Employee Recruitment, Hiring, and Retention Audit Department of Human Resource January 1, 2022 – December 31, 2022

The Department of Internal Auditing (DIA) has conducted an audit of Employee Recruitment, Hiring, and Retention for the period January 1, 2022 to December 31, 2022. The main objective was to assess the effectiveness and efficiency of employee policy and procedures (especially those related to benefits and compensation) on recruitment, hiring, and retention of new and current employees. To accomplish these objectives DIA relied on authoritative guidance to determine best practices for which to assess employee policies and procedures. DIA made its assessments by conducting interviews with management and staff regarding processes, reviewing the employee policy and procedures (“HR Employee Handbook”), and obtaining various documentation from staff. In addition, where best practices were observed, DIA performed audit procedures to determine effectiveness and efficiency. Audit procedures disclosed internal control weaknesses related to pre-employment screening (“background checks”). DIA recommended that Human Resources implement a checklist to ensure that all pre-employment screening reports are completed and adequately reviewed for the proper employment decisions. DIA’s assessment of the employee recruitment, hiring, and retention was limited because of scope limitations. DIA was denied access to records by the Personnel Review Commission (PRC), and thus DIA was unable to assess certain recruitment and hiring processes of Classified employees. Also, due to recent challenges to DIA's jurisdictional authority to perform audits, DIA's assessment was limited to Executive agencies.