Orange County Human Resources Out of Date, Out of Time*

Selection Rules and Appeals Procedure (SRAP): The Orange County Merit System Selection Rules and Appeals Procedure (SRAP) was last revised November 20, 1978. The Grand Jury found that: • The SRAP contains outdated terminology. • The SRAP does not reflect the current decentralized structure of the Human Resources function. • The SRAP is inconsistently interpreted among County agencies and departments. • The oversight and audit procedures of Orange County Human Resources (OCHR) are marginally effective. • The appeals process described in SRAP does not reflect current practice. • The SRAP references government programs which have evolved or been redefined. • The SRAP does not reference government programs which have been established since 1978. • The SRAP does not reflect current practice in reference to computerized or on-line capability and utilization. Disagrees partially with the finding. Response: The Human Resources Department (HRD) acknowledges that there are some inconsistencies in interpretation of Orange County's Merit Systems Selection Rules and Appeals Procedure. The varied interpretations may be attributed to the age of the document as outlined in this report. These interpretations impact the style versus the substance of recruitment processes. For example, the recruitment/selection methods used are not outside the intent of the SRAP or Merit System Principles. Cooperative Personnel Services/Merit System Services recognized this in the Performance Management Program Review dated May 2004, which found that Orange County was not out of compliance with the Local Agency Personnel Standards (LAPS) requirements specific to Merit System Principle 1--Recruitment and Selection. In the event inconsistency of interpretation leads to a violation, the SRAP provides for a Selection Complaint Procedure. The Selection Appeals Procedure as described in Orange County's Selection Rules and Appeals Procedure Article IX does reflect current practice including Section 3, which specifically provides the process for Appeals. HRD's Compliance Team audits a 5% sampling of recruitment related data. In 2002, the Compliance Team began to focus audits on those transactions with the highest impact of error in relation to frequency of error. For example, hire, rehire and promotion actions Exhibit 2 are audited to ensure that candidates are hired through a competitive process and Merit System Principles are followed. This methodology reduces the sample size needed to ensure compliance. Additionally, a number of specific auditing reports have been created so departments have the ability to self audit. The audits are one part of a multi-pronged, proactive approach to ensuring compliance. The approach also includes: o Daily processing consultation for every County Agency and Department. The service is focused on recruitment and selection processing that is aligned with Orange County's Merit System Selection Rules and Appeals Procedure; o One-on-one training for Departments; and o Onsite support. The Compliance Team routinely conducts site visits to departmental Human Resources teams that emphasize auditing requirements. Onsite visits by HRD to all County Agencies and Departments have steadily increased and expanded. Within the last year, Compliance Team site visits have included Recruitment Program participation. HRD's 2008 Business Plan recognizes the value of continued site visits by HRD staff. Another aspect of HRD's proactive approach is the work done by the Recruiting Program. The Recruiting Program operates as an internal consultant focused on recruiting, marketing, and selection. Specifically the focus is on best practices that are fair, legally compliant and solution oriented. The Recruiting Program does this by promoting recruiting partnerships across departments, leading recruiter forums, and supporting and developing recruitment related initiatives, training and tools to meet department hiring goals. Staffing Levels: The Human Resources function in Orange County has lost

over 22% of its staff since 1996 and continues to shrink. Disagrees partially with the finding. Response: Orange County's Human Resources Function is composed of a Corporate Department (HRD) and Agency and Department Teams. Although HRD was unable to verify the countywide number of Human Resources staff in 1996, we disagree that Orange County's Human Resources function continues to shrink. In November 1999, the countywide Human Resources staff total was 246; as of March 2008, the number was 243, a difference of less than 1%. During this period, the County has streamlined HR processes and leveraged technology to support recruiting efficiencies. The County has also won multiple recruiting awards including receipt of an Innovation Award in 2005 and recognition for Leadership in Strategic HR in 2007.

Background Screening: Background screening of job applicants is inconsistent and not verified in most cases. Disagrees partially with the finding. Response: 41 £ Exhibit 2 County employees undergo a standard background check that includes checking for misdemeanors and felony convictions in the State of California. Screenings beyond the standard differ from department to department as deemed appropriate. However, whenever a specific degree or license is required for a position that information is always verified.

Agency Practices: Recruitment, hiring and promotion practices are inconsistent from agency to agency, deviating from the merit principles governing recruitment, selection and career advancement procedures, as defined in California Local Agency Personnel Standards (LAPS). Disagrees partially with the finding. Response: HRD acknowledges that there are some inconsistencies in interpretation of Orange County's Merit Systems Selection Rules and Appeals Procedure. The varied interpretations may be attributed to the age of the document as outlined in this report. These interpretations impact the style versus the substance of recruitment processes. For example, the recruitment/selection methods used are not outside the intent of the SRAP or Merit System Principles. Cooperative Personnel Services/Merit System Services recognized this in the Performance Management Program Review dated May 2004, which found that Orange County was not out of compliance with the Local Agency Personnel Standards (LAPS) requirements specific to Merit System Principle 1--Recruitment and Selection. In the event inconsistency of interpretation leads to a violation, the SRAP provides for a Selection Complaint Procedure. HRD works proactively as a team to continuously educate Agencies and Departments on conducting recruiting and selection activities within a fair and legally compliant framework. In the event inconsistency leads to a misapplication or violation, the SRAP provides for a Selection Complaint Procedure.

Material Misrepresentations: Material misrepresentations by job candidates in the hiring/promotion process may not result in termination. Response: Agrees with the finding. Any material misrepresentation by job candidates in the hiring/promotion process may not result in termination; however, each instance is evaluated on a case-by-case basis. The current Certificate of Applicant on Orange County's job application states: I certify that all statements made in this application and the attachments are true and I agree and understand that misstatements or omissions of any material fact may be cause for disqualification or dismissal. I also grant permission for the County to verify any and all information contained within by contacting former employers and schools, etc.1 1 County of Orange, Application for Employment A ........ s . . f Exhibit 2 Although the language allows the County to dismiss immediately an employee for any material misrepresentation, relevant court and arbitration decisions must be considered before taking action against an employee. Response to Recommendations Selection Rules and Appeals Procedure (SRAP): Rewrite the Orange County