D.C. Courts: Implementation of Personnel Policies Requires Further Attention From the Courts' Leadership
GGD-00-75BR
Published: Apr 12, 2000. Publicly Released: Apr 12, 2000.
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Highlights
Pursuant to a congressional request, GAO reviewed the personnel management policies and practices of the District of Columbia Courts, focusing on whether: (1) D.C. Courts' applicable policies for six basic personnel activities or functions--performance evaluation, competitive and noncompetitive promotions, corrective actions, training, classification, and equal employment opportunity (EEO) policies--were consistent with commonly accepted personnel management principles; and (2) D.C. Courts generally adhered to its policies when implementing the six personnel activities or functions.
Recommendations
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Joint Committee on Judicial Administration | To ensure that personnel policies are more effectively documented, communicated, and implemented, the Joint Committee on Judicial Administration should direct the Executive Officer, D.C. Courts, to hold appropriate managers and supervisors accountable for implementing D.C. Courts' policies, such as providing employees with periodic feedback on their performance, including: (1) annual written evaluations; (2) undertaking and documenting required positive reviews; and (3) doing periodic classification surveys that are generalizable. One way in which to hold appropriate managers and supervisors accountable is by evaluating their performance of how well they implement policies, which D.C. Courts plan to do starting in fiscal year 2000 in connection with the policy of providing employees annual written evaluations. |
Closed – Implemented
The D.C. Courts implemented a new performance management program effective July 1, 2004. To enhance accountability of Court Executives, the D.C. Courts have also implemented a Court Executive Service, modeled in principle on the Federal Senior Executive Service. The Courts have taken steps to hold managers and supervisors accountable for implementing the Courts' performance evaluation policy by including compliance with the policy as a job requirement or element of job performance. The Courts have distributed new job elements and standards to supervisory personnel, which evaluate whether the manager conducted performance evaluations within two weeks of each eligible employees anniversary date. As of January 2000, the Courts' Human Resources office assigned a personnel specialist to monitor compliance with the Courts' performance evaluation policy.
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| Joint Committee on Judicial Administration | To ensure that personnel policies are more effectively documented, communicated, and implemented, the Joint Committee on Judicial Administration should direct the Executive Officer, D.C. Courts, to ensure that employees are informed of their right to review the basis for corrective actions that may be taken against them. |
Closed – Implemented
In addition to emphasizing this point in training sessions, corrective actions reviewed by the Courts' Human Resources Division are returned to supervisors if statements notifying employees of right to review materials are not included in correspondence.
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| Joint Committee on Judicial Administration | To ensure that personnel policies are more effectively documented, communicated, and implemented, the Joint Committee on Judicial Administration should direct the Executive Officer, D.C. Courts, to develop formal written policies and procedures that identify what documents to collect and retain for D.C. Courts' competitive promotion process. |
Closed – Implemented
The Courts have fully implemented formal written policies and procedures to identify the documents that should be collected and retained during the competitive promotion process.
|
| Joint Committee on Judicial Administration | To ensure that personnel policies are more effectively documented, communicated, and implemented, the Joint Committee on Judicial Administration should direct the Executive Officer, D.C. Courts, to explore as proposed whether training curriculums and requirements can be appropriately established for court positions. |
Closed – Implemented
The Courts have established training curricula for specific court positions.
|
| Joint Committee on Judicial Administration | To ensure that personnel policies are more effectively documented, communicated, and implemented, the Joint Committee on Judicial Administration should direct the Executive Officer, D.C. Courts, to: (1) enhance EEO communications with employees by displaying posters about D.C. Courts' EEO program and complaint procedures and informing employees who enter the complaint process of their rights and responsibilities in writing; (2) develop a manual to better document procedures necessary for supporting the EEO program and complaint process; and (3) make more analytical use of data collected for EEO purposes, such as by performing analyses of applicant and hiring data together. |
Closed – Implemented
The Courts' EEO guidebook has been completed. The Employee Mediation Program has also been implemented. In December 2000, the EEO Counselor implemented the Courts' plan to produce posters to be placed throughout the Courts to remind employees of their EEO protections and the complaint process. Also, the EEO Counselor has already implemented GAO's recommendation to provide EEO complainants with a written list of their rights and responsibilities.
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| Joint Committee on Judicial Administration | To ensure that personnel policies are more effectively documented, communicated, and implemented, the Joint Committee on Judicial Administration should direct the Executive Officer, D.C. Courts, to work with employees to identify and implement ways to strengthen employees' confidence in D.C. Courts' EEO efforts and internal processes for addressing complaints and appeals. |
Closed – Implemented
EEO training on eliminating bias and on sexual harassment was given to the Courts' employees in April and September of 2000 and April and May of 2001, and is offered on a continuing basis. The Courts have also put up posters that are intended to increase the visibility of the EEO function and communicate the Courts' commitment to equal employment opportunity. In April and September of 2000 and April and May of 2001, the Courts' got all their supervisors to take EEO courses on eliminating bias in the workplace.
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| Joint Committee on Judicial Administration | To ensure that personnel policies are more effectively documented, communicated, and implemented, the Joint Committee on Judicial Administration should direct the Executive Officer, D.C. Courts, to ensure that the actions being taken result in employees being adequately informed regarding the reporting of waste, fraud, abuse, and mismanagement. |
Closed – Implemented
In the summer of 2004, the Courts required all employees to attend ethics awareness training. The Courts have since incorporated into mandatory courtwide ethics training the need for employees to report waste, fraud, and mismanagement to the Courts' ethics officer. In addition to the mandatory training, as of November 2005, Court employees were informed on how and where to report waste, fraud, and mismanagement through (1) information incorporated in the Courts' orientation program, (2) information in the draft of the new employee orientation handbook, and (3) a posting on the Courts' intranet site.
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Courts (law)Employee promotionsEmployee trainingFair employment programsInternal controlsMunicipal employeesNoncompliancePerformance appraisalPersonnel managementReporting requirementsReorganization