TAO: Some DoH employee personnel files not maintained
Pago Pago, AMERICAN SAMOA — Documentation not always being completed for employee personnel files at the Health Department, is another issue of concern raised by the Territorial Audit Office during its Performance Audit report of the more than $14 million in federal CARES Act funding awarded to DoH during the COVID pandemic.
And this issue — “Contents of Employee Personnel Files- documentation is not always completed” — is documented by TAO under the “Other Matters” section of the report and separate from the main findings and recommendations that were discussed in details by the auditor.
Part nine of the Samoa News report on the DoH audit looks at this issue of concern by TAO that points out that storing and maintaining employee records is a necessary aspect in any business or organization.
Additionally, the employee personnel files contain the history of employment relationship from employment applications through to exit interview and employment separation documentation and this is the role of the human resource unit, maintenance of accurate and up to date records.
According to the auditors, poor maintenance resulting from missing or not updated records can allow for or constitute violations of record keeping or retention requirements, which could be swiftly resolved.
In this audit, TAO conducted a review of forty six (46) personnel files covering contracts and career service recruitments that show that around ninety percent of personnel files have the following:
• some documents are not updated and;
• some documents are not in file, meaning records are missing.
And these documents include Employee Applications required as a pre-requisite at hiring, Forms 303 to reflect current salaries and wages, Exit Forms when separated from employment (terminated or resigned) and Employee Non-Disclosure Certifications.
“We were informed during the audit process of the quality of personnel records prior to the relocation,” said TAO. “Improvements have been made recently in this process and we observed that the personnel section took necessary steps to update all files.
“We encourage continuing with the update so that a significant number or ALL files are scrutinized and also observed that the current filing is maintained in locked cabinets, alphabetically organized.
For its recommendation, TAO said the contents of employee personnel files are very important and that complete documentation and good filing provides guidance when hiring, training and promotion and so on.
“Adequate maintenance of information provides reliable business decisions with a record of how the employee began, where they are today and where they can be in the future,” the auditors said. “Maintaining a complete, accurate and current for each employee is a recommended best practice in any organization and business.”
Furthermore, it also supports human resources objectives and is the backbone of a human resources department.
In its response, DoH management reiterated that the Department of Health's Human Resource Division is currently working on updating of all employees files and that the filing system is a work in progress, securing their records and files in cabinets.
“Moving forward, the Human Resource Division is working ardently to make sure all the employees records are on file — updating if needed, all active and in active workers.