personnel Services 3 DEPARTMENT OF PERSONNEL SERVICES COUNTY OF TdUAI PARK MAINTENANCE OPERATIONS CHIEF SR-24,8U.13 Appendix 2 2.333 Duties Summary: Develops plans, schedules, coordinates, and directs the general maintenance and beautiflcation operations and work activities for all County park facilities and other County grounds and landscaped areas through subordinate superylsors; and performs other related dutles as required. DistinEuls hlng Characteristlcs: This class ls dlstlngulshed by lts responsibility for the most difficult and complex types of park grounds maintenance and beautificatlon operational aetivitles for the County of Kauai, including planning and scheduling of proJects involving large scale mowing, resodding, rebuilding of playingfields, and chemical treatment and fleld testing of grasses and plants. Examoles of Duties: lThe followln{ are examples of duties and are not necessarily descriptlve of any one posltlon ln thls class. Ihe omisslon of specfflc duties statemerfis does not preclude mana4ement from asslgnlng such duties ifsuch dutles are a logllcal asslEinment for the position.) Develops and directs program operations and procedures for lmprovement and maintenance of parks, playground, recreational, and County grounds and landscaped areas; Oversees and directs, through subordinate supbrvisors, landscaplng and beautification work activities involving park facilities such as construction of fences, sprinkler systems, and projects for play areas, grassed areas, medial strips and triangles, and other grounds and landscaped areas; Formulates work policies and procedures for personnel, facilities, equipment operation, and chemical treatment processes and standards; oversees and dlrects fleld testing of grasses and plants for use ln parks and recreation areas and the scheduling of large scale mowing, resodding, rebuilding of playing fields, and chemical treatment activities; a t I a Determines prloritles and schedules for capital improvement projects (ClPs); Plans schedules, and coordinates with other departmentaldlvlsions and organlzations for the repalr and malntenance of grounds, through landscaping, soil improvement, general care, and beautificatlon of grounds, facillties, and Park Maintenance Operations Chief 2.333 equipment Supervises, plani and coordinates an ongoing safety and preventive maintenance program to irrevent accidents and ensure proper use and care of equipment End tools throuElh training and supervlslon; Perform a variety of general administrative and community relations assignments; Evaluates stafflng and equlpment needs for park areas, and provldes justiflcatlon and speciflcations wlth recommendations for staffing and equipment; Prepares operating budgets relating to parks malntenance and improvement activitles by preparing budget estimates for dlstrict operations; Partlcipates in development of park facilitles by attending pre-planning meetings with staff planners and engineers, reviewing preliminary plans and development designs; Reviews deslgns, plans, and specmcations of structures to determlne maintenance requirements and plan accordingly; Develops guidellnes and sets schedules for preventlve malntenance program; Dovelops new methods and technlques for grounds and facllity malntenance; Prepare activlty reports; establishes and maintains effective relations with the public and communlty groups; Receives and takes corrBctive action or makes appropriate recommendations and resolves complaints on park maintenance; Attends meetings with community groups and organizations and informs the public of maintenance programs and activitles serving as liaison between management and park distrlcts in matters relating to the beautification and maintenance of parks and recreational areas ofthe County; and Coordinates the use of temporary work forces such as prison workforce, Alu Like, student hires, and other temporary employees as needed. Minimum Oualificatlon Reouirements for the Class: TraininE and Exoerience: A combination of education and experience substantially equivalent to graduation from an accredlted college or university with a baccalaureate degree in agriculture, horticulture, public administratlon, or a related field and four (4) years of supervisory experience demonstrating technical competence in soil and turf management, chemicaltreatment, and landscaping in the care, maintenance, a a a t a t a a t a 2 Park Maintenance Operations Chlef 2 2.333 and beautiflcation of parks or landscaped areas. Llcense Reouiremeflt Possession of a valld motor vehicle operator's license (Hawai'l Type 3 or equivalent). Knowledge ot: the principles and practices of supervision and admlnlstration; principles and practices, tools, and techniques of grounds maintenance; methods and techniques of r+sodding and rebuildlng large flelds; baslc principles and methods of eradication and control of plant pests and diseases; grounds maintenance tools and equipment; budget preparation; public relations; occupational hazards and safety practices. Abilltv to: plan, supervise, and coordinate varlous functlons of beautification and parkb maintenance programs; evaluate operations and actlvitles; prepare and justiry budget estimates; initiate and maintain effectlve relationshlp with the publlc; give clear and concise oral and written Instructions; prepare reports and correspondence. Health and Phvsical Condition Reoulrements: Persons seeking appointment to positlons in this class must meet the health and physical condltion standards deemed necessary and proper for performance of the duties. APPROVED:DEC 0 I 2013 ->= THOMAS T, TAKATSUKI Acting Director of Personnel Services Thls an amendment of to the specification for the class, PARK MAINTENANCE OPERATIONS CHIEF, which was titled BEAUTIFICAT|ON AND PARKS MATNTENANCE CHIEF and approved on N4arch !, a997 , retiled to PARK MAINTENANCE CH|EF, renumbered on February 27,2OO7 and is to be substituted for that specification. (Date) Plans, organlzee and direeEB actlvit.iee involving lheconsEruction, mainEenance, repair and lmprovement, of parke,playgrounde, reereaEional facilitiee and clvlc complexeewlEhin the County of Kaua'i; p1ane, organlzes and direct,s aprogram inwolving t,he beauE.lf 1cat.lon of parks, p!.aygrounda, recreaEional and landecaped areas of the County; andperforme ot.her related duEiee ae regulred. DE PARTI./IENT OF PERSONNEIJ SERVICES COUNTY OF XAUA'T PARK MAINTENAI\,CE AD}IINIEITR.trToR 15A215 9 Butiee Suqqnary: Dl st lnqui ehi nq CharacE erlat.Ica I ThlB clasE is dlat,lnguiahed by Ics reaponeiblJ.lty forplannlng, dlrecting and coordinatlng act.ivihiea relating Eothe conBtructlon, mainE,enance, repalr, improvement andbeauEiflcatlon of publ1c parka and recreat.ionaL areae andfacillEiee. Examplea of DUE ies : P1ans, direcE,E and coordlnatee work lnvolvlng the conaEructlon, malnt,enance, repalr and improvemenE, of parks. playgrounda and recreatlonal areae; dlrecEe the deveJ.opmenE., operation, maintenance and improvemenE ofsporte and civic complexea, communit,y park areae and otherpark and recreatlon eguipment, and structuree; partlcipat.eEin deEermlnlng long-range object.lves and programE for the depart.menE and direct.s t.he execuE.ion of approved programe and proJecus,' checke deelgns, plans and epeclficat.lona ofBtructureB ln relahlon E.o Ehe maLntenance reguirement.e ofeuch sErucEuree; inepecEe ongoing eonefructlon ofbuildinge, eprlnkler aystema, fencee.and oEher struetureEfor compliance to plane and epecificationai pIana, directe and coordinat,ea the CounEy beautlflcaEion program t.o landecape and beaut.ify all Count,y propertlea,. reviewe and approves plane for landecaplng, aoil. improvemenE and Ehegeneral care and beautlfication of grounds and premleee ofexisting parka and recreat.lonal areae; formulatee procedures for the enforcemenE. of park rulee and reguLat,ione and for the protect,ion of parks and PARtr, !,TAIMTENA}ICE E^D!,IINISTRATOR 15t 215 9 recreationaL areaEr; formulatee policieE relating E.o operaEional procedurea, pereonnel, faciliEies and equipment; autshorizeE and approves requi6itione and purchasee of materlals, equipment and euppliee; plane and coordlnates purchaelng, repair and malntenance services for toole and equipmenE; inEerviewB and selecEs program personnel; repreaenEB E,he Director at meetings, conferences and lnepect,lone perEaining to che mainEenance of parke and recreaEion areas and facillt.ies; prepares and administere Ehe budgeE, prepares reports and correspondence; resolveE complalnte by Ehe public; organi.zee and conducEe orLentatlon and Erainlng programE . Minimum Qua IificaEion RequlremenE.s for the Clasa: Training and Experienee: A comblnaEion of educatlon and experience subBtanElally equivalent to graduation from an accrediEed college or university wiEh a baccalaureale degree in buelneee adminiatration, public adminlatration, horEiculEure or a reLaEed field and two (2) years of adminigtratlve experience in conEtruction and/or malntenance act.lvit,ies, Ihowledge of : prlnci ples and pracElcee of eupervieion Ability Eo:formulat.e long-range obj ecEives; pIan, aeaign, echedule, revlew and coordinat.e Ehe work of a Iarge number of employeeai prepare and JueEify budgeE esE,imate6i inEerpreE and explain lawe, policlee, proceduree, rulee and regulations; read and underatsand Ehe baeic feaE,ureB of engineering and archit.ecEural plans, deelgne and epecl ficaE.ione; supervlee Ehe use of herblcidee, ineecElcidee and fertilizers; iniEiat.e and maintain an effecEive public reLationa program,. speak effecEively before community groupoi give clear and concise oral and writEen ineEructionsi prepare correapondence and reporEai deal tactfulLy and ef fect.ively with t.he publlc. 2 and pub1lc park admin{etration; 1ocaI community parke and recreation eEandarde, neede and problema; the layouE and con8tructlon of parke, playgroundB and recreaEional areae; baelc prlnciplee of landecaplng; baeic met.hode, egulpment and materlale uEed in const,ruetion t,radeE; occupatslonal hazarde and Bafet,y praet.ices; principlee of budget preparaEion; public relatsions; report wriEing. PANX MAIIiITENA}TCE N)MINISTNATOR 15A2159 EealEh and P hyeical Condj.t lon Requlremente: Peraona eeeking appolnEment Eo poeiEione in t.his claae muaE meet tshe healt.h and physlcal condit,ion etandards deemed necesBary and proper for performance of t,he duEiee. 't i * t * * * * * t * t * t t* *t t * i *t* i * * **** "hie ie the flrst epeclficaEion approved for Ehe neleclaaB PARK UII IITENANCE ADUfNISTRAIOR. APPROVED: JUN 15 2010 Dat,e c.7. DlrecEor of Pereonnel Servlces DEPARTMENT OF PERSONNEL SERVICES COUNTY OF KAUAI FACILITI ES MAINTENANCE COORDINATOR sR-24, BU-13 Appendix 3 2.304 Duties Summarv: Plans, directs, and coordlnates the repair, renovatlon, and maintenance of County bulldings, equipment, and facilities; coordlnates the custodial services program; manages and oversees maintenance and custodial staff through subordinate supervisors; and performs other related duties as requlred. Dlstlnquishing Characteristlcsl Ihls class ls distlnguished by lts responsibility for preparing plans, specifications, and proposals to construct, renovate, and repair County bulldings, equlpment, and facilities, as well as planning, coordinatlng and overseelng maintenance and custodial services, Programs often includo the management of a wlde vadety of trades specialties involved in deslgnated capital improvement projects. Examoles of Duties: Plans, directs, and coordinates the work of subordinates in a wlde variety of trades for the constructlon, renovation, repair, and maintenance, including custodial services for public bulldings, related facilities, and equlpment; Revlews, develops, and establishes policies, plans, and procedures for the management and control of facllltles malntenance; a a Coordinates work activities for maintenance and custodial servlces programs; Develops and executes a preventive maintenance and quality control program; Recommends changes in priorities and re-adjusts work prioritles to include daily emergency requests; Prepares estimates of costs, time, and manpower, monitoring the accuracy of estlmatesi Prepares the annual budget with justificatlons for the section; Prepares specifications, proposals, and requisltlons for equipment, tools, and building, plumbing, and elestrical materlals; lnspects work projects to monitor progress and to determine conformance to a a a Facilitles Maintenance Coordinator 2.304 plans, schedules, and anticipated costs; Analyzes and evaluates operatlon and maintenance functlons and implements or recommends new or improved practices; a ( a a a a t Studies personnel requirements and recommends solutions to maxlmize operationa I effl ciency; Receives and resolves complaints relatingto the building and equipment malntenance program; Prepares budgets for contractual work; Develops, prepares, and negotiates architectural and englneering contracts for design services; May identify, develop, and prepare plans, specifications, and proposals for all service contracts necessary to maintain County facilities and equipment and for designated capita I improvement projects; Manages contracts to assure compliance with plans, speclflcations, and County procedures; lnsures proper applicatlon of collective bargaining agreements to section personnel; a . Organlzes, directs, and monitors trainlng and safety programs for malntenance personnel; and o Performs other related dutles as required. Minimum Oualiflcation Reoulrements for the Class: Training and Experience: A combinatlon of education and experience substantially equivalent to graduation from an accredited oollege or university with a baccalaureate d_egree in a-rchitecture, civil engineering, structural engineering or a related field and three(3) years of responslble supervisory experlence ln a variety of construction and/or malntenance and repair of commercial, industrial or publit bulldlngs or structures, _ License Reoulrement: possession of a valid motor vehlcle operator,s license (Hawai,i Type 3 or egu lvalent). Fnowlgdee of: principres and practices of supervisron and administration; practices, methods, tools, materlals and equipment used in the various trades; principles .ni - -- practices of architecture or engineerin.g; generar knowredge of applicabre b;ildinr;;rectricsr,fire, zoning, and related state and Federil codes and regilations; budget preparliion;-- Facilitles Maintenance Coordinator 2.304 departmental polices and procedures; occupational hazards and safety principles and practices. Abllitv to: plan, organize, dlrect, and coordinate maintenance and custodlal actlvltles, lncluding the performance of bulldlng and equipment malntenance, alteration, and repalr; plan and assign maintenance operations; mobilize personnel and equlpment; read and understand plans, speclflcations, and work orders, planning the method of accompllshing repairs or replacements; lnspect and evaluate maintenance workmanship and productlon; estimate costs and quantitles of labor, materials and equipment requirements for work program; develop and formulate policies and procedures; prepare operational reports, budget forecasts, and program expenditure plans, establish and maintain effective working relationships with others. Persons seeking appointment to positions in this class must meet the health and physical condition standards deemed necessary and proper for performance of the duties. This is an amendmentto the specificatlon for the class, FACILmES MAINTENANCE COORDINATOR, which was approved on August 7, 1995, and is to be substituted for that specificatlon. 3 sEP 1 6 2013 THOMAS T. TA}OTSUKI Acting Director of Personnel Servlces APPROVED: (Date) Health and Phvsical Conditlon Reoulrements: i?:-i>E- DEPARTMENT OF HUMAN RESOURCES COUNTY OF KAUA'I FACIMES MAINTEMNCE ADMINISIRATOR EM-O3 1542119 Duties Summarv: Plans, organizes and directs all activlties lnvolving the construction, repair and maintenance of buildings and facill es for the county of Kaua'l; oversees the custodial services program; and performs other related dutles as required. DistinEuishinE Characterls cs: This class is distingulshed by lts rosponsibllity for the overall management of the Facllltles Maintenance Divlslon by planning and dlrecting the activities related to the construction, mEintenance and repair of the county buildings, equipment and facilitles, as well as the custodial services program. Examoles of Duties: (The tollowlng are examples of duties and are not necessarily descrlptive of any one posftion in this crass. rhe omlsslon of speclflc duties statements does not preclude management from assl1nlng such dutles ifsuch dutres are a tolica! assl*nment for the positlon.) r Plans, organizes. directs, and admlnisters the facllities maintenance program for the public buildings and facilities withln the County; o Plans and directs work, through subordinate supervisors, that involves the construction, renovation, repair, and malntenance, includlng custodial services for Gounty buildings, equipment, and facilities; Formulates pollcles relating to operational procedures, personnel, facilities and equipment for the division; Particlpates ln the review and approval of awards, inspections, and final payments of construction and seryice contracts; Prepares sketches, reviews plans and specifications and make estimates on new constructions, renovations, and repairs; Plans' directs and coordinates the preventive malntenance and quallty controlprogram; lnspects facirlties for exlsting condltions and plans for the maintenance and/orimprovement; a a a a a a Participates in determining the rong-range objectives rerating to county facirities; FACIUTIES MAINTENANCE AOMINISTRATOR 15A2119 Wrltes contract specifications, tecommends contractor's bid for awards, and coordlnates bidding process; Establishes assignment prlorities and completion dates for various alterations maintenance, or repair projects based on workload and staffing resources; Prepares and adminlsters the annual budget of the division;justifies budget needs and maintains fiscal responsibility for budget throughout the year; Plans and coordinates purchasing, repair and malntenance servlces for tools and equipment; Authorlzes and approves requisitions and purchases of materials, equipment and supplles; Recommends all personnel actions including hiring, promotion, reallocations, disciplinary actions, and terminations; Organizes, directs and monitors training and safety programs for the division; Attends meetings with community groups and organizations and informs the publlc of maintenance prograrns and activities serving as liaison between management and the community in matters relating to the maintenance and repair of county facllities; a lnterviews and recommends selection of personnel for the divlsion; . Prepares reports and correspondence; . lnvestigates, responds, and resolves complaints bythe public; . Performs other related duties as required. Mlnlmum qualiflcation Requlrements for the Class: TralninE and Exberlence: A comblnation of education and experience substan ally equivalent to graduation from an accredited college or unlversity with a baccalaureate degree in business administration, public admlnistration or a related fleld and two (2) years of administrative experience in buildlng construction and maintenance activities, Knowledge of: principles and practices of administration and management; principles and practices of building construction and maintenance; laws, codes, ordinances and regulations governing bulldlng construction and maintenance work; basic methods, equipm€nt and materlals used in the varlous trades; budget preparation; public relations; report writing. 2 a a t t a a FACI LITI ES MAINIENANCE ADMINISTRATOR 15A2119 Health and Phleical Condition Reoulrements: Persons seeklng appointment to positions in this class must meet the health and physical condition standards deemed necessary and proper for performance of tho duties. APPROVED: August31, 2017 (Date) Dlrector of H NR urces 3 Abilttv to: plan, asslgn and direct the work of others; develop operating standard and procedures; lnterpret and explaln laws, policles, procedures, rules and regula ons; prepare and justify budget estimates; read and understand the basic features of engineering and architectural plans, designs and specifications; prepare clear and concise reports and correspondence; deal effectlvely with other governmentalagencies and the public. Thls ls the first specification approved for the new class FACIUIIES MAINTEMNCE ADMINISTRATOR effective Juty 1, 2O17. Bernard P. Carvalho Jr. Mayor Wallace G. Rezentes Jr. Managing Director OFFICE OF THE MAYOR County of Kauasi, State of Hawai'i 44,14 Ricc Str€€t, Suite 235, Llhu'c, Hawai'i 96766 TEL (808) 241-4900 FA)( (808) 241-6877 May 24,2Q78 Mr. Tyler Kimura, Partner Spire Hawaii, LLP 700 Bishop Street, Suite 2001 Honolulu HI 96813 Re: Hiring Practices Follow-up Audit Thank you for allowing the Kaua'i County administration to respond to the draft audit report. The Department of Human Resources (DHR) worked with you in good faith to provide all of the necessary information that you requested. The DHR pointed out some glaring errors with you during the exit meeting on April 18, 2018 and therefore requested further discussions prior to the draft report being released. Unfortunately, this did not occur even though all three (3) DHR staff heard your commitment to this additional review. The administration was led to believe that the goal of this audit was to improve our County's hiring processes by reviewing whether or not the DHR had implemented any of the recommendations from the initial audit that was completed in 2015. Unforhrnately, rather than addressing all of the initial recommendations, new findings were part of the draft audit and some of the original findings which were implemented or questioned by the DHR were ignored. During the exit conference call, both you and Matt Kagawa were unable to answer many of the DHR's questions or provide guidance to the DHR on best practices on some of your findings that were requested. Without these answers, the DHR did not feel that some of the findings were necessarily risks that should be recorded. Our administration was looking forward to reviewing your guidance on established best practices, and it is tmly unfortunate that we now are questioning the intent, faimess, and overall integrity of this follow-up audit. This cover letter shall be incorporated as part of the Auditee's response (attached) to the final Hiring Practices Follow-up Audit. Sincerely, Bernard P. Carvalho Jr. Mayor An Equal Opportunity Employer cc Wallace G. Rezentes Jr., Managing Director Janine M.Z, Rapozo, Director of Human Resources Mel Rapozo, Chair, County Council Ross Kagawa, Vice-Chair, County Council Arthur Brun, Councilmember Mason K. Chock, Councilmember Arryl Kaneshiro, Councilmember Derek S.K. Kawakami, Councilmember JoArn A. Yukimura, Councilmember Auditee's Response: Before we begin responding to each finding, the Kaua'i County Administration would like to call attention to several serious concems regarding this "follow-up" audit. First, the auditor's report begins with a Preface that states, "This follow-up performance audit ofthe County of Kaua'i's Hiring Practices was designed to examine the County's implementation of recommendations made in 2015." Therefore, we were anticipating that this "follow-up" audit would revisit the 2015 findings and determine whether the DHR made the necessary strides to its internal processes and procedures to ensure that the County's hiring praclices were fair and consistent. The initial 2015 audit focused on "prevalent and pervasive issues" being "a lack of documentation". During the exit meeting, conducted tkough a conference call on April 18, 2018, HR Manager III Jill Niitani asked the Auditors whether there were any findings/omissions from the documents reviewed during this follow up audit. Mr. Kagawa noted that all of the documents were present. As such, Ms. Niitani asked if this important fact would be recognized in the follow up audit draft since it was such a significant finding in the initial audit. Mr. Kagawa noted that all documents requested were available and ageed that this would be included in the final draft audit report. Unfortunately, there is no mention that during this follow up audit, instead of sixty-four (64) instances of missing documentation that were reported in the initial audit, all documentation was available for all personnel actions that were reviewed. The fact that this was not included as a key finding (a.k,a., success) is quite suspect as to tle intent of this audit. Secondly, in the initial 2015 audit, the auditors recommended that the DHR monitor the appointing authority to enswe all procedures are sufficiently followed pertaining to hiring and other related personnel actions. While the auditors credited the DHR with implementing this finding, the initial finding that was discussed during the April 18, 201 8 exit meeting conference call was the following: DHR has ossumed responsibility for certain hiring and recruiting functions formerly perforned by the departments. The internal control problem remains however. Instead of a lack of monitoring of the departments, there is now a lack of monitoring of DHR's actions to ensure compliance (i.e, just as there was no moniloring of the departments, lherc is no monitoring of DHR). As such, the DHR was confused as the auditors were now conuadicting their own recommendation. The auditors were asked if they were aware of a best practice that would allow for the DHR to be monitored. There was no response provided by the auditors. Clearly, the auditors were unable to provide recommendations to the department. Instead, Mr, Kagawa stated that the problem would be that the DHR would now be able to hire a person without the hfting departrnent's ability to check ifthe correcl salary and other personnel transactions were accurate. Realizing the inaccuracies of his statement, the DHR asked Mr. Kagawa and Mr. Kimura if the pay,roll action form (PAF) that is completed by the department and the payroll certification form that must be signed by the department head were not suffrcient ways for checks and balances to occur with hiring actions. Mr. Kagawa agreed that it was sufficienl, yet this finding was still included in the final draft report. I a a a When compared to the County of Hawaii Staffing Review Committee (SRC), the DHR explained to the auditors that the Big Island's committee was very different from the VRC. The County of Kauai's VRC reviewed VACANT positions to recommend to me whether the position should be filled or re-described to best meet the needs of the department or the County as a whole. The review is done for "vacant" positions-there is no hiring recommendations made by the VRC. On the other hand, the Big Island's SRC: determined the method of recruiunent (i.e., internal recruitment, external recruitment, etc.) ; determined the selection process (SRC to conduct selection or the department can conduct); and confirmed the selection process (approved person selected and date of hire tluough SRC representative signature), The VRC does not participate in any of the above, is a precursor to even posting a position and can only recommendations to me about options for a vacant position. The intent ofthe VRC is to review if there were possible cost savings measures to either eliminate a vacant position and possibly re-describe remaining positions to absorb the duties ofthe eliminated position, re-describe a vacant position to a position that is needed by the department and therefore eliminate the need to create a new position, or filt the position as described due to the needs of the deparunent. Therefore, the auditors conclusion that the membership ofthe VRC puts the County at risk due to possible conflicts due to complaints that may be filed by employees, and comparing it to the Big Island's SRC shows the overall lack of understanding and./or disregard by the auditors in the intent of the VRC, which was fully vetted and supported by the County Council. While this was fully explained to the auditors during the exit meeting, the VRC is still erroneously discussed in the draft report. Fourthly, the footnote on page 15 ofthe audit report is rather disturbing and unclear as to what is trying to be insinuated by the auditors. It states, ". . . tbe DHR Director approved the reallocation one or two minutes afler the Mayor's approval. The Mayor approved a separate EM reallocation requisition at 3:45 a.m." The auditors did not pose any queslions regarding this concem during the exit interview with the DHR, so we were quite surprised that they included this as part ofthe report. The Neogov system automatically generates an email to the next approver in the chain to ensure that an approver is aware that the requisition is in his/her queue for completion. It is not unusual for the DHR Director to immediately approve a requisition after i complete my approval ) I a a Thirdly, the audit report scrutinizes the County's Vacancy Review Committee (VRC). The perception made regarding the VRC display the auditors' complete lack of understanding with regards to critical components of the DHR. During the exit meeting conference call with the DH& the VRC was discussed with the auditors due to their assessment that, "While the creation of the Vacancy Review Committee created an additional control to review the hiring process, it also allowed a procurement officer to substantially control the decision making ability over HR matters." During the call, the intent of the VRC was discussed with the auditors. since an email is sent as a reminder that the requisition is ready for her approval. It is also not unusual for me to approve requisitions or work on other items at 3:45 a,m. My day is not limited to a set schedule and I often work well into the moming hours to get work done. I am disturbed that my efforts and dedication appear to be in question. Lastly, the initial 2015 audit stated that the DHR was "allowed to designate ce(ain positions as'unskilled labor' which permits the appointing authority to bypass the interview process during recruitment." The auditors noted that there were "insufficient approval and monitoring controls sunounding the assignment of this designation, which potentially allows the interview process to be circumvented for all county positions." If you review the initial audit, the finding was related to the department's unskilled labor registration lists and the determination as to which positions were deemed "unskilled". Based on this recommendation, the departrnent revised intemal procedures to ensure that all new classes that are created are designated as "skilled" or "unskilled" to ensure proper maintenance ofthe labor registration list. In this follow-up audit, the DHR was questioned about exempt hires and subsequently explained to the auditors the difference between civil service and exempt employees. The auditors then commenced on a new trail with regards to Excluded Managerial @M) positions. This is quite confusing as reallocations are classification issues and not hiring issues. No different from the classification of included bargaining unit (BU) positions, EM positions have a similar rigorous process for settingjob qualifications and pay (see attached). There are written policies regarding clear standards or benchmarks that would aid in identifring and deciding whether and when to change a position from a BU to an EM. The auditors' contention that the DHR does not maintain documentation over the reallocations it has performed is not accurate. The auditors agreed that the documentation was present but the substance of the document needed to include more information and filed together. The DHR explained to the auditors that while the information was not necessarily on the reallocation documents, staff often work intimately with departments through emails and verbal conversations that are not recorded on the reallocation document. The DHR agreed that all of this information should be kept with the position file. However, unlike what the auditors recommend, these "position" files should not be part ofan employee's personnel file+he payroll certification that reallocates the incumbent to the position would be in an employee's personnel file-not the position information. 3 Rccoumcndetion from8:015 Auditfinitiug* Status (pcr *Follory-up? Audit\ ;iuait "'qlncsponre ilt-r DHR should reass€ss current procedurcs and controls to ensure compliance with the HRS and County policy to establish fair and consistent hiring, promotions, transfers and reallocations. PARTIALLY IMPLEMENTED , #t -2 Internal policics should be rcviewed for bcst practices, clearly written, regularly communicated to DHR staff, and held to the same standard of authority as HRS. NOT IMPLEMENTED DISAGREF^ We belicvc that this recommendrtion hrs becn pertielly implementcd. Thc DHR brs revicwed iotcrnel policics end bclievcs iG processes rnd procedurc$ which arc regulerly discusscd and communicebd intcrnrlly, are held to the srme staodrrd of ruthority as HRS. The DIIR hrs bccn working oo rcviewing all oftfie dcpartment's currctrt policics, but does uudcrstrnd thgt revisions eod thc creetion of additionel policics will bc necdcd. As previously stated, howcvcr, tbcrc brve bccn rumcrous changcs thst hrvr becn madc lnd are communicatcd to DHR stalf oo a regutar besis including weekly stefi meetings and monthly divisionel mectings. The DHR will continuc to work on revicwing dcveloping end finelizing various rccruitment policies #l-3 DHR should monitor the appointing authority to cnsure all procedures are su flicicntly fol lowed. IMPLEMENTED PARTTALLY IMPLEMENTED AGR.EE. ilz-4 DHR should maintain 8n audit trail of sufficient docurnentation to support all personncl activity during an cmployee's carecr with the County. DISAGREE. As reportcd by Mr. Kegawr, unlike the 2015 audit, this follow-up audit failcd to identify eny missing documentrtion of the rclated hiring actions thet thc DHR war rsked to provide With regards to the documentetion for certrin reallocetiong tlrc Dircctor spokc with tbc euditon end it was agreed thet while the documcntation wrs preseng edditioorl informrtion that mey bavc occurred through verbrl or emril communicatiou witb HR steff end the deprrtmen8 should bc memorirlizcd with thc position rerllocrtion lile for backup purposcs. Thrt bcing said, it is unclcer es to why rcrllocrtions arc being scrutiaizcd rs it was not e linding in the initiel audit nor is it e hiring prectice Io eddition, witft regards to reallocrtionq the euditors fail to reelizc thrt thc reallocatioa from gn incumbcnt from an *SR'(srlery reting) to rn'EMn (cxcluded manegerirl) does not cxcmpt the incumbcnt from cMl service The dreft rcport speeks of 'regulrr civil seryice" to EM which does not make sensc rs the incumbent is still r civil servrnl Thc EM dcsigostion repreenE thc pricing of the position based on assigned duties and not the method by which the incumbent is bcing hired. #2-5 All documents should be aggregated and maintained in a single, secured file for cach employec. IMPLEMENTED AGREE. #2- 6 The files should be kept on hand for record- keeping purposes and not bc replaced with updated versions or discarded after an cmployce tcrminates. IMPLEMENTED AGREE. 4 DISAGREE The DHR has reesscsscd c[reot procedures snd controb to ensurc fair end consistcot hiring proccsscs. This is rccognized in thc report a3 thc ruditorc do crcdit thc department with meay chenges thrt heve improvcd consistcncy end complience. DHRS should con$rlt with rhe County Aitom€y to implcmcnl a comprchcnsiyc policy thst ensures compliame with documcnt r€tcntion and maintrnanc. rcquiremc[ts at t]re fcdcral, statq and county lcvels. PARTIALLY IMPLEMENTED PARTIALLY AGREE. Whil. th. DHR agrres rith th€ rccommlndltion, th. dep.rtd.nt crltnot rgr.r with th. Auditor's findirg thrt this wlr ooly prrtially iElplem.nt.d. The DHR did consult witi thc Couoq Attorncy's ofiicc to implcment r comprch.nsiv. policy thtt eniurc. complirnc:t with documeot rctaotion rnd rnrintcnrnre requiremcnt! .t th. fad.rrl, stat , alrd couoty lcvck- Whila thc Courty Atlorn.y's om.€ h.s yet to lin.liz. r Couoty policy on docum.rtt retetrtion, th. DHR info.Itlcd th. ruditors thit ir thc interim, the d.prrtm.nt is utiliting thc St t 's docutDcot r.trntion policy. Additionrlly, it is uncl..r.s to ivh.thrr the ruditors ere ewtrc of.xisting rul.s.od rcgulrtions by which thc DHR (c.9., HRS 46-43, Rcsolution 2fi)8-39), rs wcll!s other dcp.rtdrrots and rgcnci.s within thc Coun must rdhcr. to. #1 8 DHR should cnsurc sufficicnt contiols and proc,cdurcs are in phc€ for all types of pcrsonncl actionq in panicular for thosc that allow civil scrvics .lfuircmcnts to be bypasscd as thcs. subj..ts lhe County to thc grl.t st anount of risk. IMPLEMENTED NOT DISAGREE. The suditors ilitirlly askcd thc DHR to complct. r survcy to dcterminc if r.commend.tions wcr. implemcnt.d- With rcSrrds to this recomncndrtion, thc followirg .espotsc was providcd to the rlIditors: Thc Kouai County Charter prcvides for mininltm quahlicdtion requiremenls ht depa ent heodt thich are ve ed ttuouth the ER Deportment. Unlike ahe City. that's asfarat the Kauai County Chdrler Eet. ln checking wilh other jwbdiclions, ete pl hi4s ate nol screened lor ainimua qualifrcations unlas specifud by Cha er or othet outhotily. Thot being said. Kauai Courty rcquhes all ere,npt hires to subnit a job orylicalion lonn doetmentin9 their educotion, shlb ond etpericnce. ln oddition, erempl hires go through the sarne poslatet preadployraeru screenings os do ciyil s.,tic. employees. Fot etample, regadless ofexcmpt hire slatus, lhose idolvi.tg soletysentittve posiaiora are reguired to go through dtug lesling and possibly background checls bosed oa the positioL at vould civil seryice hires. Thc rccotd ofCl.ssilicitio[ Rcqucst r[d Acaio.l form rould oot b. irl .n cmployc. lilc rinca thc rarllocltior took phc. whilc thc position was vrcuL As 3uch, lhc ruccargfll rpplicant wa! hir.d AFIER th. positioE rv.s rlrrady rarlloclt.d .tld tt.rcfor.. th. irdividutl rr! NOT.r incumbcrlt whcn th. rerllocrtion .ctioo trf.s compl.t.d. Rc.lloc.ting positionr downw.rd for rrcruitment purposd occurr quile frequ.trtly rnd in this crse, occurrcd due to th. difliculty ir fillin8 the position. It is not unusurl for sn incumbent to grin skills snd bc.ssign.d more compl.r work rs crpcrience is grir.d rad would th.r.fore irrnnt ! rcallocltion brscd on cerccr progression. Thc rtrtcmlDt thst {wtiting for 3otrleooc to bc promotcd could bc rccn es prefcr.otirl trc.tmert" is imcc{r.lc .s r r..llocatioo b NOT e promotiot thrt would b6 opGn to oth.B. Thc incumbcnt n is rcco8nizid for parfornring at r highcr levcl rtrd thus, I 2 hint into r n.w clr3rificetion-hc wrs NOT motcd. With rcgsrds to the testing (pagc l4): his ne*dutiCs 5 t2-7 lmplemeated. HRS Chapter 76 req\ires lhe Direclor to creale a rcctuilrnent and eramination q$temlot ctyil semice employe* bosed on the meril sytterl Conw6ely, lhe stature does not rcqtbe merit-based hiriag or simila, prccedures Ior exempt employees. h tould appeor logical lhat that ir lhe redsonlot the etemptionlrorn In conclusion, it was the Administration's understanding that the purpose of this follow-up performaace audit of the County ofKauai's Hiring Practices was designed to examine the county's implementation of recommendations made in 2015 regarding hiring practices. This is what is stated in the Preface of the draft audit and what the DHR fully expected. While we acklowledge that policies have not been updated and./or implemented, the department has made great strides in their shorl existence as a fully functioning Human Resources Departrnent yet was minimally recognized for these efforts. We were hopeful that the DHR would be recogrized for all of their efforts in trying to implement the recommendations fiom the 2015 audit. Instead, it appeared that the auditors were quick to look for additional findings such as the classification ofexcluded positions and the existence of the Vacancy Review Committee-two items that are not even related to hiring. We are $ateflrl, however, that despite the lack ofrecognition for their efforts, this audit validated that the DHR's cunent hiring procedures and processes are sufficient given the auditors' confirmation that there were no findings/omissions from the documents requested and reviewed. The auditors' lack ofunderstanding of the civil service hiring process and the classification of positions, excluded or otherwise leads to inaccurate information and presents the DHR in a negative light. 6 CLASSIF]CATION & PRICING A4.303 EXCLUDED MANAGERIAL COMPENSATION PLAN A4 .303-1 General Section 76-13.5, Hawaii Revised Statutes, authorizesthe Director of Personnel Servj-ces to maintain a separate compensation plan for managerial white collar positions, Eor purposes of this pIan, no position shaII be designatedas "managerial" unless and until it ls excluded fromcollective bargaining coverage under Chapter 89, Hawaj.i Revised Statutes. A4.303-2 Cri-teria for Position Coveraqe Under Excluded Managerial Compensation PI an The fo1]owing criteria were adopted by the Conferenceof Personnel" Directors: White coll-ar positions under Chapter 89, HRS, are categorized under the respective position classification p.l,ans of the State, Judiciary, Hawaii Heal,th Systems Corporatj-on and the counties. Positions excluded form Chapter 89 are designated by categories Ij.sted in Section89-6(f), and the final determination on the applicabilityof Sectr-on 89-6(f) to specific positions and empl.oyees is made by the Hawaii Labor Relations Board (HLRB). "Top-Ievel managerial and administrative personnel,, is an exclusion category listed in Sect j.on 89-6(f) , andapplicable criteria have been enunciated and amplifled by HLRB. Whethe! an excluded white coL]ar position is "manageri-al" nonetheless depends prinarily on the facts ofduties and respons i.bi I it i es assigned. With reference to Chapter 89, HLRB criteria, and corunon usage, the term "managerial" is used in the commonly accepted sense of policy formulation and implementation for an agency or department, program or division, or major branch or section, with clear evidence of considerablediscretion in resource utilization. 4'l t1 / 7 /021 1) 2) Coverage as "excluded managelial" includes those who: are excluded form collective bargaining,' are presently in classes assigned to salary range 24 or hiqher, and 3) meet one of the following criteria: . is a division head or an assistant division head; i,s at or near the top of an ongoing, complex agency or major program and formulates or determines policy for that agency or program; directs the work of a major program or agency or a major subdivision thereof with considerable discretion to determine means, methods and personnel by which the agency or program policy is to be carried out; a a a A4.303-3 Application of Criteria Criteria applies to managerial employees in the civil service systen excluded from coflective bargaining in theState, ,.Iudiciary, HHSC, and the counties who would otherwise be in BU 4, 9, 10, Ll , !2t 13. No excfuded position assigned to a saLary range below SR 24 is determined to be managerial. positions designated managerial are found at salary ranges 24 to SC 3. Designation process is an on-going one to be initiated by the department or the DpS, requiring appropriate documentation, review, and determination. 48 t1/r/02) is a central agency position involved in the preparation for and conduct of negotiations or has a major role in the administration of agreements or in personnel- administration or meets and confers with union representatives as required under HRS S 89- 9(c), provided that, such role is not routine or clerical in nature and requires the exercise of independent judgement. A4.303-4 Alignment of Classes in the Excluded Managerial Compensation PIan A4.303-4. 1 PoIicy It is the policy of the Department of Personnel, Services to estabLish and malntain reasonable and appropriate salary range relationships among classes vrithin the compensation plan for excluded managerial white co11arpositions, Methods and procedures are consistent with thatgoal, and incLude periodic review of the plan for recommended chanqes or adjustments in salary range. The Director of Personnel Services is authori-zed to take al,I necessary steps to imp.l.ement the foregoing policy subject to such approvals as requj-red by procedures. 4A.303-4,2 Method 4A,303-4.2a Evaluation factors The assignment of classes to salary ranges is conslstent with the nature and scope of responsibj-lities, and the complexity of functions of these classes, Similarities and differences are analyzed in ranking classes from 1ow to hj-gh, and evaluations are based on a consideration of at least the following factors: 1) Character of Work - Nature, and impact or consequence, of the program or functions for which class is responsible; role of the class (i.e. staffline); echelon or reportlng level of the class, andof authority and responslbility vested for program accompLishment, the or degree 2) Complexity of Work - Nature, size and complexityof the organizatj.on for which the class provides leadership, or to which staff services are provided; natule and scope of substantive relationshj-ps within and outsidethe organization served; knowledge and skill requirements. A4.303-4.2b Bench mark Classes 49 tl/7/021 Certain classes, referred to as bench mark classes,are selected to serve as key reference points in confirrningthe correctness of the eval,uation, by means of the factorsIisted above, of other classes. Bench mark classes are sel-ected on the basis of the following criteria: 1) Common to aII or most jurisdictions. 2) CIa6s concepts are typical of governmental entities and well-understood by job analysts, and eval"uat j-ons are well-accepted and documented. 3) Represent a sufficient ariay classes of work to provide an adequate in confirming evaluations. Pricing actions affecting cla sses approved by the Mayor as authorized by Revised Statutes. A4.303-4.3 Procedures A4.303-4.3a ceneral The Director of Personnel Services is responsible for informing employees and operating agencies of the County of Kauai of the policies and procedures expressed herein, and act j-ons affecting them thereby. Standard forms as prescrLbed by the Director areutil-ized in aI1 pricing review proceedings. of line and s taff frame of reference in the EMCP may be Section I 9C, Hawai i A4 .303-4.3b Pricing of New Cl,ass To establish and price a new class in the EMCP, theDepartnent of Personnel Services circulates a notice ofintention, including the basis of its evaluation, and acopy of the proposed class specification, to other affectedjurisdictions for review and comment. Corunents of otherjurisdictions are considered in adopting a new c1ass. Any affected employee, the director of a departmentwith affected positions, their designated representative,or an employee organization acting on behalf of its 50 t1/1/02t membership who disagrees with the pricing, may request anadmlnistrative review of the action. The request shal1 bein writing, within 20 calendar days from the date ofnotice, addressed to thd Director of personnel Services, 4444 Rice Street, Suite 140, Lihue, Hawaj.i 96'?66. The administrative review is conducted at such time and place as considered appropriate, and the requestor (s) may appear at such meeting to make further presentation, Findings and conclusions are reported to the Mayor, as ch j-ef exequtive, for approva)-. Adjust.ments recommended by the Director of Services and approved by the Mayor are effective retroactr.ve to the date of the new class action.Director lnforms affected parties of the approved and pertinent rationale. Personnel The actions 5i t1/1/02t James Whitfield Chair Joanne Nakashima Mce Chair September 9,2019 Arryl Kaneshiro, Honorable Council Chair and Members of the County Council C/o Office of the County Clerk Council Services Division 4396 Rice Street, Suite 209 Lihue, Hl 96766 Members: Preston Chong Tyler Rodighiero COUNTY OF KAUA'I COST CONTROL COMIVflSSION C/o Office of Boards & Commissions, 4444 Rice Street, Suite 1S0 Lihu'e, Hl 96766 Rf: f;{l\/f D 19 sP t0 A8 52 '-u;ivti\i*tr{ Re: Request for information on audits performed Dear Chair Kaneshiro, At its July meeting the Cost Control Commission discussed items to pursue for the year. It is our understanding that since 2009, 19 audits have been performed. Please provide the following information on those audits that have been conducted in the past five (S) years: 1. The date and scope of those audits. 2, Audits performed and any management letters associated with those audits 3. Any recommendations of those audits. 4. Progress of the County on the implementation of those recommendations associated with cost contro!. A response by no later than October 7 ,2019 is requested, Should you have any questions, please feel free to contact Boards and Commissions Administrator Ellen Ching al 241 4922 or echino@kauai.oov James Whitfield Chair' Kauai County Cost Control Commission An Equal Opportuntty Employer 1/9/23, 12:07 PM Office of Information Practices | Chapter 92, Hawaii Revised Statutes: Public Agency Meetings and Records https://oip.hawaii.gov/laws-rules-opinions/sunshine-law/chapter-92-hawaii-revised-statutes-public-agency-meetings-and-records/#:~:text=§92-2.5 Per…1/1 §92-2.5 Permitted interactions of members. (a) Two members of a board may discuss between themselves matters relating to official board business to enable them to perform their duties faithfully, as long as no commitment to vote is made or sought and the two members do not constitute a quorum of their board. (b) Two or more members of a board, but less than the number of members which would constitute a quorum for the board, may be assigned to: (1) Investigate a matter relating to the official business of their board; provided that: (A) The scope of the investigation and the scope of each member’s authority are defined at a meeting of the board; (B) All resulting findings and recommendations are presented to the board at a meeting of the board; and (C) Deliberation and decisionmaking on the matter investigated, if any, occurs only at a duly noticed meeting of the board held subsequent to the meeting at which the findings and recommendations of the investigation were presented to the board; or (2) Present, discuss, or negotiate any position which the board has adopted at a meeting of the board; provided that the assignment is made and the scope of each member’s authority is defined at a meeting of the board prior to the presentation, discussion or negotiation. CSC 2023-10 a) COUNTY OF KAUAI – CIVIL SERVICE COMMISSION DIRECTOR HUMAN RESOURCES – ANNUAL EVALUATION Apprvd 8/4/20/Amend&Apprvd 12/7/21: Page 1 Name: Annette Anderson Appointment Date: 02/16/20 Reason for Report: Pursuant to County Charter 15.04 the Director of Human Resources shall be appointed and may be removed by the Civil Service Commission. As expressed by the Hawai‘i Intermediate Court of Appeals, implicit in the powers to appoint and remove are also the power to evaluate and discipline. Pursuant to HRS §76-75 the merit appeals board shall appoint and may at pleasure remove a personnel director, who shall be the chief administrative officer of the department of civil service. Period of Report: Commissioner Name: Date: 1. Leadership Skills and Professional Qualities •Leads by example. Exhibits honesty, integrity, and self-discipline. •Sets and enforces professional standards. •Promotes, supports, and implements EEO policies and programs. •Motivates and develops subordinates. Serves as a mentor. •Accepts personal responsibility. Overall Rating – check one box - whole numbers only: ___ 5-Excellent/Outstanding ___ 4-Good/Exceeds Expectations ___ 3-Satisfactory/Meets Standards ___ 2-Needs Improvement ___ 1-Unsatisfactory Examples: (Provide specific examples of performance) 2.Policies, Procedures, Rules and Regulations •Adheres to and implements the principles and methods of recruitment, placement, classification and compensation, training and employee relations, labor relations/collective bargaining, maintenance of personnel records and reports, incentive and service awards, health and safety, organizations and staffing, and Equal Employment Opportunity/Affirmative Action Programs. •Adheres to and coordinates a comprehensive labor relations program to ensure prompt, fair and consistent administration of the bargaining unit contracts and resolution of grievances, appeals and/or complaints. Promotes, supports, and implements EEO policies and programs. •Identifies alternatives and recommends action to be taken. Overall Rating – check one box - whole numbers only: ___ 5-Excellent/Outstanding ___ 4-Good/Exceeds Expectations ___ 3-Satisfactory/Meets Standards ___ 2-Needs Improvement ___ 1-Unsatisfactory Examples: (Provide specific examples of performance) CSC 2023-09 COUNTY OF KAUAI – CIVIL SERVICE COMMISSION DIRECTOR HUMAN RESOURCES – ANNUAL EVALUATION Apprvd 8/4/20/Amend&Apprvd 12/7/21: Page 2 3. Planning, Organizing, and Setting Priorities • Sets priorities. Develops realistic and attainable goals with accompanying metrics to measure progress. • Develops plans to achieve departmental and county goals. • Anticipates and solves problems. • Anticipates and budgets for future personnel and equipment. • Develops contingency plans for major events and emergency operations. Overall Rating – check one box - whole numbers only: ___ 5-Excellent/Outstanding ___ 4-Good/Exceeds Expectations ___ 3-Satisfactory/Meets Standards ___ 2-Needs Improvement ___ 1-Unsatisfactory Examples: (Provide specific examples of performance) 4. Personnel and Resource Management • Develop training programs; analyzes training needs with department mangers; establishes organizational and personnel development programs. • Recognizes and addresses personnel problems at the earliest stages. • Prepares the budget in accordance with department and county policies. Exercises fiscal control, with emphasis on controlling overtime. Overall Rating – check one box - whole numbers only: ___ 5-Excellent/Outstanding ___ 4-Good/Exceeds Expectations ___ 3-Satisfactory/Meets Standards ___ 2-Needs Improvement ___ 1-Unsatisfactory Examples: (Provide specific examples of performance) 5. Communications • Provides positive feedback and corrective counseling to subordinate personnel as appropriate. • Maintains on-going communications with county leadership, and as the mayor’s representative and spokesperson at the bargaining table with public sector unions. • Keeps the Civil Service Commission and county leadership informed on incidents that could affect departmental operations and community relations. Responds promptly to Commission requests for information. Overall Rating – check one box - whole numbers only: ___ 5-Excellent/Outstanding ___ 4-Good/Exceeds Expectations ___ 3-Satisfactory/Meets Standards ___ 2-Needs Improvement ___ 1-Unsatisfactory Examples: (Provide specific examples of performance) COUNTY OF KAUAI – CIVIL SERVICE COMMISSION DIRECTOR HUMAN RESOURCES – ANNUAL EVALUATION Apprvd 8/4/20/Amend&Apprvd 12/7/21: Page 3 Notable Accomplishments and Recognition Achieved This Reporting Period: Quality, Adequacy and Effectiveness of Monthly and Quarterly Reports: Overall Job Competency: Areas Needing Improvements : Evaluation Results: Final Total Points (add overall rating score from each evaluation factor 1 to 5):____________ Overall Rating: ____ 23-25 points or 90-100% Excellent/Outstanding ____ 20-22 points or 80-89% Good/Exceeds Expectations ____ 13-19 points or 50-79% Satisfactory/Meets Expectations ____ 10-12 points or 40-49% Needs Improvement ____ 5-9 points or 39% & below Unsatisfactory I Received a Copy of this Performance Review: ___________________________________________ Date: _____________ Director Human Resource Discussed with Director By: _______ _ Date: _____________ Chair – Civil Service Commission