A 2233:; Audit of the New London Publc COUNSELOERS WAT LAW Schools Human Resources Lil?5'- '1 Office Condutted by D?eLuca Advisory-Services and . Presented in Conjunction with Shipman 8: Goodwin; com 21-22" - '2 -: "Ver- 2 232:." Uln? '2 or2.2- -II- Who is DLA ond whot is its role with DeLuco Adyisory Services (DLA) is on interdisciplinary tedm of four indiylduols with backgrounds in investigdtions, oudits, dccounting, ond low enforcement At the request of Superintendent Ritchie, in the Spring of 20l 9, DLA begdn conduc ing dn independent dudit of the New London Public Schools (NLPS) Humon Resources Office (HR) DLA reviewed 438 personnel files of oil employees hired in the post 5 yedrs [2014?20l9lwho one still employed by NLPS: however ALL District employee files were reviewed for criminol bockground checks To eveluctte the stdtus of the contents of personnel files moinldined by HR To ensure thot HR wos following best proctices 5? To determine whether the office wos in complionce with dpplicoble rules ond reguldtions methodology did DLA use in conducting its duditB DLA wos given unfettered occess to district ond school?loosed resources ond files lb DLA Interviewed the HR Executive Director (employed ot the time) ond stotf Interviewed the Superintendent, principals, ond other Reviewed employee personnel files Reviewed NLPS policies ond procedures Reseorched opplicoble Connecticut stotutes Reviewed other school districts? policies and procedures es 0 bosis tor comporison Consulted with legol counsel Fr gs r> The following items were consistently found in the tiles DLA reviewed NLPS employment opplicotion Tronscripts Resume Letters of recommendation Copies of government-issued identificotion is? Some files were missing one or more of the following Documentdtion of completed criminol history checks Documentotion of drug screenings Certificates of completion of Mondoted Reporter and Sexudl Horossment Troining .- Deportment of Children and Families Form 303i (outhorizing DCF to releose records of Investigotions involving the - Documentotion of phone cells to references Whaf did The missing documenfafion signify? is Missing documenfafion reflecfed a failure fa mainfain proof fhaf cerfain procedures, checks, and Trainings were complefed Despife a significan?r number of missing documenfs do nof necessarily indicafe fhaf The underlying check or Training was nof performed Example: Cerfificafes of complefion Sexual Harassmenf Training were offen missing from The files, buf were Iofer found of The school in which The employee worked Example: Documenfed calls fo references were rarely included in The files, louf fhere was no indicafion fhaf The calls had nof been made Why were personnel files missing documenToTion? Over The posT l0 yeors, There hos been or high Turnover roTe in NLPS leadership, wiTh 7differenT SuperinTendenTs oncl 7 differenT HR DirecTors In The posT, HR sysTems were noT cenTrolized a? School?posed odminisTroTors ofTen moinToined Their own documenToTion ond conducTed Their own processes CerToin offices, such 05 AdulT oncl ConTinuing EducoTion, operoTed independenle of HR NLPS locked or comprehensive ond universol sysTem Tor Trocking The employee hiring process ond moinToining personnel files i> There wos no consisTenT proTocol for ensuring new employees meT oll requiremenTs oncl ThoT HR mornToined compleTed documenToTion Were l'here inconsisiencies in ocross oll coiegories of employees? lnconsisiencies voried greolly omong differenl colegories of employee files Teocher files were compleie or neorly compleie in 90% of The surveyed files [poer 5 yeors) i> Poroprofessionol files occounled for The mojoriiy of missing ond non-complionce issues Significant Improvements Beginning in 20l 8?201 9 tr? Superintendent Ritchie was hired in the summer of 2018 tr- Superintendent Ritchie authorized the DLA audit to identify reforms and corrective action necessary. Superintendent Ritchie has led continuous improvements, taking swift action to ensure best practices in hiring and compliance with state and district requirements 5? The district built and implemented new systems, structures and policies to increase and document required training for all staff 27) There was communication from central office and school administrators Clear direction on how to accomplish the training SignificonT ImprovemenTs Beginning in 20l 8-20l 9 The disTricT become commiTTed To ensuring compliance wiTh oll sToTe ond disTricT mondoTes for new hires ond currenT employees r~ All were required To compleTe (5R Troinin courses during AugusT 2019 Professronol Deve opmen Doys [ony unoble To compleTe The Troinlng oT The Time will compleTe iT during The 2019?2020 year) All poroprofessionols who were missing documenToTion of or criminal hisTory check hove been senT for fingerprinTs All newly hired employees for The 20] 9?2020 School Yeor tr Hove compleTed Sexuol Horossmeni ond MondoTeol ReporTer Troinings l-loye been senT for drug TesTing ond fingerprinTing Where Are We Now? Monde?rory Reporrer Training Resulrs GS of November 26, 2019 -. Nimiher ?the Employees m?bf Complete Teaph?ers 1 . . . Para professional. . . -. a . ?usmdians- 'Squpriqrt?Staf?' central Office District - . umber-- 'tle gampmte. Teachers .. iPaar?9r9f2??i?n?t;' 2-;1 . in v- . IFood'TService Gust'ddians S?u?P-Eort Staff Tuto'ILs C?ntral Office- [District Best Proctices Proper Collection ond Mointenonce of Documentotion HR now uses or comprehensive onboording flowchort outlining steps in the process for oll new hires to ensure: All required stdte district mondotes ore performed All documentotion is collected New employee files are stored in sepdrote oreo ond indicote ?stdtus pending? until oll processes ond documentotion hove been completed and filed Personnel files ore now mdintdined in centrolized fdshion, located in the HR office Deportments thot hdve operated independently in the post have been odvised the centrol HR office will oversee all HR?reloted functions Most HR policies hove been updoted approved by the Boord System'c Changes and Their Impact New onlooarding checklist and comprehensive system of creating and maintaining employee tiles ensure that Prior to their start date, all NLPS employees, regardless of classification or department Will submit all application documentation [employment application, transcripts, resume, letters of recommendation, references, and copies of government? Issued Identification) - Will submit to criminal history checks, fingerprinting, drug screening, and DCF registry search New procedures for addressing criminal records uncovered during fingerprint check .- Will complete Mandated Reporter, Sexual Harassment, and Human Trafficking Training Will have personnel files with all required documentation Furlher Consideralions Increase securily for lhe personnel file room Implemenl ?rhe already purchased eleclronic syslem for HR files in which files lhal are checked oul can be easily located Ulilize an eleclronic (raiher ?rhan ink) fingerprinling syslem lo reduce number of prinls rejecled due To poor aualily and make process more efficienl Creole a Compliance Specialis?r posilioni?ro oversee background checks and ensure fingerpnn?r checks are relurned and filed Develop procedures for dislric?r response To posilive drug lesls Documenl all follow?up aclions in The personnel file Implemen?r dislricl-wide use of a common reference check form (To be slored in personnel file) To documenl phone calls To references Require subslilules To follow some background checks and prolocols as Teachers