While they don’t use the word ‘Sloppy’ it’s kind of obvious.
Here are some highlights;
The City does not currently have a centralized process in place for maintaining written policies and procedures.
We interviewed management, reviewed a sample of Executive Orders and written policies andÂ procedures, and researched best practices for policy maintenance.Â We identified the following best practices for policy maintenance:
â€¢ Policies should be consolidated, maintained, and managed in a centralized location
â€¢Â Policies should be kept current and changes should be communicated timely
â€¢Â Policies should have an official custodian
â€¢ Employees should attest to policies and procedures that guide their job duties
Policies and Procedures
We found that policies and procedures are accurate and up-to-date, with a few exceptions. WeÂ also determined that routine maintenance and employee access could be improved. Following areÂ the results of our testing.
â€¢Â We found no references to incorrect or outdated fees.
â€¢Â We noted 6 documents that made references to specific employee names instead of jobÂ titles.
â€¢Â We identified 4 documents that included either outdated references, outdated processes,Â unnecessary requirements, or conflicting information.
â€¢Â Of the 273 total documents gathered, 35 (13%) documents are more than 5 years old andÂ 9 (16%) documents are more than 10 years old.
â€¢Â 23 documents did not have a date listed regarding when it was either created, lastÂ reviewed, or last updated.
â€¢Â Policies and procedures are stored in different areas. Some departments store theirÂ policies and procedures on their own shared site on InSite and some departments storeÂ them on the department’s shared network drive. In both situations, employees must beÂ granted access to be able to view them.
â€¢Â There is currently no overarching procedure for maintaining departmental policies andÂ procedures. Each department is ultimately responsible for their own maintenanceÂ responsibilities and maintenance schedule. Maintenance of policies and procedures varyÂ widely across all departments.
We made the following recommendation to address the results above.
1) We recommend the City establish and document a plan for managing theÂ approval, issuance, and revision of internal policies and procedures. This shouldÂ include defining a custodian at the departmental level, requiring scheduledÂ reviews that are dated and initialed to demonstrate completion, and requiringÂ policies to be maintained in an easily accessible, centralized location.
OPPORTUNITIES FOR IMPROVEMENT
The following are opportunities for improvement that were identified during the course of theÂ audit. These opportunities will provide oversight to the policy and procedure documentationÂ processes.
City management should continue to work toward documenting, in writing, policies andÂ procedures that guide specific job roles in the organization. Additionally, policies andÂ procedures should be consolidated as much as practicable to eliminate duplication orÂ unnecessary documents.
Management should consider adding an attestation section to the employee performanceÂ evaluation to obtain annual certification from employee’s that they have been trained andÂ understand departmental policies in addition to the certification that they have reviewedÂ the Executive Orders identified in the policy review checklist.
The City should consider providing a formal ethics training for all employees on aÂ recurring basis. The last citywide ethics training was conducted in December 2007.Â Additionally, the City’s fraud hotline should be more publicized on the City’s intranet soÂ that all employees are aware of how to report fraudulent, illegal, or unethical activities.