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AUDIT PLAN Direct Appointment Audit – 2006 AUDIT PURPOSE AND SCOPE The purpose of this audit is to review state agencies’ use and documentation of direct appointments on an annual basis. The audit will include determining if direct appointments are being made consistent with established Oregon Administrative Rule (OAR), Human Resource Services Division (HRSD) State Policy, and/or applicable collective bargaining agreement (CBA). The review will also verify that agencies are maintaining the required documentation. REFERENCES ORS 240.306 Methods of Selecting Employees for Service – lists the criteria, procedures and duties of state agencies when recruiting, selecting and promoting employees. OAR 105-040-0050 Direct Appointments – provides state agencies with an alternate method to the open competitive process when making initial appointments to positions in state service. HRSD State Policy 40.055.01 Appointments to the Executive Service – provides that requests for an exception be approved / granted by the Director of the Department of Administrative Services when the appointment does not meet the criteria in OAR 105-040-0050. Collective Bargaining Agreements – CBAs having provisions relating to filling vacancies. For example, SEIU Master Contract, Article 45, Section 2, states in relevant part: “The appropriate agency lay off list shall take precedence over all other lists and reemployment, direct appointment, and severely ...
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A
UDIT
P
LAN
Direct Appointment Audit – 2006
A
UDIT
P
URPOSE AND
S
COPE
The purpose of this audit is to review state agencies’ use and documentation of direct appointments on
an annual basis.
The audit will include determining if direct appointments are being made consistent with
established Oregon Administrative Rule (OAR), Human Resource Services Division (HRSD) State
Policy, and/or applicable collective bargaining agreement (CBA).
The review will also verify that
agencies are maintaining the required documentation.
R
EFERENCES
ORS 240.306 Methods of Selecting Employees for Service
– lists the criteria, procedures and duties
of state agencies when recruiting, selecting and promoting employees.
OAR 105-040-0050 Direct Appointments
– provides state agencies with an alternate method to the
open competitive process when making initial appointments to positions in state service.
HRSD State Policy 40.055.01 Appointments to the Executive Service
– provides that requests for an
exception be approved / granted by the Director of the Department of Administrative Services when the
appointment does not meet the criteria in OAR 105-040-0050.
Collective Bargaining Agreements
– CBAs having provisions relating to filling vacancies.
For
example, SEIU Master Contract, Article 45, Section 2, states in relevant part:
“The appropriate agency lay off list shall take precedence over all other lists and reemployment, direct
appointment, and severely disabled appointments.
* * * * *
“The employer may use noncompetitive selection and appointment for unskilled or semi-skilled positions,
or where job-related ranking measures are not practical or appropriate, or it there is no appropriate list
available and establishing a list could cause and undue delay in filling the position, or affirmative action
appointments.”
A
UDIT
E
LEMENTS AND
M
ETHODOLOGY
Overall Methodology – The HRSD HR Systems Section will provide the HR Audit staff with data from the
Position and Personnel DataBase (PPDB) for all appointments to positions subject to Oregon Revised
Statutes (ORS) 240 made during the preceding calendar year.
The data will provide the basis to
determine what, if any, further action will be taken to review the use or documentation of direct
appointments based on the methodology specified in each of the following elements.
1.
Element – Ensure that state agencies’ use of direct appointments is consistent with the criteria
contained within either OAR 105-040-0500 – Direct Appointments or applicable CBA, and that the
appropriate documentation is maintained as required under OAR 105-040-0050 (1)(b) and HRSD
State Policy 40.055.01 – Appointments to Executive Service.
Element Risk Assessment* = 2 (Public Perception)
Methodology – The Audits Unit will pull a valid random sample from each agency using direct
appointment as the method for filling at least one position during the preceding calendar year.
The
Audits staff will request documentation for each selected appointment from each subject agency.
HR Audits Program
Page 1 of 3
May 2006
Direct Appointment Audit
2.
Element – Ensure state agencies are maintaining the appropriate documentation as required
under OAR 105-040-0050 (1)(b) – Direct Appointments and HRSD State Policy 40.055.01 –
Appointments to the Executive Service.
Element Risk Assessment* = 2 (Public Perception)
Methodology – The Audits Unit will examine the documentation for each direct appointment
selected in the valid random sample from each agency.
The documentation will be reviewed to
determine if for each appointment the required documentation has been maintained.
S
YSTEM
D
ATA
S
OURCES
9
Report produced from data on the Position and Personnel DataBase (PPDB).
For each agency, it
will include the following data fields:
−
Agency Number
−
Certificate Number
−
RDC Code
−
Employee Name
−
Authorization Number
−
Employee Service Type
−
Position Number
−
Employee Representation Code
−
Position Service Type
−
Employee Classification Number
−
Position Representation Code
−
Employee Salary Range
−
Position Classification Number
−
Employee EEO Code
−
Position Salary Range
−
County / City Code
−
Personnel Action Code
−
Ethnicity
−
Appointment Method Code
−
Gender
−
Appointment Date or Effective Date
−
Age
HR Audits Program
Page 2 of 3
May 2006
Direct Appointment Audit
*E
LEMENT
R
ISK
A
SSESSMENT
(ERA)
E
LEMENT
R
ISK
A
SSESSMENT
(ERA)
1
Potential for
significant
monetary impact resulting from penalties or legal action or loss of productivity.
There could also be the potential for a significant adverse impact on the health, welfare and/or safety of
those served, or the public’s perception of state government resulting from inappropriate expenditures
and/or poor stewardship of public funds.
Corrective actions assure compliance within
30 days
and
follow-up actions may include further analysis of the audit subject and/or agency human resource
management practice application.
2
Potential for
moderate
monetary impact resulting from penalties or legal action or loss of productivity.
There could also be the potential for a moderate adverse impact on the health, welfare and/or safety of
those served, or the public’s perception of state government resulting from inappropriate expenditures
and/or poor stewardship of public funds.
Corrective actions assure compliance within
90 days
and
follow-up actions may include further analysis of the audit subject and/or agency human resource
management practice application.
3
Potential for
relatively low
monetary impact resulting from penalties or legal action or loss of
productivity.
The practice does not constitute a best management practice and may cause minor
disruptions and inconveniences to others or the workflow.
Corrective actions are in the form of
recommendations for future practices
or for agency to receive training in the human resource
management area where deficiency is observed and may include further analysis of the audit subject
and/or agency human resource management practice application.
For more information on Element Risk Assessments, please go to the HR Audit Program webpage
at:
www.hr.das.state.or.us/hrsd/audit
.
You can view the Corrective Action Plan and Follow-up
Procedures Guidelines under “Program Documents.”
HR Audits Program
Page 3 of 3
May 2006
Direct Appointment Audit
