This packet contains supplemental information to be used for the class exercises in the Writing Effectively for a Busy Audience training.

Transcription

1 This packet contains supplemental information to be used for the class exercises in the Writing Effectively for a Busy Audience training. For exercises 1, 2 and 4 there is information from an audit of a human resource department s process of reviewing job applicants. The information consists of a summary of fieldwork findings, a description of the dept. extracted from the organization s budget book, and applicable sections of county ordinance that governs the hiring process. For exercise 3 there are two pages from an audit of a program that serves developmentally disabled adults and children.

2 Material To Be Used In Conjunction With Class Exercises #1, #2, and #4 Some General Background Information The HR program and the Risk Management program are combined into the HR/Risk Department. In total there are individuals, including the position of department director. There are 3 HR analysts, 2 project/program analysts who primarily work in the Risk Program, and 2 administrative assistants. Employees time and expense is allocated among the two programs. The fiscal year budget for the HR program was approximately $700,000 of which the majority ($568,022) was for personnel. In 2011 the HR program began using NeoGov, which is an online application program. One of the administrative assistants is assigned responsibility for receiving job requisitions from other departments, uploading the job posting to NeoGov, and then when the job posting closes reviewing the applications and forwarding those that met the minimum qualifications to the hiring department. An HR analyst is responsible for approving the posting, which primarily involves determining that the department has the needed budget and that the position was authorized. Summary of Fieldwork Results from HR Audit Interviews with HR Staff HR staff provided an overview of the history of the department. The dept. had originally been part of the County Administrator s Office but became its own dept. in October The first Director left in 2010 and the Risk Manager was promoted to Director. He was there about a year and then left in The County has come close to hiring a new director a few times but the position remains unfilled. While the search continues, the Senior Deputy County Administrator has been serving as Interim Director but he is still housed in the County Administrator s Office and has all his other responsibilities. HR staff are responsible for reviewing all received applications to determine if the applicant met the minimum qualifications and whether the applicant submitted a complete application, which includes copies of transcripts and professional licenses as applicable. Those that met the minimum qualifications are passed forward to the hiring department, which then determines which applicants it will interview. HR expressed that their primary concerns are that the County be accused of bias against a job applicant or of giving preferential treatment to an applicant. As a result, HR has adapted a no exceptions approach when reviewing applications to determine if the applicant met the minimum qualifications for the advertised position and submitted a complete application.

3 A HR staff person mentioned that the most difficult part of the job is having to fail an applicant if the transcripts don t state that the person graduated and the minimum qualifications include having a degree. When asked to elaborate, she stated that applicants are allowed to submit unofficial transcripts but sometimes these don t list the degree received. She also mentioned that a lot of applicants don t attach transcripts, even though they are required to do so, if the minimum requirements include a degree requirement. She does not contact any applicants to let them know there was an issue with their transcripts. Interviews with hiring managers A number of hiring managers were interviewed. Some had no concerns with the process but some were frustrated that they do not receive a big enough applicant pool, stating that HR was too rigid. One hiring manager provided an anecdote of a long-term employee who applied for a promotional position. In the Work Experience section of the application, the employee hadn t listed his current position with the County, which he had held for more than 10 years. The application required applicants to provide a 10 year work history and since this section was left blank, the applicant was determined to not have submitted a complete application and was therefore disqualified. Formal Survey of hiring managers A survey was sent to all hiring managers to be completed anonymously. The purpose of the survey was to determine if they are receiving the number and quality of applicants that they expect to receive. The responses are below: Survey Question The number of qualified applicants is generally what I expect to receive or higher The quality of qualified applicants is generally as good or better than what I expected to receive All or most of the time 24 (28%) 10 (12%) Slightly more than half the time 21 (24%) 24 (29%) About half the time 14 (16%) 21 (26%) Slightly less than half the time 21 (24%) 23 (28%) Never or almost never 6 (7%) 4 (5%) Review of applications The auditor reviewed a total of 198 applications received for 8 different positions. For each application, the auditor agreed with HR s evaluation of whether the applicant met the minimum qualifications, according to the standards used by HR. The auditor also found that 11% of applicants for positions with a degree requirement, did not submit transcripts and, as a result, were eliminated from further consideration. The auditor also found several instances in which applicants submitted transcripts but were still determined to be not qualified because the applicant submitted unofficial transcripts that didn t show degree status or because the applicant was enrolled in a master s program and submitted transcripts showing those classes

4 but not his/her undergraduate transcripts. In other unique situations, one applicant submitted screen prints of his/her transcript but had appeared to upload page 2 twice but not page 1, where degree status is listed. Another submitted transcripts from what appeared to be when he/she first enrolled in college but not the transcripts from when he/she returned and complete the degree program. Survey of employees hired within the last 6 months These employees were also sent a survey to be completed anonymously. They provided these results to the following 2 questions: Survey Question I found the online application to be quick and easy to use If required, I had no problem uploading transcripts, etc. Strongly Agree Agree Neutral Disagree Strongly Disagree No Opinion / Not Applicable Applicable Sections of the HR program description published in the County Budget Book Program Description The Human Resources Program supports all County operations by ensuring equitable treatment of employees in accordance with labor contracts, State and Federal law, and County policies. The public has a right to expect that the County will recruit, hire, and retain only the most qualified people and that those people will receive ongoing training. The Human Resources Program also protects the County s interests by applying, and helping managers apply, its considerable expertise in employment law and best employment practices. Additionally, the Human Resources Program is integrated with the County Risk Program by managing the level of risk to people, equipment, and property. The Program is helping meet County goals: (2) Serve all citizens fairly and ensure access to County government; (4) Strengthen cooperation between public agencies; and (9) Promote employee pride, high standards of performance, and productivity. Performance Measurements Applicable to this Audit 1) Employee Recruitment, Selection, and Retention Strategic Objective: Identify, through a competitive screening process, the best qualified candidates for County positions and work to train and retain those employees once hired. Outcome Measurement: Applicants screened in a competitive process. Outcome: 100% [100% reported for last 4 years and predicted for current year]

5 2) Expedite the Hiring Process for Vacant Position by Screening and Forwarding Qualified Applications to the Hiring Departments Strategic Objective: Provide applications that meet the minimum requirements of the position to departments in a timely manner in order to fill open positions as efficiently as possible. Outcome Measurement: Applications forwarded to departments within three business days of recruitment closing. Outcome: Has steadily improved from 85% to 97% during last four years. Significant Issues in the Year Ahead The Human Resources Office has been charged with continuous improvement of the work culture of Jackson County in support of the vision and objectives of the County Commissioners. As such, HR has provided training for County employees in numerous areas of interpersonal communications, customer service, ethics, and conflict resolution. An extensive Managers Overview training designed for new managers has also been added; it is designed to strengthen the knowledge and skill competencies essential to providing effective management and a common vision for County departments. Since the implementation of NeoGov in June of 2011, the County s application process has become automated, making it easier, faster, and more efficient for applicants applying for positions. Following the screening process, managers receive electronic notification that the applications are available to review and they have instant access to the on-line qualified applications. The Human Resources Office has significantly reduced its storage and printing costs for applications resulting in the County saving resources. NeoGov is a nationwide provider enabling Jackson County to gain exposure in the NeoGov community throughout the country, which assists in marketing the County s jobs to a larger audience. In fiscal year , Human Resources expects to collect, screen, and review 9,000 employment applications. Applicable Sections of County Ordinance PURPOSES. The purposes of this chapter are to establish a system of personnel administration based on merit, fitness and systematic and equitable principles governing appointment, compensation, status, promotion, transfer, layoff, removal and discipline of County officers and employees and other considerations of County employment; to efficiently and economically utilize manpower in County service; to maintain a uniform plan of classifications and compensation based upon the relative key performance areas and responsibilities of positions in the County service; to develop and maintain a program of recruitment, training and promotion that will make a career in the County service attractive; and to develop and maintain a personnel system which complements recognized collective bargaining agreements. (Ord Passed )

6 APPOINTMENT PROCEDURE. (a) Personnel Requisitions. Vacancies are filled by submitting a personnel requisition to the County Administrator stating the title and compensation level of the position, the reason for the vacancy and a statement of adequate funding. (b) Approval. An appointment to a temporary or permanent position within the County service requires the approval of the Board of County Commissioners or its designee and shall be submitted by means of a personnel action notice. (c) Effective Date. An appointment to a regularly permanent budgeted position shall become effective upon approval or an agreed upon effective date. (d) Minimum Qualifications. Unless special circumstances apply, no applicant possessing less than the minimum qualifications as specified in the job description shall be appointed to any permanent position with the County. (e) Recruitment. Unless otherwise agreed upon by the County Administrator, all vacant positions shall be filled by means of open recruitment. (Ord Passed ) APPLICATIONS. (a) No person who has failed to file a proper application by the filing deadline may be appointed to any permanent position with the County. Resumes may be accepted as additional information regarding the applicant. However, all information requested on the application shall also be submitted. Unsigned applications are subject to disqualification. (b) The application, or a copy thereof, of any person appointed to a permanent position with the County shall be sent to the County Administrator to be kept on file. (Ord Passed ) DISQUALIFICATION FROM CONSIDERATION FOR EMPLOYMENT. A potential employee may be disqualified as an applicant for the following reasons: (a) Failure to meet minimum qualifications for the applicable position as described on the job announcement; (b) Conviction of a crime which would seriously affect job performance in the specific job for which the applicant is being considered; (c) Incomplete application/resume, which, in the view of the County Administrator, does not include all required information; or (d) False or misleading statements on the job application or resume. (Ord Passed ) OPEN RECRUITMENT; SELECTION. (a) All vacancies shall be filled by means of open recruitment, unless otherwise specified. Open recruitment means an open period of time during which employees and members of the public may apply for a vacant position. Selection will be based on an applicant's relative qualifications as established by the statement of minimum qualifications.

7 (b) A potential applicant may compete for a job by submitting an application to the County Administrator. Applicants will be screened and those meeting minimum qualifications shall be forwarded to the requesting department for an interview and selection. The County Administrator is the final authority in cases of disputed appointments. (Ord Passed ) REFERRAL OF APPLICANTS. (a) Upon completion of the recruitment period for applicants to fill a vacant position within the County service, the County Administrator or his or her designee shall review the qualifications of the applicant for the position as stated on the appropriate job description. As specified by the department which has the vacancy, three to ten applications for the position shall be referred to the department. Under no circumstances shall any application be referred for further consideration when the applicant does not meet minimum qualifications for the position. The number of applicants specified by the department shall not exceed the number of interviews anticipated by the department to be necessary to fill the vacancy.121 Officers and Employees Generally (b) If the applications forwarded to the department are unsatisfactory to the department, recruitment procedures may be reinitiated, subject to the approval of the County Administrator. (c) As the result of approved testing procedures or other circumstances, the County Administrator may grant an exception to this section, enabling the department to receive all applications of persons determined to meet minimum qualifications. A request for such an exception shall be in writing and shall state the result if the request is granted. (Order Passed )

8 Exercise Three This exercise is for the purpose of honing your editing skills. Critically review the writing to identify techniques used by the author to improve readability and also to identify opportunities to further improve the readability. The pages are from an audit of a program that serves developmentally disabled individuals. Audit Findings The following four sections each discuss one of the Program s four primary responsibilities: Intake, Service Coordination (Case Management), Provider Certification, and Investigations. Each section discusses the results of our work as it relates to matters of compliance, efficiency, effectiveness, and strategic objectives. A fifth section discusses workload tracking and equity, which pertains to the Program as a whole. A sixth section provides the results of a survey of group and foster home providers. INTAKE ELIGIBILITY ASSESSMENT We found the Intake Eligibility function to be in compliance with State requirements, based on the results of a State compliance audit conducted in September 2013 with a report issued in December Fifty-three case files, approximately 5% of the current caseload, were reviewed to determine if the County had complied with State regulations when completing the eligibility assessment process. We reviewed the State s audit work and found that it was comprehensive. The State tested compliance with all major applicable Oregon Administrative Regulations (OAR) and all but a few minor regulations. In reviewing the files, the State found just a few items. The items were: Three re-determinations occurred after the client reached the specified age at which redeterminations are required. One eligibility notice did not correctly state when the next re-determination would be due. Two applications were missing and one application was not dated. One file needed a case note to clarify eligibility, and one needed an update to the Notice of Eligibility. Three files had data inconsistencies between the eligibility determination notices and State forms (Title XIX and 0337). The State also conducted a competency assessment of the individual serving as the County s Eligibility Specialist. She passed the review with a score of 100% and was commended for demonstrating solid understanding of administering the OAR s for processing eligibility decisions and because she continues to seek out clarification as new processes are introduced. The State also noted that the

9 County uses the best practice of meeting face-to-face with applicants to assist them in completing the application forms. The Program has established one strategic objective related to eligibility, as documented in the FY Budget. It is to ensure that initial and age-specific redeterminations are completed within Statemandated timelines. The Program is meeting that requirement. CASE MANAGEMENT Monitoring controls are in place to ensure compliance with State billing and program requirements. Building upon this foundation, monitoring case outcomes in addition to compliance requirements would elevate the Program from a compliance focus to a client centered effectiveness focus. The Program is to be commended for establishing a monitoring system. The Service Coordinator Supervisor monitors compliance and billing requirements such as whether Service Coordinators are conducting the required number of monitoring visits, meeting service level requirements, and completing annual Individual Service Plans (ISP) for all clients. However, there is no systematic process for tracking and reporting on the client quality of life metrics. The Program has established strategic objectives, documented in the county budget, that focus both on compliance and performance aspects of case management. Tracking, monitoring, and reporting of the compliance objectives takes place but more can be done to track performance aspects. The strategic objectives are discussed below: SERVICE COORDINATION - Complete an assessment of support needs and implement a plan for meeting those needs, for each client that is enrolled in case-management, at least one time a year. Completion of an annual Individual Service Plan (ISP) is a State mandate. The Program monitors this to ensure compliance, i.e. that there is a plan for every client. Each client s ISP contains a section that lists his/her goals and related information. For example, a client may have the goals of completing a particular household chore once a week, participating in a community activity x times per month, going shopping or attending a movie x times per month, etc. There is no systematic manner by which progress towards meeting each client s goals are tracked by the Service Coordinator and monitored by the Supervisor. For example, one Service Coordinator may make entries regarding client goals in a case note; another may make notes on a monitoring checklist. Ultimately, foster/group home providers and the brokerage play the primary role in helping their clients achieve the goals established in the ISP. They are the ones involved in the day to day life of the clients. That said, if the Program were to formally track and monitor client

10 goal achievements, that information could then be used for evaluative purposes in determining whether the goal of improving the quality of life of its clients is being achieved. Compliance is mandated and time is typically in short supply. As such, we recognize that there are legitimate reasons for not saddling staff with additional tasks. We do, however, encourage the Program to, as able, initiate the process of developing and implementing a systematic means for monitoring and reporting on the achievement of client goals. RESIDENTIAL GROUP HOMES, FOSTER HOMES, AND SUPPORTED LIVING - Ensure the monitoring of services for each individual in a comprehensive service is completed quarterly, at a minimum. This compliance requirement is being exceeded. In the past, the State had required 10 monitoring visits each calendar year, but currently requires a quarterly monitoring of each licensed/certified home. The Program made a decision to maintain a policy of requiring 10 monitoring visits for homes/residential sites with three or more individuals. This decision was made with the belief that maintaining a ten visit minimum would result in a higher standard of protection for the clients, especially in instances when there was a lack of confidence in a particular provider. We recommend that the Program evaluate the 10-visit policy to determine if it is the most efficient and effective way to achieve the necessary protection of its clients. For example, the Program may find it more useful to establish a policy that requires the state mandated 4 visits while simultaneously requiring additional visits when certain conditions exist. FAMILY SUPPORT - Decrease the likelihood of out-of-home placement by providing families of minor children individualized supports such as specialized equipment, consultation, training, and respite. The Program does not formally track data for this objective because very few children progress to the point where they need to be moved out of the home. Service Coordinators recalled 4 clients, or 1% of minor clients, that were moved to an out-of-home placement over the six month period ending May In reviewing the case details, it appears that needed supports had been provided and, unfortunately, the four moves could not have been prevented. While not a priority issue, we do recommend that the Program develop a process to track performance regarding this objective.

11 EMPLOYMENT - Provide developmentally disabled adults, in comprehensive services, with the opportunity to be employed in their community settings with supports, as necessary. The Program does not track performance of this objective. However, data is available in the Developmental Disability Access database to do so. We were able to determine that 51% of clients were either employed or in a day program that serves as an alternative to employment. Of the remaining 49%, some clients may have chosen not to be employed or in a day program. The database does not currently track this so we could not determine the percentage of willing clients who are actually employed or in a day program. We recommend that the Program begin monitoring, reporting, and using this information. Opportunities likely exist to increase the efficiency of documentation practices. We did not examine this in great detail, but several observations indicate that there is unnecessary duplication of efforts and documentation. The Program must collect and document information that relates both to clients and to group and foster home providers. Additionally, the same information may be needed by the Service Coordinator Supervisor, Service Coordinators, and Administrative Assistant. We observed that: ISPs, case notes, needs assessments and other information is kept both electronically and in hard copy files. Service Coordinators produce case notes electronically then print them out and place the copy in the case file. s are also often printed and saved electronically. Documentation is not centrally located, and may be located in the case file, investigation file, archive, or State databases. The Service Coordinator Supervisor has a monitoring system to track compliance with State requirements. At least one Service Coordinator has also developed her own tickler system that performs the same function. On a monthly basis, the Service Coordinators are each sent a spreadsheet listing his/her cases. The Service Coordinator reviews each case and indicates on the spreadsheet the date they provided a billable service. The Service Coordinator attaches copies of the case notes that document the services were provided. The Office Assistant then reviews the spreadsheet and supporting case notes to verify there is a case note for each service they will bill for. Copies of a case note pertaining to a visit to a home are placed in the individual files of each client residing in the home as well as in the file of the group or foster home. Use of an Access database may help eliminate duplicative activities and allow for more efficient processes. Access takes Excel to the next level. Access is a relational database

12 system, which means it allows for cross-referencing and reporting on any piece of data included in the database, or any combination of data points. Additionally, any document already stored in the computer can be attached to the records maintained in the database. For example, a Service Coordinator writing a case note using Word can simultaneously attach that document to a client record and a group home record in the database system. We recommend that the Program examine whether the benefits of using Access as a simple case management system warrant the investment of time and energy in developing a database and the proficiency needed to use it. Other Efficiency Improvements Service Coordinators are often required to complete annual documents for various different programs for each client. For example, in addition to the annual ISP, some clients also require an annual Waiver, and Personal Care program documents. The due dates for these documents do not always coincide, but it would be more efficient if they did.